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1. General 1.1. Definitions 1.2. Objectives 1.3. Application 1.4. Functional requirements for a safety management system (SMS) 2. Safety and environmental protection policy 3. Company responsibilities and authority 4. Designated person(s) 5. Master's responsibility and authority 6. Resources and personnel 7. Development of plans for shipboard operations 8. Emergency preparedness 9. Reports and analysis of non-conformities, accidents and hazardous occurrences 10. Maintenance of the ship and equipment 11. Documentation 12. Company verification, review and evaluation Part B — Certification and verification 13. Certification and periodical verification 14. Interim certification 15. Verification 16. Forms of certificates INTERNATIONAL MANAGEMENT CODE FOR THE SAFE OPERATION OF SHIPS AND FOR POLLUTION PREVENTION (INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE) 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 organisation.

1.1.2. ‘Company’ means the owner of the ship or any other organisation or person such as the manager or the bareboat charterer, who has assumed the responsibility for the operation of the ship from the shipowner and who on assuming such responsibility has agreed to take over all the 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 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: 1.2.2.1. provide for safe practices in ship operation and a safe working environment; 1.2.2.2. establish safeguards against all identified risks; and 1.2.2.3. 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: 1.2.3.1. compliance with mandatory rules and regulations; and 1.2.3.2. that applicable codes, guidelines and standards recommended by the organisation, administrations, classification societies and maritime industry organisations 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 (SMS)

Every company should develop, implement and maintain a safety management system (SMS) which includes the following functional requirements: 1.4.1. a safety and environmental protection policy; 1.4.2. instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag State legislation; 1.4.3. defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel; 1.4.4. procedures for reporting accidents and non-conformities with the provisions of this Code; 1.4.5. procedures to prepare for and respond to emergency situations; and 1.4.6. 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 organisation both ship-based as well as 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 to ensure 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: 5.1.1. implementing the safety and environmental protection policy of the company; 5.1.2. motivating the crew in the observance of that policy; 5.1.3. issuing appropriate orders and instructions in a clear and simple manner; 5.1.4. verifying that specified requirements are observed; and 5.1.5. reviewing the SMS and reporting its deficiencies to the shore-based management.

5.2. The company should ensure that the SMS operating on board the ship contains a clear statement emphasising the master's 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.

6. Resources and personnel 6.1. The company should ensure that the master is: 6.1.1. properly qualified for command; 6.1.2. fully conversant with the company's SMS; and 6.1.3. 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 familiarisation with their duties. Instructions which must 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 SMS 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 SMS 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 SMS 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 SMS.

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 ship and the prevention of pollution. 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.

8.2. The company should establish programmes for drills and exercises to prepare for emergency actions.

8.3. The SMS should provide for measures ensuring that the company's organisation 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 SMS 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.

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: 10.2.1. inspections are held at appropriate intervals; 10.2.2. any non-conformity is reported with its possible cause, if known; 10.2.3. appropriate corrective action is taken; and 10.2.4. records of these activities are maintained.

10.3. The company should establish procedures in the SMS to identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The SMS 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 in the ship's operational maintenance/routine.

11. Documentation