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ISM Flashcards

Read ISM section in Safety and ISM Code (75 cards)

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1
Q

What is the ISM Code?

A

The International Safety Management Code for the Safe Operation of Ships and for Pollution Prevention, a mandatory IMO Code under SOLAS Chapter IX.

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2
Q

Why was ISM introduced?

A

In response to major accidents (e.g., Herald of Free Enterprise, 1987), highlighting the need for a systematic approach to safety management and pollution prevention.

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3
Q

When did ISM become mandatory?

A

1998: Passenger ships, tankers, bulk carriers >500 GT
2002: All cargo ships >500 GT

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4
Q

What is the purpose of the ISM Code?

A

To provide an international standard for:
Safe ship management & operation
Pollution prevention
Protecting life, property, and the environment

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5
Q

What are the objectives of the ISM Code?

A

Safety at sea
Prevention of human injury or loss of life
Avoidance of damage to the environment, in particular the marine environment, and to property

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6
Q

What are the functional requirements of an SMS under ISM?

A

SOCREM

  1. Safety and environmental protection policy
  2. Operational procedures for safe ship operation & environmental protection
  3. Communication and authority. Defined levels
  4. Reporting procedures for accidents & non-conformities
  5. Emergency preparedness procedures
  6. Management internal audits & reviews
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7
Q

What are the company’s responsibilities under ISM?

A
  • Establish, implement, maintain the SMS
  • Ensure ships comply with mandatory rules & regs
  • Provide resources & support
  • Appoint a DPA
  • Ensure Masters are qualified & supported
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8
Q

What does “the Company” mean in ISM?

A

The shipowner, or any person (e.g., ship manager or bareboat charterer) who assumes responsibility for ship operation and agreed to take over ISM duties from the owner.

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9
Q

Who is the DPA?

A

The Designated Person Ashore is the link between the company and shipboard personnel, responsible for monitoring safety and ensuring adequate support is provided.

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10
Q

What are the DPA’s responsibilities?

A

Monitor safety and pollution prevention aspects
Ensure resources and shore-based support are provided
Act as communication link between ship and shore

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11
Q

What is the Master’s overriding authority under ISM?

A

The Master has overriding authority to make decisions regarding safety and pollution prevention, and request company assistance as necessary.

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12
Q

What are the Master’s responsibilities under ISM?

A

Implement company safety and environmental policy
Motivate crew in safety & environmental protection
Issue clear orders & instructions
Verify compliance with SMS
Review SMS periodically

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13
Q

What must the company ensure about the Master under ISM?

A

That the Master is properly qualified, fully conversant with the SMS, and given necessary support.

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14
Q

What certificates are issued under ISM?

A

Document of Compliance (DOC): Company
Safety Management Certificate (SMC): Ship

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15
Q

Who issues the DOC and SMC?

A

Flag state or Recognised Organisation (e.g., Class Society) acting on behalf of the flag.

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16
Q

What is the validity of the DOC?

A

5 years, subject to annual verification.

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17
Q

What is the validity of the SMC?

A

5 years, with an intermediate verification between 2nd and 3rd anniversary.

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18
Q

What is an Interim DOC or SMC?

A

Temporary certification for new companies/ships, valid for up to 12 months, while SMS is being implemented.

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19
Q

What is an Internal Audit under ISM?

A

A company-conducted audit to verify SMS compliance onboard and ashore, carried out at intervals not exceeding 12 months.

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20
Q

What is an External Audit?

A

Conducted by the flag or RO to verify DOC/SMC compliance.

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21
Q

What is a Non-Conformity?

A

A situation where evidence indicates a requirement of the ISM Code is not fulfilled.

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22
Q

What is a Major Non-Conformity?

A

A deviation that poses a serious threat to personnel, ship, or environment, or substantially impairs effective implementation of the SMS.

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23
Q

What is an Observation in ISM audits?

A

A statement of fact that may indicate a possible weakness in the SMS.

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24
Q

What happens if major non-conformities are found?

A

DOC/SMC may be suspended or withdrawn until corrective action is taken.

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25
What is required for Accident/Incident reporting under ISM?
Procedures must exist for reporting, investigating, and analysing accidents, hazardous situations, and non-conformities, with corrective action applied.
26
What is “Continuous Improvement” under ISM?
The company must continually improve safety management skills and practices in both shore-based and shipboard personnel.
27
What is required for Emergency Preparedness under ISM?
Procedures for identifying potential emergencies, establishing response measures, and conducting drills/exercises.
28
How often should ISM drills be carried out?
At regular intervals (not less than once per year for each potential emergency).
29
What must companies ensure for ship personnel under ISM?
They are qualified, medically fit, and familiarised with their duties, safety procedures, and SMS.
30
What is required for familiarisation?
Each crew member must receive training and instruction to ensure understanding of SMS procedures and safety responsibilities.
31
Which IMO resolution first adopted the ISM Code?
IMO Resolution A.741(18).
32
Where is ISM legally enforced?
SOLAS Chapter IX.
33
What is the link between ISM and ISPS?
Both are mandatory IMO codes (SOLAS Chapter XI-2 for ISPS) — ISM focuses on safety/environmental management, ISPS on security.
34
How does ISM link to COLREGs?
SMS should include procedures for maintaining safe navigation and compliance with COLREGs, especially risk of collision and lookout.
35
How does ISM support MARPOL?
SMS must ensure procedures for pollution prevention, including oil, sewage, garbage management, and SOPEP compliance.
36
Why is ISM important for an OOW?
It provides structured procedures for safety, pollution prevention, drills, reporting, and ensures the ship operates under a certified SMS.
37
How can an OOW contribute to ISM onboard?
Following SMS procedures Participating in drills & training Reporting defects/non-conformities Maintaining proper watch & lookout Supporting Master’s safety role
38
As OOW, what would you do if you identify a defect in the ship’s safety equipment?
Record it in the defect log, report it as per SMS, ensure corrective action is taken, and notify bridge/engineer as required.
39
What certificates would you check before sailing to confirm ISM compliance?
Company’s valid DOC Ship’s valid SMC Records of internal audits, drills, and accident reports
40
What would you do if the ship’s SMC expired during a voyage?
Inform the Master immediately, contact the company/DPA, vessel would not be compliant — must rectify before next voyage.
41
Can a ship sail without an SMC?
No, unless an Interim SMC is in place under exceptional circumstances.
42
Give an example of a major non-conformity.
Sailing without valid statutory certificates, repeated failure to carry out drills, or knowingly violating MARPOL.
43
How does ISM affect day-to-day navigation?
Provides checklists, procedures for bridge watchkeeping, reporting, COLREG compliance, and drills.
44
If you had to explain ISM to a cadet, how would you put it simply?
It’s a set of international rules that makes sure the company and ship always work safely, protect the environment, and have clear procedures for emergencies and reporting.
45
Why is ISM so important in oral exams?
Because it underpins every aspect of ship safety and management — showing deep knowledge demonstrates professionalism, awareness, and competence.
46
What is the full-form title for the ISM Code?
International Management Code for Safety Operations of Ships and for Pollution Prevention
47
What is a Safety Management System?
A SMS is a structured set of procedures and policies implemented by ship operators to ensure safety, prevention pollution and comply with regulations
48
How does the Safety and Environmental Protection Policy contribute to an effective SMS?
The policy sets safety and environmental objectives, outlines management's commitment, and guides the development and implementation of safety protocols.
49
What is SOCREM?
It's an aide-memoire for functional requirement of the SMS S - Safety and environmental O - operational procedures C - lines of communication and levels of authority R - reporting accidents and non-conformities E - emergency procedures M - Management reviews and internal audits
50
What are the objectives of the ISM Code?
The 3 P's To prevent harm to: - people - proporty - pollution of the marine environment
51
What are the Master's responsibilities under the ISM Code?
I - implement the safety and environmental protection policy M - motivate the crew O - issue clear and simple orders R - ensure requirements of the ISM Code are observed R - Review the SMS and report deficiencies
52
How does the DPA support the company in complying with the ISM Code?
The DPA monitors safety and pollution prevention activities, ensures effective implementation of the SMS, and serves as a link between the ship and shore management
53
How does the company support the Master in fulfilling their role under the ISM Code?
The Company provides necessary resources, training, and support to the Master, ensuring they can effectively implement and maintain the SMS on board
54
How does the Master contribute to the continuous improvement of the SMS?
The Master regularly reviews the SMS to identify potential improvements, shares best practices and provides feedback on the SMS to the Company and DPA
55
What is Master's Overriding Authority?
The Master's right and obligation to act contrary to the SMS and/or instructions from the Company; whenever it is necessary to protect the safety of the ship or marine environment
56
Is the Master required to comply with the SMS?
Yes. The Master's Overriding Authority can only be exercised in specific circumstanced where conveying with the SMS would risk harm to the vessel or the marine environment
57
Who must the DPA have direct access to?
The DPA must have direct access to the highest levels or management ashore to ensure that safety issues are addressed effectively
58
Who does the DPA represent?
It's important to remember that although the DPA is likely to be a shoreside employee, their old is not only to represent the Company to the Vessel. They should also represent the Vessel to the Company and act as a conduit which connect the two
59
Who must have procedures to enable them to respond to emergencies onboard?
Both the vessel and the company are required to have procedures in place to enable them to respond to emergencies onboard
60
What steps should a company take after identifying a non-conformity or hazardous occurrence?
The ISM Code mandates reporting, investigating, analysing root causes, implementing corrective actions and monitoring the effectiveness of implemented measures
61
What three things should the company ensure about the Master?
1. That they are properly qualified 2. That they are familiar with the company's SMS 3. That they are given the necessary support to perform their duties safely
62
What are the responsibilities of the company for emergency preparedness?
The Company should identify potential emergency shipboard situations, and establish procedures to respond to them
63
What are the requirements for manning of ships?
The Company should ensure that each ship is manned with qualified, certified and medically fir seafarers in accordance with national and international requirements
64
What is the definition of 'critical equipment'?
Equipment and technical systems the sudden operational failure of which may result in hazardous situations
65
What are 'critical spares' with regards to the PMS?
The vessel should hold appropriate spare parts for all pieces of identified critical equipment onboard
66
What is a PMS?
A planned maintenance system is a paper or software based system which facilitates the company and vessel in carrying out preventative maintenance/regulatory checks at required intervals, to harmonise the requirement for such maintenance/checks and to provide an auditable record of such maintenance/checks having been carried out.
67
What types of maintenance tasks should be included in a PMS?
A PMS should cover routine inspection, preventive maintenance, corrective maintenance and equipment overhauls based on manufacturer recommendations and regulatory requirements
68
Why is the documentation of maintenance activities important?
Documentation demonstrated compliance with maintenance requirements, provides evidence of equipment condition and supports continuer improvement of the SMS
69
Under the ISM Code, how many audits will the company undergo each year?
Two. One internal audit and one external audit
70
Which ISM certificates are issued to a ship?
The vessel is issued a Safety Management Certificate (SMC) and it must also carry a copy of a valid Documentation of Compliance (DoC)
71
What is the purpose of the Document of Compliance (Doc)?
The DoC certifies that a management company's Safety Management System (SMS)m complies with the requirements of the ISM Code
72
How long is an Interim DoC valid for?
An Interim DoC is issued for no more than 12 months
73
How often is the SMC subject to audit?
The Safety Management Certificate is subject to annual internal audits and external audits prior to issue, and intermediate verification between the 2nd and 3rd anniversary and renewal 5 years after issue
74
How long is an Interim SMC valid for?
An Interim SMC is issued for no more than 6 months
75
What elements should be included in an effective Safety and Environmental Protection Policy?
The policy should cover commitment to safety, environmental responsibility, regulatory compliance, continuous improvement, and accountability at all levels.
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