International Safety Management (ISM) Code 2002 (as

amended 01.July.2010)
Preamble

1 The purpose of this Code is to provide an international standard for the safe
management and operation of ships and for pollution prevention.

2 The Assembly adopted resolution A.443(XI), by which it invited all Governments to

take the necessary steps to safeguard the shipmaster in the proper discharge of his
responsibilities with regard to maritime safety and the protection of the marine
environment.

3 The Assembly also adopted resolution A.680(17), by which it further recognized

the need for appropriate organization of management to enable it to respond to the
need of those on board ships to achieve and maintain high standards of safety and
environmental protection.

4 Recognizing that no two shipping companies or shipowners are the same, and that
ships operate under a wide range of different conditions, the Code is based on
general principles and objectives.

5 The Code is expressed in broad terms so that it can have a widespread application.
Clearly, different levels of management, whether shore-based or at sea, will require
varying levels of knowledge and awareness of the items outlined.

6 The cornerstone of good safety management is commitment from the top. In

matters of safety and pollution prevention it is the commitment, competence,
attitudes and motivation of individuals at all levels that determines the end result.

PART A - IMPLEMENTATION

1 GENERAL

1.1 Definitions
The following definitions apply to parts A and B of this Code.
1.1.1 "International Safety Management (ISM) Code" means the International
Management Code for the Safe Operation of Ships and for Pollution Prevention as
adopted by the Assembly, as may be amended by the Organization.
1.1.2 "Company" means the owner of the ship or any other organization or person
such as the manager, or the bareboat charterer, who has assumed the responsibility
for operation of the ship from the shipowner and who, on assuming such
responsibility, has agreed to take over all duties and responsibility imposed by the
Code.
1.1.3 "Administration" means the Government of the State whose flag the ship is
entitled to fly.
1.1.4 "Safety management system" means a structured and documented system
enabling Company personnel to implement effectively the Company safety and
environmental protection policy.
1.1.5 "Document of Compliance" means a document issued to a Company which
complies with the requirements of this Code.
1.1.6 "Safety Management Certificate" means a document issued to a ship which
signifies that the Company and its shipboard management operate in accordance
with the approved safety management system.
1.1.7 "Objective evidence" means quantitative or qualitative information, records or
statements of fact pertaining to safety or to the existence and implementation of a
safety management system element, which is based on observation, measurement
or test and which can be verified.
1.1.8 "Observation" means a statement of fact made during a safety management
audit and substantiated by objective evidence.
1.1.9 "Non-conformity" means an observed situation where objective evidence
indicates the non-fulfilment of a specified requirement.
1.1.10 "Major non-conformity" means an identifiable deviation that poses a serious
threat to the safety of personnel or the ship or a serious risk to the environment that
requires immediate corrective action (and includes) or the lack of effective and
systematic implementation of a requirement of this Code.
1.1.11 "Anniversary date" means the day and month of each year that corresponds
to the date of expiry of the relevant document or certificate.
1.1.12 "Convention" means the International Convention for the Safety of Life at
Sea, 1974, as amended.

1.2 Objectives

1.2.1 The objectives of the Code are to ensure safety at sea, prevention of human
injury or loss of life, and avoidance of damage to the environment, in particular to
the marine environment and to property.
1.2.2 Safety management objectives of the Company should, inter alia:

.1 provide for safe practices in ship operation and a safe working environment;
.2 (establish safeguards against all identified risks; and) assess all identified risks
to its ships, personnel and the environment and establish appropriate
safeguards; and
.3 continuously improve safety management skills of personnel ashore and aboard
ships, including preparing for emergencies related both to safety and environmental
protection.

1.2.3 The safety management system should ensure:

.1 compliance with mandatory rules and regulations; and

.2 that applicable codes, guidelines and standards recommended by the
Organization, Administrations, classification societies and maritime industry
organizations are taken into account.

1.3 Application

The requirements of this Code may be applied to all ships.

1.4 Functional requirements for a safety management system

Every Company should develop, implement and maintain a safety management
system which includes the following functional requirements:
.1 a safety and environmental-protection policy;
.2 instructions and procedures to ensure safe operation of ships and protection of the
environment in compliance with relevant international and flag State legislation;
.3 defined levels of authority and lines of communication between, and amongst,
shore and shipboard personnel;
.4 procedures for reporting accidents and non-conformities with the provisions of this
Code;
.5 procedures to prepare for and respond to emergency situations; and
.6 procedures for internal audits and management reviews.

2 SAFETY AND ENVIRONMENTAL-PROTECTION POLICY

2.1 The Company should establish a safety and environmental-protection policy

which describes how the objectives given in paragraph 1.2 will be achieved.
2.2 The Company should ensure that the policy is implemented and maintained at all
levels of the organization, both ship-based and shore-based.

3 COMPANY RESPONSIBILITIES AND AUTHORITY

3.1 If the entity who is responsible for the operation of the ship is other than the
owner, the owner must report the full name and details of such entity to the
Administration.
3.2 The Company should define and document the responsibility, authority and
interrelation of all personnel who manage, perform and verify work relating to and
affecting safety and pollution prevention.
3.3 The Company is responsible for ensuring that adequate resources and shore-
based support are provided to enable the designated person or persons to carry out
their functions.

4 DESIGNATED PERSON(S)

To ensure the safe operation of each ship and to provide a link between the
Company and those on board, every Company, as appropriate, should designate a
person or persons ashore having direct access to the highest level of management.
The responsibility and authority of the designated person or persons should include
monitoring the safety and pollution-prevention aspects of the operation of each ship
and ensuring that adequate resources and shore-based support are applied, as
required.

5 MASTER'S RESPONSIBILITY AND AUTHORITY

5.1 The Company should clearly define and document the master's responsibility
with regard to:

.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; and
.5 periodically reviewing the safety management system and reporting its
deficiencies to the shore-based management.
5.2 The Company should ensure that the safety management system operating on
board the ship contains a clear statement emphasizing the master's authority. The
Company should establish in the safety management system 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.

6 RESOURCES AND PERSONNEL

6.1 The Company should ensure that the master is:

.1 properly qualified for command;

.2 fully conversant with the Company's safety management system; and
.3 given the necessary support so that the master's duties can be safely performed.

6.2 The Company should ensure that each ship is manned with qualified, certificated
and medically fit seafarers in accordance with national and international
requirements.
6.3 The Company should establish procedures to ensure that new personnel and
personnel transferred to new assignments related to safety and protection of the
environment are given proper familiarization with their duties. Instructions which are
essential to be provided prior to sailing should be identified, documented and given.
6.4 The Company should ensure that all personnel involved in the Company's safety
management system have an adequate understanding of relevant rules, regulations,
codes and guidelines.
6.5 The Company should establish and maintain procedures for identifying any
training which may be required in support of the safety management system and
ensure that such training is provided for all personnel concerned.
6.6 The Company should establish procedures by which the ship's personnel receive
relevant information on the safety management system in a working language or
languages understood by them.
6.7 The Company should ensure that the ship's personnel are able to communicate
effectively in the execution of their duties related to the safety management system.

7 DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS

The Company should establish procedures (for the preparation of) plans and
instructions, including checklists as appropriate, for key shipboard operations
concerning the safety of the personnel, ship and (the prevention of pollution)
protection of the environment. The various tasks (involved) should be defined
and assigned to qualified personnel.

8 EMERGENCY PREPAREDNESS

8.1 The Company should (establish procedures to) identify (,describe and respond
to) potential emergency shipboard situations and establish procedures to
respond to them.
8.2 The Company should establish programmes for drills and exercises to prepare for
emergency actions.
8.3 The safety management system should provide for measures ensuring that the
Company's organization can respond at any time to hazards, accidents and
emergency situations involving its ships.
9 REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS
OCCURRENCES

9.1 The safety management system should include procedures ensuring that non-
conformities, accidents and hazardous situations are reported to the Company,
investigated and analysed with the objective of improving safety and pollution
prevention.
9.2 The Company should establish procedures for the implementation of corrective
action, including measures intended to prevent recurrence.

10 MAINTENANCE OF THE SHIP AND EQUIPMENT

10.1 The Company should establish procedures to ensure that the ship is maintained
in conformity with the provisions of the relevant rules and regulations and with any
additional requirements which may be established by the Company.
10.2 In meeting these requirements the Company should ensure that:

.1 inspections are held at appropriate intervals;

.2 any non-conformity is reported, with its possible cause, if known;
.3 appropriate corrective action is taken; and
.4 records of these activities are maintained.

10.3 The Company should (establish procedures in its safety management system
to) identify equipment and technical systems the sudden operational failure of which
may result in hazardous situations. The safety management system should provide
for specific measures aimed at promoting the reliability of such equipment or
systems. These measures should include the regular testing of stand-by
arrangements and equipment or technical systems that are not in continuous use.
10.4 The inspections mentioned in 10.2 as well as the measures referred to in 10.3
should be integrated into the ship's operational maintenance routine.

11 DOCUMENTATION

11.1 The Company should establish and maintain procedures to control all
documents and data which are relevant to the safety management system.
11.2 The Company should ensure that:

.1 valid documents are available at all relevant locations;

.2 changes to documents are reviewed and approved by authorized personnel; and
.3 obsolete documents are promptly removed.

11.3 The documents used to describe and implement the safety management system
may be referred to as the Safety Management Manual. Documentation should be
kept in a form that the Company considers most effective. Each ship should carry on
board all documentation relevant to that ship.

12 COMPANY VERIFICATION, REVIEW AND EVALUATION

12.1 The Company should carry out internal safety audits on board and ashore at
intervals not exceeding twelve months to verify whether safety and pollution-
prevention activities comply with the safety management system. In exceptional
circumstances, this interval may exceeded by not more than three months.
12.2 The Company should periodically evaluate (the efficiency of and, when needed,
review) the safety management system in accordance with procedures established
by the Company.
12.3 The audits and possible corrective actions should be carried out in accordance
with documented procedures.
12.4 Personnel carrying out audits should be independent of the areas being audited
unless this is impracticable due to the size and the nature of the Company.
12.5 The results of the audits and reviews should be brought to the attention of all
personnel having responsibility in the area involved.
12.6 The management personnel responsible for the area involved should take timely
corrective action on deficiencies found.

PART B - CERTIFICATION AND VERIFICATION

13 CERTIFICATION AND PERIODICAL VERIFICATION

13.1 The ship should be operated by a Company which has been issued with a
Document of Compliance or with an Interim Document of Compliance in accordance
with paragraph 14.1, relevant to that ship.
13.2 The Document of Compliance should be issued by the Administration, by an
organization recognized by the Administration or, at the request of the
Administration, by another Contracting Government to the Convention to any
Company complying with the requirements of this Code for a period specified by the
Administration which should not exceed five years. Such a document should be
accepted as evidence that the Company is capable of complying with the
requirements of this Code.
13.3 The Document of Compliance is only valid for the ship types explicitly indicated
in the document. Such indication should be based on the types of ships on which the
initial verification was based. Other ship types should only be added after verification
of the Company's capability to comply with the requirements of this Code applicable
to such ship types. In this context, ship types are those referred to in regulation IX/1
of the Convention.
13.4 The validity of a Document of Compliance should be subject to annual
verification by the Administration or by an organization recognized by the
Administration or, at the request of the Administration, by another Contracting
Government within three months before or after the anniversary date.
13.5 The Document of Compliance should be withdrawn by the Administration or, at
its request, by the Contracting Government which issued the Document when the
annual verification required in paragraph 13.4 is not requested or if there is evidence
of major non-conformities with this Code.
13.5.1 All associated Safety Management Certificates and/or Interim Safety
Management Certificates should also be withdrawn if the Document of Compliance is
withdrawn.
13.6 A copy of the Document of Compliance should be placed on board in order that
the master of the ship, if so requested, may produce it for verification by the
Administration or by an organization recognized by the Administration or for the
purposes of the control referred to in regulation IX/6.2 of the Convention. The copy
of the Document is not required to be authenticated or certified.
13.7 The Safety Management Certificate should be issued to a ship for a period
which should not exceed five years by the Administration or an organization
recognized by the Administration or, at the request of the Administration, by another
Contracting Government. The Safety Management Certificate should be issued after
verifying that the Company and its shipboard management operate in accordance
with the approved safety management system. Such a Certificate should be accepted
as evidence that the ship is complying with the requirements of this Code.
13.8 The validity of the Safety Management Certificate should be subject to at least
one intermediate verification by the Administration or an organization recognized by
the Administration or, at the request of the Administration, by another Contracting
Government. If only one intermediate verification is to be carried out and the period
of validity of the Safety Management Certificate is five years, it should take place
between the second and third anniversary dates of the Safety Management
Certificate.
13.9 In addition to the requirements of paragraph 13.5.1, the Safety Management
Certificate should be withdrawn by the Administration or, at the request of the
Administration, by the Contracting Government which has issued it when the
intermediate verification required in paragraph 13.8 is not requested or if there is
evidence of major non-conformity with this Code.
13.10 ‚Notwithstanding the requirements of paragraphs 13.2 and 13.7, when the
renewal verification is completed within three months before the expiry date of the
existing Document of Compliance or Safety Management Certificate, the new
Document of Compliance or the new Safety Management Certificate should be valid
from the date of completion of the renewal verification for a period not exceeding
five years from the date of expiry of the existing Document of Compliance or Safety
Management Certificate.
13.11 ‚When the renewal verification is completed more than three months before
the expiry date of the existing Document of Compliance or Safety Management
Certificate, the new Document of Compliance or the new Safety Management
Certificate should be valid from the date of completion of the renewal verification for
a period not exceeding five years from the date of completion of the renewal
verification."
13.12 When the renewal verification is completed after the expiry date of
the existing Safety Management Certificate, the new Safety Management
Certificate should be valid from the date of completion of the renewal
verification to a date not exceeding five years from the date of expiry of the
existing Safety Management Certificate.

13.13 If a renewal verification has been completed and a new Safety

Management Certificate cannot be issued or placed on board the ship before
the expiry date of the existing certificate, the Administration or
organization recognized by the Administration may endorse the existing
certificate and such a certificate should be accepted as valid for a further
period which should not exceed five months from the expiry date.

13.14 If a ship at the time when a Safety Management Certificate expires is

not in a port in which it is to be verified, the Administration may extend the
period of validity of the Safety Management Certificate but this extension
should be granted only for the purpose of allowing the ship to complete its
voyage to the port in which it is to be verified, and then only in cases where
it appears proper and reasonable to do so. No Safety Management
Certificate should be extended for a period of longer than three months, and
the ship to which an extension is granted should not, on its arrival in the
port in which it is to be verified, be entitled by virtue of such extension to
leave that port without having a new Safety Management Certificate. When
the renewal verification is completed, the new Safety Management
Certificate should be valid to a date not exceeding five years from the expiry
date of the existing Safety Management Certificate before the extension
was granted

14 INTERIM CERTIFICATION

14.1 An Interim Document of Compliance may be issued to facilitate initial

implementation of this Code when:

.1 a Company is newly established; or

.2 new ship types are to be added to an existing Document of Compliance,

following verification that the Company has a safety management system that meets
the objectives of paragraph 1.2.3 of this Code, provided the Company demonstrates
plans to implement a safety management system meeting the full requirements of
this Code within the period of validity of the Interim Document of Compliance. Such
an Interim Document of Compliance should be issued for a period not exceeding 12
months by the Administration or by an organization recognized by the Administration
or, at the request of the Administration, by another Contracting Government. A copy
of the Interim Document of Compliance should be placed on board in order that the
master of the ship, if so requested, may produce it for verification by the
Administration or by an organization recognized by the Administration or for the
purposes of the control referred to in regulation IX/6.2 of the Convention. The copy
of the Document is not required to be authenticated or certified.

14.2 An Interim Safety Management Certificate may be issued:

.1 to new ships on delivery;

.2 when a Company takes on responsibility for the operation of a ship which is new
to the Company; or
.3 when a ship changes flag.

Such an Interim Safety Management Certificate should be issued for a period not
exceeding 6 months by the Administration or an organization recognized by the
Administration or, at the request of the Administration, by another Contracting
Government.

14.3 An Administration or, at the request of the Administration, another Contracting

Government may, in special cases, extend the validity of an Interim Safety
Management Certificate for a further period which should not exceed 6 months from
the date of expiry.
14.4 An Interim Safety Management Certificate may be issued following verification
that:

.1 the Document of Compliance, or the Interim Document of Compliance, is relevant

to the ship concerned;
.2 the safety management system provided by the Company for the ship concerned
includes key elements of this Code and has been assessed during the audit for
issuance of the Document of Compliance or demonstrated for issuance of the Interim
Document of Compliance;
.3 the Company has planned the internal audit of the ship within three months;
.4 the master and officers are familiar with the safety management system and the
planned arrangements for its implementation;
.5 instructions, which have been identified as being essential, are provided prior to
sailing; and
.6 relevant information on the safety management system has been given in a
working language or languages understood by the ship's personnel.

15 VERIFICATION

15.1 All verifications required by the provisions of this Code should be carried out in
accordance with procedures acceptable to the Administration, taking into account the
guidelines developed by the Organization.

16 FORMS OF CERTIFICATES

16.1 The Document of Compliance, the Safety Management Certificate, the Interim
Document of Compliance and the Interim Safety Management Certificate should be
drawn up in a form corresponding to the models given in the appendix to this Code.
If the language used is neither English nor French, the text should include a
translation into one of these languages.
16.2 In addition to the requirements of paragraph 13.3, the ship types indicated on
the Document of Compliance and the Interim Document of Compliance may be
endorsed to reflect any limitations in the operations of the ships described in the
safety management system. ____________