1
Q
What is the ISM code?
A
A Code, part of SOLAS, which provides a standard for the safe management and operation of ships and for pollution prevention
2
Q
Who does the ISM code Apply to?
A
All Vessels >500gt (per EU regulation 336/2006 it includes domestic vessels)
3
Q
What convention does the ISM code come under?
A
SOLAS
4
Q
What are the objectives of the ISM code?
A
Ensure safety at sea
Prevention of human injury or loss of life,
Avoidance of damage to the environment (in particular to the marine environment) and to property.
5
Q
Why do you need to be careful with old notes on the ISM code under Irish law
A
There was a new SI released (441/23) which changed the requirements, notably it removed CODSWOP as a source of information
6
Q
How is the ISM code implemented on board ship?
A
Through the SMS + PMS
7
Q
What is a safety management system (SMS)?
A
A structured and documented system enabling company personnel to implement the Company safety and environmental protection policy
8
Q
What are the functional requirements of an SMS?
A
1 A safety and environmental protection policy
2 Instructions and procedures to ensure compliance with relevant legislation
3 Defined levels of authority and lines of communication between ship + shore
4 Procedures for reporting accidents and non-conformities
5 Procedures for emergency situations
6 Procedures for internal audits and management reviews
9
Q
Why do we have an SMS onboard?
A
The ISM code requires it
10
Q
If you find a pattern of things not being done correctly on board, what do you do?
A
Raise it with the captain first
If the captain does not make any attempt to resolve the issues, contact the DPA
If you are the captain and you just signed on, contact the DPA yourself
11
Q
What is a designated person ashore (DPA)?
A
A link between the company and those on board,
Designated by the company,
With access to the highest level of management.
12
Q
What is the role / duties of the designated person ashore (DPA)?
A
- Monitoring the safety and pollution prevention aspects of the operation of each ship
- Ensure that adequate resources and shore-based support are applied, as required.
13
Q
What documents relating to the ISM code are required on board?
A
Copy of Document of compliance
Safety Management Certificate
14
Q
What is a document of compliance?
A
A certificate which verifies a company is operating in compliance with the ISM code
15
Q
What is are the limitations of a document of compliance?
A
It only applies to the stated ship types
16
Q
If the company loses its document of compliance, is the ships safety management certificate still valid?
A
No
All the SMC assossciated with the cancelled DOC are withdrawn
ISM code - 13.5.1
17
Q
Is the original DOC kept onboard ship?
A
No, it is a copy
18
Q
Is your Safety Management Cert specific to the company/DOC?
A
Yes
19
Q
Why is the original DOC not kept onboard ship?
A
It is issued to the company, so the ship only carries a copy.
20
Q
What are the differences between an SMC and DOC?
A
SMC is issued to ship, DOC to shore
SMC is for a single ship, DOC can cover multiple ships
Original SMC is carried on ship, Copy of DOC carried on ship
21
Q
If a sister ship calls to say their DOC is invalid due to no survey being completed does that mean that your DOC is invalid?
A
Assuming she is under the same company/DOC, yes as the DOC is issued to your company, not the ship.
22
Q
How many ships can one safety management cert cover?
A
One ship
23
Q
Does the DOC cover all ships in the company?
A
It can, as long as all the relevant ship types are listed
24
Q
Annual survey of the DoC (ISM) has been done but you haven’t received the copy of the new certificate, can you sail? What do you do?
A
No
Just contact the office as they can e-mail you a copy
25
What ships are required to have a safety management certificate?
Ships which are required to be in compliance with the ISM code
26
When can flag issue an interim document of compliance?
Yes,
When a Company is newly established
or
New ship types are to be added to an existing Document of Compliance
27
When can flag issue an interim safety management certificate?
To new ships on delivery
When a Company takes on responsibility for the operation of a ship which is new to the Company
When a ship changes flag
28
What must be verified to issue an interim safety management cert?
1. The DOC is relevant to this ship
2. The SMS includes key elements of the ISM Code and has a DOC or Interim DOC
3. The Company has planned the internal audit of the ship within three months
4. The master and officers are familiar with the SMS and the planned arrangements for its implementation
5. Instructions, which have been identified as being essential, are provided prior to
sailing
6. relevant information on the SMS has been given in a working language or languages understood by the ship's personnel.
29
Can a safety management certificate be extended past its expiry date?
Yes, with certain restrictions
30
What is the difference between an interim safety management certificate and a safety management certificate which has been extended?
Interim certificate is a separate certificate valid for 6 months
The extension is applied to an exisisting SMC and is subject to certain restrictions
31
What are the restrictions applied to the extension of an expired safety management certificate?
Only valid for 3 months
Only when not in a port that the ship can carry out the renewal survey
Only to allow the ship to sail to a port where the renewal can be carried out
Cannot leave the port after arriving without a new valid cert
32
How long is the validity of an interim document of compliance?
12 months
33
How long is the validity of an interim safety management cert?
6 months (can be extended a further 6 months)
34
You join a ship and see the DOC is out of date. Actions?
Contact DPA to get a copy of the renewed one.
Cannot Sail otherwise as validy of SMC is dependent on having valid DOC
35
What information is on an SMC?
Flag State
Name of Ship
IMO Number
Gross Tonnage
Type of ship
Name/Address of company
Company Identification number
Expiry Date
Place of Issue
Date of Issue
Place / Date / Signature of intermediate verification
36
What information is on a DOC?
Flag State
Name / Address of company
Company Identification Number
Approved Ship types
Expiry Date
Place of Issue
Date of Issue
Place/Date/Signature of Annual Verification
37
What information is on an interim SMC/DOC?
Same information as a regular one
38
Under ISM which of the certificates is issued first?
DOC (office) first, then SMC (ship)
39
Who issues the ISM certs?
Flag
Recognised organisation
40
What surveys are required for the DOC + SMC?
Initial - Both
Annual - DOC only
Intermediate - SMC only
Renewal - Both (5 Years)
41
What’s the difference between a tanker DOC and a Ro-Ro DOC?
Their respective DOC must have their respective ship type listed (i.e. the tanker DOC must have tanker listed as a ship type on it)
42
What is the difference between periodical and annual surveys
Periodical is for the SMC, takes place onboard, and is between the 2nd and 3rd anniversary
The annual is for the DOC, takes place in the office, and happens every year
43
An ISM auditor finds a crack in a lifeboat, what will they do?
Issue a non-conformity
44
What do you do with a raised non-conformity?
Ensure it is put into the PMS
Rectifiy the issue (Following the SMS)
45
What is a non-conformity?
A situation where the evidence indicates a specific requirement is not being met
46
What is a major non-conformity?
A non-conformity which poses a serious threat to the environment, or the safety of personnel or the ship, which requires immediate correction
Or
A lack of effective and systematic implementation of the ISM code
47
What would be an example of a major non-conformity?
Missing Liferaft
48
What is the difference between a non-conformity and a major non-conformity?
Normal -> Some specific requirement not met
Major -> Safety Critical requirement not met or systemic failure
49
Can a vessel sail with a major non-conformity? What must be done?
No, get it downgraded
50
How does a major non-conformity get downgraded? Who can do it?
When the authority is satisfied sufficient corrective action is being undertaken - including adressing the root cause
Flag / Recognised organisation
MSC/Circ.1059
MEPC/Circ.401
51
How long should the corrective action take for a downgraded major non-conformity?
Maximum 3 months
52
Is a downgraded major non-conformity the exact same as a non-conformity?
No it must be re-surveyed within three months
53
What will you do after a Non-conformity is raised?
Follow non-conformity process per the SMS
Document the deficiency
Make corrective action plan
Carry out plans, document and close out
54
What is the procedure for dealing with a major non-conformity?
Inform DPA / Flag / RO
Make short / long term corrective action plan
Identify root cause
Agree on timeline for resolutions
Get flag / RO to downgrade to Major NC to NC
Carry out plans and document
Get resurveyed within 3 months
Close out
55
Can your safety management certificate be renewed with an open major non-conformity?
No
56
What is the safety officer?
The safety officer is a person responsible under the master to improve onboard safety and develop and promote measures for the prevention of marine incidents
57
Who appoints the safety officer?
The Owner
S.I. No. 441/2023 5(1)
58
Can the captain appoint the safety officer?
No
59
What ships require a safety officer?
All Irish ships other than non-sea-going ships, fishing vessels, and pleasure craft.
60
Can the master ovveride the safety committee?
Yes, however the master would want a good reason. The reason also needs to be recorded
61
Can the master be the safety officer?
No,
SI says the safety officer will be repsonsible under the master
62
Who can be the safety officer?
Someone who has more than 2 years consecutive service since attaining the age of 18 years (and at least six months on a tanker if on that ship type)
63
What are the duties of the safety officer?
Ensure the ISM code is complied with
Conduct Risk Assessments
Investigate accidents or near-misses and make recommendations to the master to prevent reoccurance
Investigate H+S complaints by crew
Carry out H+S inspections of ship (3 months)
Maintain record of accidents + incidents
Carry out work of safety comittee
64
What is a PMS?
Planned Maintenance System
65
What is the purpose of a PMS?
1 Inspections are held at appropriate intervals;
2 non-conformities are reported
3 appropriate corrective action is taken
4 records are maintained.
5 Identify critical systems
66
How would you make an amendement for a procedure onboard?
Follow the procedure within the SMS for updating the SMS
67
What are the masters responsibilities under the ISM code?
1. Implementing the safety and environmental protection policy of the company
2. Motivating the crew in the observation of that policy
3. Issuing appropriate orders and instructions in a clear and simple manner
4. Verifying that specified requirements are observed
5. Reviewing the SMS and reporting its deficiencies to the shore based management
68
How do you know what documentation is to be maintained when talking about the ISM code?
The ISM code requires procedures regarding the maintenance of documentation. This will be part of the SMS
69
Where do acommodation inspections get logged?
Official Log book
70
You join a ship in July, and the SMC is expired since January. What do you do?
As the three month extension period has passed, cannot sail
Contact flag to immediately organise survey
Inform company of situation
71
What is stated in the ISM code regarding masters overriding authority?
The Company should establish in the SMS that the master has the overriding authority and the responsibility to make decisions with respect to safety and pollution prevention and to request the Company's assistance as may be necessary
72
Can you tell me about what is stated in the SMS regarding Master’s Overriding Authority?
1. That they have it
2. They have the authority and responsibility to make decisions with respect to safety and pollution prevention and to request the company's assistance as may be necessary
73
Where should the masters overriding authority be clearly stated?
In the SMS
74
If a vessel is laid up for 6 months +, what certificates become invalid / will need renewing?
ISM - SMC
ISPS - ISSC
75
Where does the requirement for the ISM certs come from?
SOLAS - Chapter 9
76
What is the Validity of the ISM certs?
5 Years
77
What does the ISM code define as critical equipment?
The ISM code does not contain the phrase "Critical Equipment"
But it does say the company must identify systems and equipment the sudden
operational failure of which may result in hazardous situations.
78
Where is critical equipment onboard listed?
In the PMS
79
What does the company need to do with critical equipment?
1. Identify them
2. Provide for specific measures aimed at promoting the reliability of such equipment or systems
80
How would you as Master enforce and maintain the SMS?
By being familiar with the SMS and continously observing/checking that the relevent procedures are being followed onboard, and providing feedback to the company for improvements to the SMS as you find them
81
How would you know the ISM code is being complied with onboard your vessel?
There is a valid copy of a DOC and an SMC onboard
82
How would you know who the DPA is onboard?
It would be posted on the safety noticeboard
83
Tell me about the SMS on your last ship?
As per what you had
84
Tell me about the PMS on your last ship?
As per what you had
85
What records are maintained under ISM?
Completed Checklists / SMS compliance proof
Records of Drills and Trainings
Non-conformities / Accidents / near misses
Records of maintenance (PMS)
Various as identified in the SMS
Records of Audits / surveys / verifications
86
What instrument do we have onboard to ensure compliance with the ISM code?
The SMS
87
What are some of the required items under the ISM Code?
Document of Compliance
Safety Management certificate
Safety Management System
Planned Maintenance System
Designated Person Ashore
Internal Audits
Surveys (Initial, Annual, Periodical, Renewal)
88
Other than disaster situations, when can you contact the DPA as master? Example?
When you are not getting sufficient support from shore in dealing with an issue onboard.
If your lifeboat davit needs a technician to attend but the superintendent keeps saying we cant afford it
89
What are the six functions of the ISM code?
There isnt six "functions of the ISM Code", this may have been a misremebered question, there is, however, six functional requirements of an SMS
90
How many people should be on the safety committee? What if you have 9 crew or 15 crew or 30 crew or 45 crew?
The committee will have the master, the safety officer and every elected safety representative.
The old 1988 SI set out specific amounts for certain crew sizes, but the 2023 SI removed all that
91
What is the role or function of the deputy DPA?
This isnt a thing in any of the legislation that is defined, but the ISM code does allow for multiple people to be designated. If this is a thing in my company I would review the SMS to check how it is defined there
92
Give an example of when you might use masters overriding authority?
Needing to take a longer route / stop in bad weather
93
Does the SMS have to be in English? Where does it say that it can be in the working language or other language which is understood by personnel?
No, the ISM code says the information in the SMS should be available in a working language or languages understood by
them
94
Can a PSC inspector view the SMS?
Yes
95
How often are the safety officers inspections to be carried out?
At least once every 3 months
or more frequently, if there have been substantial changes in the conditions of work
96
How do you know what paperwork/documents you require onboard?
Check the SMS
Per the ISM Code the company must establish and maintain procedures to control all documents and data which
are relevant to the safety management system
97
What is checked during the surveys for the DOC and SMC?
Various items that indicate the ISM Code is being complied with
PMS records
SMS implementation
Audit Records
Drill records / performance
98
You haven’t received the copy of the DOC, will you sail? Why?
No, as the SMC is not valid without a valid DMC
99
Who’s responsibility is it to ensure all certs onboard are kept up to date?
The master
100
How does changing the SMS work in your company?
As per your company
101
What are your responsbilities as master as it relates to the SMS?
Periodically review it
Report its deficiencies to the shore based management
102
Difference between a non-conformity and observation
Non-conformity is matched to a specific requirement, observation is more of a recommendation relating to poor standards
Non-conformity must be addressed, it is essentially undeniable. An observation can be implemented or not.
103
Who can issue a non-conformity?
ISM Auditor (company or RO)
Flag state
Port State control officer
Master
104
A surveyor from a Recognised Organisation comes on board and renews the certificate without looking at anything, what are your actions as Master?
Do not accept the certificate
Contact the RO, Flag, and Company to let them know this has happened
Request a new survey / suveyor
105
Is the copy of the DOC special or certified? Can it just be a printed PDF from an e-mail?
It is just a plain copy, PDF printed is fine
106
With regards to ISM, what information is posted around the ship?
Safety officer details
DPA contact details
Elected safety reps details
Statement regarding master's overriding authority
Monthly safety meeting minutes / info
107
You join the Ship as Master and the SMC has expired. Explain actions?
Immediately contact flag for a renewal verification in the current port (or an extension if they cannot attend this port)
Contact DPA to inform of the situation, this is likely a major NC
Check every other certificate onboard
108
Can you sail with an expired Safety management cert?
Not without first getting an extension
109
When joining a vessel, you notice lots of planned maintenance seems to have not been done. Why would this be? What action would you take?
This would possibly be a breakdown of the ship's SMS, i.e. a major non-conformity.
Do not sail
Contact DPA
Attempt to establish root cause
Work with DPA to address the root cause / individual issues
If the SMS has broken down and a major NC is warrented, follow procedure for same
110
What is the frequency of masters audits under ISM?
The master has a duty to review the SMS periodically, there is no set frequency, the SMS might be more specific (these reviews are distinct from the internal audits which are 12 monthly)
111
How would I know ISM code was being complied with on a ship you just joined (not certificates)?
Check the safety board
Check safety meeting minutes
Check records of drills / trainings
General condition of maintenance
Check records in PMS (completed, accurate, and sufficiently detailed)
112
What are the duties of safety reps?
Represent the crew on matters affecting their safety and health (ILO Code - 2.8.1)
Take part in the safety comitee (the safety committee has its own list of duties)
113
You take over as Master and the Chief Eng. informs you the main engines are over their service hours with no plans made to service them as the company won't allow the time or equipment.
Raise again with company explaining importance of situation
Contact DPA if no result
114
What does the DOC Certify?
It is a Document issued to a company which complies with the requirements of the ISM Code.
115
What does the SMC Certify?
Is a document issued to the ship signifying that the ship and company operate in accordance with an approved SMS.
116
What ISM audits are carried out?
The company carries out internal audits onboard and ashore at intervals not exceeding 12 months
117
Who carries out the Audits?
The company carries out annual internal audits
Flag (or RO) carries out the initial / annual / periodical / renewal surveys
The company may get a third party (often class society) to carry out the internal audits
118
Surveyor on board and finds a hole in lifeboat what does he issue?
A non-conformity
119
What would be of particular interest to a Chief Officer under ISM?
PMS
120
If an issue was brought to the attention of the company and the master and no one was fixing the problem what would you as chief officer do?
Escalating response:
Raise with master
Raise with company
Raise with DPA
Raise with flag
121
How do you comply with the ISM code? By implementing the SMS
By implementing the onboard safety management system (SMS)
122
Can the DPA be contacted about non-safety matters? Say if a member of the crew has issue with his bedsheets?
No, DPA is for safety related matters
123
Who can carry out repair work on lifeboats?
Minor repairs can be completed by onboard team using the lifeboats repair kit
Significant repairs will require OEM technician
124
Who is on the safety committee?
Master as chairman
The Safety Officer
Every elected safety Representative
125
What was the procedure for reporting non-conformities on your last ship?
As per your company
126
Who do you inform about a non-conformity?
The company, there should be reporting process in the SMS
127
Who do you inform about a major non-conformity?
DPA
Flag State
Port State (if in port)
128
When do you need a safety committee?
When a safety representative is elected
(need safety reps when 5+ crew)
129
What is the main concern as chief mate with regards to ISM Code?
Is the PMS and SMS being followed
130
What are the responsibilities of the chief mate under ISM?
Technically none but as an answer:
Implementing SMS
Following checklists and procedures for various jobs
Following maintenance schedules
Reporting defects and non-conformities to company via master
Emergency preparedness
131
What is the safety committee’s role?
To ensure that the Code is complied with
To promote a culture of safety
To improve the standard of safety awareness among the crew
(alongside the specific duties)
132
How often should you hold a safety meeting?
Monthly
133
What has to happen after a safety meeting?
The record of the meeting needs to be published and displayed on the safety notice board and provided to the onshore technical management department
134
The Captain is drinking heavily on board and as a result is unable to perform his duties to a proper standard. What action will the chief officer take?
Contact the designated person ashore (DPA).
135
Difference between an observation and non-conformity?
A non-conformity is a specific identified instance of a specific requirement not being met. An observation is more of an identified possible area for improvement
136
What is an observation?
An observation is a statement of fact backed up by evidence
137
Is an observation as bad as a non-conformity?
No, but several observations may become a minor-non conformity
138
What are the chief mates responsibilities under the ISM code?
The chief officer isnt mentioned specifically in the ISM code, but it is common for the chief officer to be the safety officer and so they would follow those duties
As department head they also likely have duties relating to the implementation of the SMS and PMS, but the exact duties depend on the company
139
How would you motivate the crew as master to follow the ISM code?
Empahsise crew participation in safety training / drills
Encourage crew safety representative inputs during safety meetings
Strive to implement crew's safety suggestions
Safety based awards for the crew
140
Why are non-conformities issued?
To ensure the requirement that was not being met is met and that there is a record of same
141
What is a marine accident?
Blanket term to describe either a marine casualty or marine incident
142
Which is more serious, a marine casualty or marine incident?
Marine Casualty
143
What is a marine casualty?
Any of the following:
(a) the death of, or serious injury to, a person;
(b) the loss of a person from a ship;
(c) the loss, presumed loss or abandonment of a ship;
(d) material damage to a ship;
(e) the stranding or disabling of a ship, or the involvement of a ship in a collision;
(f) material damage to marine infrastructure external to a ship that could seriously endanger the safety of the ship, another ship or an individual;
(g) severe damage to the environment, or the potential for severe damage to the environment, brought about by the damage of a ship or ships,
144
What is a marine incident?
An occurrence, that endangered, or, if not corrected, would endanger the safety of the ship, its occupants or any other person or the environment
145
What is a very serious marine casualty?
A marine casualty which involves:
the total loss of a ship
the death of a person
severe damage to the environment
146
Which of the following need to be reported to the MAIU: marine casualties, very serious marine casualties, or marine incidents?
All of them
147
Who do you notify and when, upon becoming aware of a marine casualty?
The marine accident investigation unit (MAIU)
Immediately (or as soon as practible after)
148
Who has to make initial reports of marine accidents onboard?
The master or most senior surviving officer
The owner (unless the master already has)
149
Why was the marine accident investigation unit (MAIU) set up?
There was a need for a body that is independent of the MSO
150
What is the key difference between the MAIU and MSO?
The MAIU investigate and makes recommendations
The MSO can arrest or detain a vessel
151
Who do you notify and when, upon becoming aware of a marine incident?
The marine accident investigation unit (MAIU)
MSO
Immediately (or as soon as practible after)
152
What has to happen after the initial notification is made regarding a marine incident?
The safety officer must fill out an incident report form and send it to the MSO within 3 months
153
How soon after a marine incident must the safety officer send the report form to the MSO?
3 months
154
What is a "notifiable dangerous occurrence"?
A term no longer in use from an old SI
155
Who has to report marine incidents to the MSO?
Initial Report - Master > Most senior officer > Owner
Report form - Safety Officer
156
Do you have to report a marine casualty to the marine survey office?
No
Per the Act, SI and M-notice, you only report marine incidents to the MSO
157
Where do you get the reporting form for reporting a marine incident?
The information that goes on the form is in the schedule of SI 441/2023
There is a formatted version attached to M-notice 60 of 2023
158
An accident involving a serious injury to a crewmember has occurred. Once the medical situation has been addressed, what needs to be done?
Start the reporting process
159
If someone is injured onboard, which is more important, providing medical attention or reporting the incident?
Medical attention
160
Does the number of days someone spends in hospital have any bearing on weather or not you have to report an onboard accident?
No
Previously yes, but not anymore
161
What incidents would you report to a coastal state under MARPOL?
Discharge of oil or of NLS
Discharge or probable discharge of harmful substances in packaged form,
damage, failure or breakdown of a ship including:
collision,
grounding,
fire,
explosion,
structural failure,
flooding and cargo shifting
failure or breakdown of:
steering gear,
propulsion plant,
electrical generating system,
essential shipborne navigational aids; or
a discharge during the operation of the ship of oil or noxious liquid substances in excess of the quantity or instantaneous rate permitted under the present Convention.
MARPOL P1 - 4
162
What incidents need to be reported to the nearest coastal state under SOLAS?
Loss of / floating freight containers
SOLAS V-31
CMM
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