Guidelines on the Application of the IMO International Safety Management (ISM) Code

Contents
Abbreviations
Definitions
Editorial note
Chapter 1
Introduction
1.1 Context
1.2 Objectives of the ISM Code
1.3 Objectives of the safety management system
1.4 Stakeholders
1.4.1 Internal stakeholders
1.4.2 External stakeholders
1.5 Complexity
Chapter 2
Elements of an effective SMS
2.1 Introduction
2.2 Safety and environmental protection policy
2.3 Commitment
2.4 Communication
2.5 Roles
2.5.1 Senior management
2.5.2 Designated person ashore
2.5.3 Other shore-based personnel
2.5.4 The master
2.5.5 Other shipboard personnel
2.6 Resources
2.6.1 Training
2.6.2 Familiarisation
2.6.3 Training and familiarisation terminology
2.6.4 Crewing
2.7 Risk assessments
2.7.1 Risk assessment process
2.7.2 High risk activities and permits to work
2.7.3 Acceptable risk
2.7.4 Risk matrices
2.7.5 Deciding on the need for a risk assessment
2.7.6 Generic and task-based risk assessments
2.7.7 Competence for carrying out risk assessments
6 IMO International Safety Management (ISM) Code
2.8 Procedures
2.8.1 Procedures for shipboard operations
2.8.2 Procedures for emergency situations
2.8.3 Procedures for the maintenance of ship and equipment
2.8.4 Procedures for reporting, investigating and analysing non-conformities, accidents
and hazardous situations
2.9 Documentation
2.9.1 Documents and data relevant to the SMS
2.9.2 Document management and control
2.9.3 Documentation review
2.10 Verification
2.10.1 Internal audits
2.10.2 External audits
2.10.3 Implementation of corrective and preventative actions
2.10.4 Master’s reviews
2.10.5 Management reviews
Chapter 3
Tools for an effective SMS
3.1 Simplifying the SMS
3.2 Developing procedures and checklists
3.2.1 Selecting the type of procedure and checklist
3.2.2 Writing procedures and checklists
3.2.3 Structuring and presenting procedures and checklists
3.3 Creating effective management and leadership
3.3.1 Interpersonal communication
3.3.2 Communication of company policies
3.4 Assessing risks
3.4.1 Useful tools for effective risk assessments
3.4.2 Risk assessment process for fleet and operational risks
3.4.3 Managing risks from changes to equipment and systems
3.4.4 Managing risks from shipboard personnel changes
3.5 Using technology
3.5.1 Using technology for automation
3.5.2 Using technology to maintain the SMS
3.5.3 Using technology to support the effective use of procedures and checklists
3.5.4 Using technology to support effective training
3.5.5 Using technology to support effective maintenance
3.5.6 Using technology to support key shipboard operations
3.6 Using data
3.6.1 Collecting and using data to support the SMS
3.6.2 Lagging and leading indicators
3.6.3 Understanding trends and statistics
3.7 Learning lessons
3.8 Learning from success
3.8.1 Repeating success
3.8.2 Resilience
Chapter 4
Internal audits
4.1 Types of audit
4.2 Responsibilities of the DPA, master and the internal auditor
4.2.1 Role of the DPA
4.2.2 Role of the master
4.2.3 Role of the internal auditor
4.3 Ensuring that an internal auditor is competent, and assigning auditors
4.4 How to conduct an audit
4.4.1 Using technology to support the audit and verification process
4.5 Scheduling an audit
4.6 Preparing and planning an audit
4.6.1 Information required before the audit
4.7 Conducting the audit
4.7.1 The opening meeting
4.7.2 The audit
4.7.3 The closing meeting
4.8 Preparing the audit report
4.9 Corrective actions and follow-ups
Appendices
Appendix A New crew familiarisation form
Appendix B Checklist on writing procedures
Appendix C Checklist on writing procedural checklists
Appendix D Standard operating procedure template
Appendix E Procedural checklist template
Appendix F Checklist on preparing for an internal audit
Appendix G Checklist for internal auditor when conducting the audit
Appendix H Potential audit questions to help the internal auditor
Appendix I References