1. ISM Code 2010 overview Malcolm Maclachlan

2. ISM Code origins Serious 1980s accidents involving human error and management faults as contributing factors. Serious 1980s accidents involving human error and management faults as contributing factors. Chief example: Herald of Free Enterprise capsize, March 1987. Chief example: Herald of Free Enterprise capsize, March 1987.

3. ISM Code origins: Herald operation “Negative reporting” system: If no report to master, everything was presumed to be OK for sailing. “Negative reporting” system: If no report to master, everything was presumed to be OK for sailing. No written instructions for closing bow doors. No written instructions for closing bow doors. Trimmed by head. OLB draught entries falsified. Trimmed by head. OLB draught entries falsified. Management rejected masters’ request for bow doors warning light, and for powerful ballast pump. Management rejected masters’ request for bow doors warning light, and for powerful ballast pump. Passenger count discrepancies: company unconcerned. Passenger count discrepancies: company unconcerned. Commercial pressure to sail early; bow doors often open. Commercial pressure to sail early; bow doors often open. Lack of a marine superintendent to deal with masters’ complaints/suggestions/requests. No safety manager/superintendent/DPA. Lack of a marine superintendent to deal with masters’ complaints/suggestions/requests. No safety manager/superintendent/DPA. In summary: no safety culture in Company or its ship. In summary: no safety culture in Company or its ship.

4. ISM Code origins Report of Formal Investigation into Herald of Free Enterprise capsize: Report of Formal Investigation into Herald of Free Enterprise capsize: –“The directors did not have any proper comprehension of what their duties were.” –“All concerned in management, from the members of the Board of Directors down to the junior superintendents, were guilty of fault in that all must be regarded as sharing responsibility for the failure of management.” –“From top to bottom the body corporate was infected with the disease of sloppiness.” (Lord Justice Sheen)

5. ISM Code origins Oct 1989: IMO adopted Resolution A.647(16) - Guidelines on Management for the Safe Operation of Ships and for Pollution Prevention. Oct 1989: IMO adopted Resolution A.647(16) - Guidelines on Management for the Safe Operation of Ships and for Pollution Prevention. 1993: International Management Code for the Safe Operation of Ships and for Pollution Prevention (ISM Code) adopted by Res. A.741(18) and made mandatory under SOLAS chapter IX. 1993: International Management Code for the Safe Operation of Ships and for Pollution Prevention (ISM Code) adopted by Res. A.741(18) and made mandatory under SOLAS chapter IX. 1998: ISM Code entered into force for certain ship types/sizes on international voyages. 1998: ISM Code entered into force for certain ship types/sizes on international voyages. July 2002: ISM Code entered into force for other cargo ships and MODUs of 500 GT + on international voyages. July 2002: ISM Code entered into force for other cargo ships and MODUs of 500 GT + on international voyages.

6. ISM Code amendments 2002: Amendments to Code text (incl. addition of paras. 14, 15, 16) adopted by Res. MSC.104(73) in force 1 July 2002. 2002: Amendments to Code text (incl. addition of paras. 14, 15, 16) adopted by Res. MSC.104(73) in force 1 July 2002.Res. MSC.104(73)Res. MSC.104(73) 2004: Amendments to wording of certificates adopted by Res. MSC.179(79) in force 1 July 2006. 2004: Amendments to wording of certificates adopted by Res. MSC.179(79) in force 1 July 2006. Res. MSC.179(79) Res. MSC.179(79) 2005: Amendments to wording of certificates adopted by Res. MSC.195(80) in force 1 July 2009. 2005: Amendments to wording of certificates adopted by Res. MSC.195(80) in force 1 July 2009. Res. MSC.195(80) Res. MSC.195(80) 2008: Amendments to Code text adopted by Res. MSC.273(85) in force 1 July 2010. 2008: Amendments to Code text adopted by Res. MSC.273(85) in force 1 July 2010.Res. MSC.273(85)Res. MSC.273(85)

7. SOLAS ch. IX regulations Reg 1: Definitions of ISM Code, Company, and ship types covered by ISM Code. Reg 1: Definitions of ISM Code, Company, and ship types covered by ISM Code. Reg 2: Application. ISM Code applies to: Reg 2: Application. ISM Code applies to: –passenger ships (any tonnage) –cargo ships (500 GT +) –MODUs (500 GT +) on international voyages. Code does not apply to Government ships used for non-commercial purposes. Code does not apply to Government ships used for non-commercial purposes.

8. SOLAS ch. IX regulations Reg 3: Safety management requirements. Company and ship to comply with ISM Code, which is mandatory. Reg 3: Safety management requirements. Company and ship to comply with ISM Code, which is mandatory. Reg 4: Certification. Document of Compliance to be issued to every company which complies with ISM Code. Copy DOC to be kept on ship. Safety Management Certificate to be issued to every ship. Verification required that company and its shipboard management operate in accordance with the approved safety management system. Reg 4: Certification. Document of Compliance to be issued to every company which complies with ISM Code. Copy DOC to be kept on ship. Safety Management Certificate to be issued to every ship. Verification required that company and its shipboard management operate in accordance with the approved safety management system.

9. SOLAS ch. IX regulations Reg 5: Maintenance of conditions. Safety management system must be maintained in accordance with ISM Code. Reg 5: Maintenance of conditions. Safety management system must be maintained in accordance with ISM Code. Reg 6: Verification and control. Flag State Administration, or a recognised organisation on its behalf, must periodically verify proper functioning of ship’s SMS. Reg 6: Verification and control. Flag State Administration, or a recognised organisation on its behalf, must periodically verify proper functioning of ship’s SMS.

10. UK law MS (ISM Code) (Ro-Ro Passenger Ferries) Regulations 1997 (SI 1997/3022) MS (ISM Code) (Ro-Ro Passenger Ferries) Regulations 1997 (SI 1997/3022) MS (ISM Code) (Ro-Ro Passenger Ferries) Regulations 1997 MS (ISM Code) (Ro-Ro Passenger Ferries) Regulations 1997 –implement SOLAS ch. IX in UK ro-pax ferries and other ro-pax ferries in UK waters, as per EC Regulation. The Merchant Shipping (International Safety Management (ISM) Code) Regulations 1998 (SI 1998/1561) The Merchant Shipping (International Safety Management (ISM) Code) Regulations 1998 (SI 1998/1561) The Merchant Shipping (International Safety Management (ISM) Code) Regulations 1998 The Merchant Shipping (International Safety Management (ISM) Code) Regulations 1998 –implement SOLAS ch. IX in UK ships everywhere and other ships in UK waters (except ro-pax ferries).

11. MCA guidance MGN 40 – International Safety Management (ISM) Code. Essential reading for Orals. Annex 1 is out of date! MGN 40 – International Safety Management (ISM) Code. Essential reading for Orals. Annex 1 is out of date! MGN 40 MGN 40 ISM Code – Instructions for the Guidance of Surveyors Essential reading for Orals. ISM Code – Instructions for the Guidance of Surveyors Essential reading for Orals. ISM Code – Instructions for the Guidance of Surveyors ISM Code – Instructions for the Guidance of Surveyors

12. Other resources Guidelines on implementation of the ISM Code by Administrations - Res. A.1022(26) In ISM Code 2010 Guidelines on implementation of the ISM Code by Administrations - Res. A.1022(26) In ISM Code 2010 Guidelines on implementation of the ISM Code by Administrations - Res. A.1022(26) Guidelines on implementation of the ISM Code by Administrations - Res. A.1022(26) Guidelines for Operational Implementation of the ISM Code by Companies - MSC-MEPC.7/Circ.5 Guidelines for Operational Implementation of the ISM Code by Companies - MSC-MEPC.7/Circ.5 Guidelines for Operational Implementation of the ISM Code by Companies - MSC-MEPC.7/Circ.5 Guidelines for Operational Implementation of the ISM Code by Companies - MSC-MEPC.7/Circ.5 Information Resources on ISM Code 17pp IMO doc Information Resources on ISM Code 17pp IMO doc Information Resources on ISM Code Information Resources on ISM Code “Herald of Free Enterprise” - Lessons for management Useful article “Herald of Free Enterprise” - Lessons for management Useful article “Herald of Free Enterprise” - Lessons for management “Herald of Free Enterprise” - Lessons for management