ISM
Guidelines on the Implementation of
the International Safety Management (ISM) Code
IMO
Assembly Resolution A.788(19) - 1995
THE
ASSEMBLY,
RECALLING
Article 15(j) of the Convention on the International Maritime Organization
concerning the functions of the Assembly in relation to regulations and
guidelines concerning maritime safety and the prevention and control of marine
pollution from ships,
RECALLING
ALSO resolution A.741(18), by which the Assembly adopted the International
Management Code for the Safe Operation of Ships and for Pollution Prevention
(International Safety Management (ISM) Code)
NOTING
that the ISM Code is expected, under the provisions of chapter IX of the
International Convention for the Safety of Life at Sea (SOLAS), 1974, to become
mandatory for companies operating certain types of ships, as from 1 July 1998,
RECOGNIZING
that an Administration, in establishing that safety standards are maintained,
has a responsibility to ensure that Documents of Compliance have been issued in
accordance with the Guidelines.
RECOGNIZING
ALSO that there may be a need for Administrations to enter into agreements in
respect of issuance of certificates by other Administrations in compliance with
chapter IX of SOLAS, 1974 and in accordance with resolution A.741(18),
HAVING
CONSIDERED the recommendations made by the Maritime Safety Committee at its
sixty-fifth session and by the Marine Environmental Protection Committee at its
thirty seventh session,
1.
ADOPTS the Guidelines on the Implementation of the International Safety
Management (ISM) Code by Administrations as set out in the Annex to the present
resolution;
2.
URGES Governments, when implementing the ISM Code, to adhere to the Guidelines,
in particular with regard to the validity of the Document of Compliance and
Safety Management Certificate required by the ISM Code;
3.
URGES ALSO Governments to request the companies concerned to apply for
certification under the ISM Code as soon as possible but not later than trwelve
months prior to the ISM Code becoming mandatory for ships belonging thereto,
4.
REQUESTS Governments to inform the Organization of any difficulties they have
experienced in using the annexed Guidelines;
5.
REQUESTS ALSO the Maritime Safety Committee and the Marine Environment
Protection Committee to keep the annexed Guidelines under review and to amend
them as necessary;.
Guidelines
on the Implementation of the International Safety Management (ISM) Code Annex
to IMO Assembly Resolution A.788(19) - 1995
INTRODUCTION
The
ISM Code
The
International Management Code for the Safe Operation of Ships and for Pollution
Prevention (International Safety Management (ISM) Code was adopted by the
Organization by resolution A.741(18) and will be made mandatory by virtue of
the entry into force on 1 January 1998 of SOLAS chapter IX "Management for
the Safe Operation of Ships". The ISM Code provides an international
standard for the safe management and operation of ships and for pollution
prevention.
The
ISM Code requires that Companies establish safety objectives as described in
section 1.2 of the ISM Code, and in addition that the Companies develop,
implement and maintain a Safety Management System (SMS) which includes
functional requirements as listed in section 1.4 of the ISM Code.
The
application of the ISM Code should support and encourage the development of a
safety culture in shipping. Success factors for the development of a safety
culture are, inter alia, commitment, values and beliefs.
Mandatory
Application of the ISM Code
The
appropriate organisation of management, ashore and on board, is needed to
ensure adequate standards of safety. A systematic approach to management by
those responsible for management of ships is therefore required. The objectives
of the mandatory application of the ISM Code are to ensure:
1.compliance
with mandatory rules and regulations related to the safe operation of ships and
protection of the environment; and
2.the
effective implementation and enforcement thereof by Administrations.
Effective
enforcement by Administrations must include verification that the Safety
Management System (SMS) complies with the requirements as stipulated in the ISM
Code, as well as verification of compliance with mandatory rules and
regulations.
The
mandatory application of the ISM Code should ensure, support and encourage that
applicable codes, guidelines and standards recommended by the Organization,
Administrations, classification societies and maritime industry organisations
are taken into account.
Verification
and Certification Responsibilities
The
Administration is responsible for verifying compliance with the requirements of
the ISM Code and issuing Documents of Compliance (DOC) to Companies and Safety
Management Certificates (SMC) to ships.
Resolution
A.739(18) "Guidelines for the Authorization of Recognized Organizations
acting on behalf of the Administrations", which was made mandatory by the
new SOLAS chapter XI and resolution A.740(18) "Interim Guidelines to
assist flag States" are applicable when Administrations authorize
organizations to issue DOC and SMC on their behalf.
1.
SCOPE AND APPLICATION
1.1
Definitions
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 Organization by resolution A.741(18), 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 the duties and responsibilities
imposed by the ISM 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" (SMS) means a structured and documented
system enabling Company personnel to effectively implement the Company Safety
and Environmental Protection Policy.
1.1.5
"Document of Compliance" (DOC) means a document issued to a Company
which complies with the requirements of the ISM Code.
1.1.6
"Safety Management Certificate" (SMC) means a document issued to a
ship which signifies that the Company and its shipboard management operate in
accordance with the approved SMS.
1.1.7
"Safety management audit" means a systematic and independent
examination to determine whether the SMS activities and related results comply
with planned arrangements and whether these arrangements are implemented
effectively and are suitable to achieve objectives.
1.1.8
"Observation" means a statement of fact made during a Safety
Management Audit and substantiated by objective evidence.
1.1.9
"Objective evidence" means quantitative or qualitative information,
records or statements of fact pertaining to safety or to the existence and
implementation of a SMS element, which is based on observation, measurement or
test and which can be verified.
1.1.10
"Non conformity" means an observed situation where objective evidence
indicates the non fulfilment of a specified requirement.
1.1.11
"Major non conformity" means an identifiable deviation which poses a
serious threat to personnel or ship safety or a serious risk to the environment
and requires immediate corrective action; in addition the lack of effective and
systematic implementation of a requirement of the ISM Code, is also considered
as a major non conformity.
1.2
Scope and application
1.2.1
These guidelines establish basic principles:
for
verifying that the Safety Management System (SMS) of a Company responsible for
the operation of ships or the SMS for the ship or ships controlled by the
company complies with the ISM Code; and
for
the issue and periodical verification of the DOC and SMC.
1.2.2
These Guidelines are applicable to Administrations.
2.
VERIFYING COMPLIANCE WITH THE ISM CODE
2.1
General
2.1.1
To comply with the requirements of the ISM Code, Companies should develop,
implement and maintain an SMS to ensure that the safety and environmental
protection policy of the Company is implemented. The Company policy should
include the objectives defined by the ISM Code.
Note:
ICS/ISF Guidelines on the application of the International Safety Management
Code" (A.18/INF.5) gives useful guidance on important individual element
of an SMS and its development by Companies.
2.1.2
Administrations should verify compliance with the requirements of the ISM Code
by determining:
the
conformity of the Company's safety management system (SMS) with the
requirements of the ISM Code; and
that
the SMS ensures that the objectives defined in Section 1.2.3 of the ISM Code
are met.
2.1.3
Determining conformity or non conformity of the SMS elements with the
requirements specified by the ISM Code may demand that criteria for assessment
be developed. Administrations are recommended to limit the development of
criteria in the form of prescriptive management system solutions. Criteria for
assessment in the form of prescriptive requirements may have the effect that
safety management in shipping results in Companies implementing solutions
prepared by others, it may then be difficult for a Company to develop the
solutions which best suit that particular Company, that particular operation or
that specific ship.
2.1.4
Therefore, Administrations are recommended to ensure that these assessments are
based on determining the effectiveness of the SMS in meeting specified
objectives, rather than conformity with detailed requirements in addition to
those contained in the ISM Code so as to reduce the need for developing
criteria to facilitate assessment of the Companies' compliance with the ISM
Code.
2.2
The ability of the SMS in meeting general safety management objectives
2.2.1
The ISM Code identifies general safety management objectives. These objectives
are:
to
provide for safe practices in ship operation and a safe working environment,
to
establish safeguards against all identified risks; and
to
continuously improve the safety management skills of personnel ashore and
aboard, including preparing for emergencies related both to safety and
environmental protection.
The
verification should support and encourage Companies in achieving these
objectives.
2.2.2
These objectives provide clear guidance to Companies for the development of SMS
elements in compliance with the ISM Code. Since, however, the ability of the
SMS in achieving these objectives cannot be determined beyond whether the SMS
complies with the requirements of the ISM Code, they should not form the basis
for establishing detailed interpretations to be used for determining conformity
or non conformity with the requirements of the ISM Code.
2.3
The ability of the SMS in meeting specific requirements of safety and pollution
prevention
2.3.1
The main criteria which should govern the development of interpretations needed
for assessing compliance with the requirements of the ISM Code should be the
ability of the SMS in meeting the specific requirements defined by the ISM Code
in terms of specific standards of safety and pollution prevention.
The
specific standards of safety and protection of the environment specified by the
ISM Code are:
compliance
with mandatory rules and regulations; and
that
applicable codes, guidelines and standards recommended by the Oganization,
Administrations, classification societies and other maritime industry
organizations are taken into account.
2.3.2
All records having the potential to facilitate verification of compliance with
the ISM Code should be open to scrutiny during an examination. For this purpose
the Administration should ensure that the Company provide auditors with
statutory and classification records relevant to the actions taken by the
Company to ensure that compliance with mandatory rules and regulations is
maintained. In this regard the records may be examined to substantiate their
authenticity and veracity.
2.3.3
Some mandatory requirements may not be subject to statutory or classification
surveys, such as:
maintaining
the condition of ship and equipment between surveys; and
certain
operational requirements.
Specific
arrangements may be required to ensure compliance and to provide for the
objective evidence needed for verification in these cases, such as:
documented
procedures and instructions; and
documentation
of the verification carried out by senior officers of day to day operation when
relevant to ensure compliance.
2.3.4
The verification of compliance with mandatory rules and regulations, which is
part of the ISM Code certification, neither duplicates nor substitutes surveys
for other maritime certificates. The verification of compliance with the ISM
Code does not relieve the Company, the Master or any other entity or person
involved in the management or operation of the ship of their responsibilities.
2.3.5
Administrations should ensure that the Company has:
taken
into account the recommendations, as referred to in 1.2.3.2 of the ISM Code,
when establishing the SMS; and
developed
procedures to ensure that these recommendations are implemented on shore and on
board.
2.3.6
Within an SMS, implementation of codes, guidelines and standards recommended by
the Organization, Administrations, classification societies and other maritime
industry organizations does not make these recommendations mandatory under the
ISM Code. Nevertheless auditors should encourage companies to adopt these
recommendations whenever applicable to the Company.
3.
ISSUANCE AND VALIDITY OF DOC AND SMC
3.1
Issuance and validity of the DOC
3.1.1
The DOC should be issued to a Company following an initial verification of
compliance with the requirements of the ISM Code.
3.1.2
The DOC should be issued following verification that the SMS of the Company
complies with the requirements of the ISM Code and determination of objective
evidence proving that it is effectively implemented. The verification should
include objective evidence demonstrating that the Company SMS has been in
operation for at least three months, and an SMS has been in operation on board
at least one ship of each type operated by the Company for at least three
months. The objective evidence should, inter alia, include records from the
internal annual audit performed by the Company, ashore and on board.
3.1.3
The DOC is valid for the types of ships on which the initial verification was
based.
3.1.4
The validity of a DOC may be extended to cover additional ship types after
verification of the Company's capability to comply with the requirements of the
ISM Code for such ship types of ships. In this context, types of ships refers
to those stated in SOLAS chapter IX.
3.1.5
The DOC is valid for a period of five years.
3.1.6
The validity of the DOC is subject to annual verification within three months
before or after the anniversary date to confirm the effective functioning of
the SMS. This should include examining and verifying the correctness of the
statutory and classification records presented for at least one ship of each
type to which the DOC applies. Corrective actions and modifications to the SMS
carried out since the previous verification should be verified.
3.1.7
Renewal of the DOC for further period of five years should include assessment
of all the elements of the SMS regarding its effectiveness in meeting the
objectives specified in the ISM Code.
3.1.8
Only the issuing Administration may withdraw the DOC. The issuing
Administration should withdraw the DOC if the periodical verification is not
requested or there is evidence of major non conformity with the ISM Code. The
SMCs associated with the DOC should also be invalidated and withdrawn.
3.2
Issuance and validity of the SMC
3.2.1
The SMC should be issued to a ship following an initial verification of
compliance with the requirements of the ISM Code. This includes the
verification that the DOC for the Company responsible for the operation of the
ship is applicable to that particular type of ship, and assessment of the
shipboard SMS to verify that it complies with the requirements of the ISM Code,
and that it is implemented. Objective evidence demonstrating that the Company's
SMS has been functioning effectively for at least three months on board the
ship should be available, including, inter alia, records from the internal
audit performed by the Company.
3.2.2
The SMC is valid for a period of five years.
3.2.3
The validity of the SMC is subject to at least one intermediate verification,
confirming the effective functioning of the SMS, and that any modifications
carried out since the previous verification comply with the requirements of the
ISM Code. In certain cases, particularly during the initial period of operation
under the SMS, the Administration may find it necessary to increase the
frequency of the intermediate verification. Additionally, the nature of non
conformities may also provide a basis for increasing the frequency of
intermediate verifications.
3.2.4
Renewal of the SMC for a further period of five years should include an
assessment of all elements of the SMS pertaining to that ship and regarding its
effectiveness of the SMS in meeting the objectives specified in the ISM Code.
3.2.5
Only the issuing Administration may withdraw the SMC. The issuing
Administration should withdraw the SMC, if intermediate verification is not
requested or there is evidence of major non conformity with the ISM Code.
3.3
Interim DOC and SMC
3.3.1
In cases of change of flag or Company, special transitional arrangements should
be made in accordance with these guidelines.
3.3.2
An Interim DOC may be issued to facilitate initial implementation of the ISM
Code and implementation where a Company is newly established or where new ship
types are added to an existing DOC.
3.3.3
An Administration may issue an Interim DOC, valid for no more than twelve
months, to a Company following a demonstration that the Company has an SMS that
meets the objectives of section 1.2.3 of the ISM Code. The Administration
should require the Company to demonstrate plans to implement an SMS meeting the
full requirements of the ISM Code within the period of validity of the Interim
DOC.
3.3.4
An Interim SMC, valid for not more than six months, may be issued to new ships
on delivery, and when a Company takes on the responsibility for the management
of a ship which is new to the Company. In special cases the Administration may
extend the validity of the Interim SMC for a further six months.
3.3.5
Before issuing an Interim SMC, the Administration should verify that:
the
DOC, or the Interim DOC, is relevant to that ship;
the
SMS provided by the Company for the ship includes key elements of the ISM Code
and has been assessed during the audit for issuance of the DOC or demonstrated
for issuance of the Interim DOC (see 3.3.3);
the
master and relevant senior officers are familiar with the SMS and the planned
arrangements for its implementation;
instructions
which have been identified as essential to be provided prior to sailing have
been given;
plans
for Company audit of the ship within three months exist; and
the
relevant information on the SMS is given in a working language or languages
understood by the ship's personnel.
4.
THE CERTIFICATION PROCESS
4.1
Certification activities
4.1.1
The certification process relevant for the issuance of a DOC for a Company and
an SMC to a ship will normally involve the following steps:
initial
verification
periodical
or intermediate verification
renewal
verification
These
verifications are carried out at the request of the Company to the
Administration, or to the organization recognized by the Administration to
perform certification functions under the ISM Code.
The
verifications will include an audit of the SMS.
4.2
Initial Verification
4.2.1
The Company should apply for ISM Code certification to the Administration.
4.2.2
An assessment of the shore side management system undertaken by the
Administration would necessitate assessment of the offices where such
management is carried out and possibly other locations depending on the
Company's organization and functions of the various locations.
4.2.3
On satisfactory completion of the assessment of the shore side SMS,
arrangements/planning may commence for the assessment of the Company's ships.
4.2.4
On satisfactory completion of the assessment, a DOC will be issued to the
Company, copies of which should be forwarded to each shore side premises and
each ship in the Company's fleet. As each ship is assessed and issued with an
SMC, a copy of it should also be forwarded to the Company's head office.
4.2.5
In cases where certificates are issued by a recognized organization, copies of
all certificates should also be sent to the Administration.
4.2.6
The safety management audit for the Company and for a ship will involve the
same basic steps. The purpose is to verify that a Company or a ship comply with
the requirements of the ISM Code. The audits include:
the
conformity of the Company's SMS with the requirements of the ISM Code; and
that
the SMS ensures that the objectives defined in section 1.2.3 of the ISM Code
are met.
4.3
Periodical Verification of DOC
4.3.1
Periodical Safety Management Audits are to be carried out to maintain the
validity of the DOC. The purpose of these audits is to verify the effective
functioning of the SMS, and that any modifications made the SMS comply with the
requirements of the ISM Code.
4.3.2
Periodical verification is to be carried out within three months before and
after each anniversary date of DOC. A schedule not exceeding three months is to
be agreed for completion of the necessary corrective actions.
4.3.3
Where the Company has more than one shore side premises, each of which may not
have been visited at the initial assessment, the periodical assessments should
endeavour to ensure that all sites are visited during the period of validity of
the DOC.
4.4
Intermediate verification of SMC
4.4.1
Intermediate safety management audits should be carried out to maintain the
validity of the SMC. The purpose of these audits is to verify the effective
functioning of the SMS and that any modifications made to the SMS comply with
the requirements of the ISM Code.
4.4.2
If only one intermediate verification is to be carried out, it should take
place between the second and third anniversary date of the issue of the SMC.
4.5
Renewal verification
4.5.1
Renewal verifications are to be performed before the validity of the DOC or the
SMC expires. The renewal verification will address all the elements of the SMS
and the activities to which the requirements of the ISM Code apply. Renewal
verification may be carried out from six months before the expiry date of the
DOC or the SMC and should be completed before their expiry date.
4.6
Safety management audits
4.6.1
The procedure for safety management audits outlined in the following paragraphs
include all steps relevant for initial verification. Safety management audits
for periodical verification and renewal verification should be based on the
same principles even if their scope may be different.
4.7
Application for audit
4.7.1
The Company should submit a request for audit to the Administration or to the
organization recognized by the Administration for issuing DOC or SMC on behalf
of the Administration.
4.7.2
The Administration or the recognized organization should then nominate the lead
auditor and, if relevant, the audit team.
4.8
Preliminary review
4.8.1
As a basis for planning the audit, the auditor should review the safety
management manual to determine the adequacy of the SMS in meeting the
requirements of the ISM Code. If this review reveals that the system is not
adequate, the audit will have to be delayed until the Company undertakes
corrective action.
4.9
Preparing the audit
4.9.1
The nominated lead auditor should liaise with the Company and produce an audit
plan.
4.9.2
The auditor should provide the working documents which are to govern the
execution of the audit to facilitate the assessments, investigations and
examinations in accordance with the standard procedures, instructions and forms
which have been established to ensure consistent auditing practices.
4.9.3
The audit team should be able to communicate effectively with auditees.
4.10
Executing the audit
4.10.1
The audit should start with an opening meeting in order to introduce the audit
team to the Company's senior management, summarize the methods for conducting
the audit, confirm that all agreed facilities are available, confirm time and
date for a closing meeting and clarify possible unclear details relevant to the
audit.
4.10.2
The audit team should assess the SMS on the basis of the documentation
presented by the Company and objective evidence as to its effective
implementation.
4.10.3
Evidence should be collected through interviews and examination of documents.
Observation of activities and conditions may also be included when necessary to
determine the effectiveness of the SMS in meeting the specific standards of
safety and protection of the environment required by the ISM Code.
4.10.4
Audit observations should be documented. After activities have been audited,
the audit team should review their observations to determine which are to be
reported as non conformities. Non conformities should be reported in terms of
the general and specific provisions of the ISM Code.
4.10.5
At the end of the audit, prior to preparing the audit report, the audit team
should hold a meeting with the senior management of the Company and those
responsible for the functions concerned. The purpose is to present the
observations to ensure that the results of the audit are clearly understood.
4.11
Audit report
4.11.1
The audit report should be prepared under the direction of the lead auditor,
who is responsible for its accuracy and completeness.
4.11.2
The audit report should include the audit plan, the identification of audit
team members, dates and identification of the Company, observations on any non
conformities and observations on the effectiveness of the SMS in meeting the
specified objectives.
4.11.3
The Company should receive a copy of the Audit Report. The Company should be
advised to provide a copy of the shipboard audit reports to the ship.
4.12
Corrective action follow up
4.12.1
The Company is responsible for determining and initiating the corrective action
needed to correct a non conformity or to correct the cause of the non
conformity. Failure to correct non conformities with specific requirements of
the ISM Code may affect the validity of the DOC and related SMCs.
4.12.2
Corrective actions and possible subsequent follow up audits should be completed
within the time period agreed. The Company should apply for the follow up
audits.
4.13
Company responsibilities pertaining to safety management audits
4.13.1
The verification of compliance with the requirements of the ISM Code does not
relieve the Company, management, officers or seafarers of their obligations as
to compliance with national and international legislation related to safety and
protection of the environment.
4.13.2
The Company is responsible for:
forming
relevant employees about the objectives and scope of the ISM Code
certification;
pointing
responsible members of staff to accompany members of the team performing the
certification;
Providing
the resources needed by those performing the certification to ensure an
effective and efficient verification process;
providing
access and evidential material as requested by those performing the
certification; and
cooperating
with the verification team to permit the certification objectives to be
achieved.
4.14
Responsibilities of the organization performing the ISM Code certification
4.14.1
The organization performing the ISM Code certification is responsible for
ensuring that the certification process is performed according to the ISM Code
and these Guidelines. This includes management control of all aspects of the
certification according to the Annex to these Guidelines.
4.15
Responsibilities of the Verification Team
4.15.1
Whether the verifications involved with certification are performed by a team
or not, one person should be in charge of the verification. The leader should
be given the authority to make final decisions regarding the conduct of the
verification and any observations. His responsibilities should include:
preparation
of a plan for the verification; and
submission
of the report of the verification.
4.15.2
Personnel participating in the verification are responsible for complying with
the requirements governing the verification, ensuring confidentiality of
documents pertaining to the certification and treating privileged information
with discretion.
4.16
Forms of DOC and SMC
4.16.1
The DOC, SMC and Interim DOC and Interim SMC should be drawn up in the form
corresponding to the models given in annex 2 to these Guidelines. If the
language used is neither English or French, the text should include a
translation into one of these languages.
Appendix
1 - STANDARDS ON ISM CODE CERTIFICATION ARRANGEMENTS
1.INTRODUCTION
1.1
The audit team, and the organization under which it may be managed, involved
with ISM Code certification should comply with the specific requirements stated
in this Annex.
2.
STANDARD OF MANAGEMENT
2.1
Organizations managing verification of compliance with the ISM Code should
have, in its own organization competence in relation to:
ensuring
compliance with the rules and regulations including certification of seafarers,
for the ships operated by the Company;
the
approval, survey and certification activities relevant for the maritime
certificates;
the
terms of reference that must be taken into account under the SMS as required by
the ISM Code; and
practical
experience of ship operation.
2.2
SOLAS 74 requires that organizations recognized by Administrations for issuing
DOC and SMC at their request should comply with resolution A.739(18).
2.3
Any organization performing verification of compliance with the provisions of
the ISM Code should ensure that there exists independence between the personnel
providing consultancy services and those involved in the certification
procedure.
3.
STANDARDS OF COMPETENCE
3.1
ISM Code certification scheme management
3.1.1
Management of ISM Code certification schemes should be carried out by those who
have practical knowledge of ISM Code certification procedures and practices.
3.2
Basic competence for performing verification
3.2.1
Personnel who are to participate in the verification of compliance with the
requirements of the ISM Code should have a minimum of formal education
according to the following:
qualifications
from a tertiary institution recognized by the Administration or by the
recognized organization within a relevant field of engineering or physical
science (minimum two years programme), or
qualifications
from a marine or nautical institution and relevant sea-going experience as a
certified ship officer.
3.2.2
They should have undergone training to ensure adequate competence and skills
for performing verification of compliance with the requirements of the ISM
Code, particularly with regard to:
knowledge
and understanding of the ISM Code;
mandatory
rules and regulations;
the
terms of reference which the ISM Code requires that Companies should take into
account;
assessment
techniques of examining, questioning, evaluating and reporting;
technical
or operational aspects of safety management;
basic
knowledge of shipping and shipboard operations; and
participation
in at least one marine related management system audit.
3.2.3
Such competence should be demonstrated through written or oral examinations, or
other acceptable means.
3.3
Competence for initial verification and renewal verification
3.3.1
In order to assess fully whether the Company or the ship complies with the
requirements of the ISM Code, in addition to the basic competence stated under
Section 3.2, personnel who are to perform initial verifications or renewal
erifications for a DOC or SMC, must possess the competence to:
determine
whether the SMS elements conform or do not conform with the requirements of the
ISM Code;
determine
the effectiveness of the Company's SMS, or that of the ship, to ensure
compliance with rules and regulations as evidenced by the statutory and
classification survey records;
assess
the effectiveness of the SMS in ensuring compliance with other rules and
regulations which are not covered by statutory and classification surveys and
enabling verification of compliance with these rules and regulations; and
assess
whether the safe practices recommended by the Organization, Administrations,
classification societies and maritime industry organizations have been taken
into account.
3.3.2
This competence can be accomplished by teams which together possess the total
competence required.
3.3.3
Personnel who are to be in charge of initial verification or renewal
verification of compliance with the requirements of the ISM Code should have at
least five years xperience in areas relevant to the technical or operational
aspects of safety management; and have participated in at least three initial
verifications or renewal verifications. Participation in verification of
compliance with other management standards may be considered as equivalent to
participation in verification of compliance with the ISM Code.
3.4
Competence for periodical, intermediate and interim verification
Personnel
who are to perform periodical, intermediate and interim verifications should
satisfy basic requirements for personnel participating in verifications and
should have participated in a minimum of two periodical, renewal or initial
verifications. They should have received special instructions needed to ensure
that they possess the competence required to determine the effectiveness of the
Company's SMS.
4.
QUALIFICATION ARRANGEMENTS
Organizations
performing ISM Code certification should have implemented a documented system
for qualification and continuous updating of the knowledge and competence of
personnel who are to perform verification of compliance with the ISM Code. This
system should comprise theoretical training courses covering all the competence
requirements and the appropriate procedures connected to the certification
process, as well as practical tutored training, and it should provide
documented evidence of satisfactory completion of the training.
5.
CERTIFICATION PROCEDURES AND INSTRUCTIONS
5.1
Organizations performing ISM Code certification should have implemented a
documented system to ensure that the certification process is performed in
accordance with this standard. This system should inter alia, include
procedures and instructions for the following:
contract
agreements with Companies;
planning,
scheduling and performing verification;
reporting
results from verification;
issuance
of DOC, SMS and Interim DOC and SMC;
corrective
action and follow-up of verifications, including actions to be taken in cases
of major non-conformity.
*********************************
Appendix
2 - FORMS OF DOC, SMC, AND INTERIM DOC AND SMC
DOCUMENT
OF COMPLIANCE
(Official
seal)
(State)
Issued
under the provisions of the
INTERNATIONAL
CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as amended
Under
the authority of the Government of:
................................................................................
Name
of the State
by
..........................................................................................................................................
person
or organization authorized
Name
and address of the Company
.................................................................................
....................................................................................................................................................
see
paragraph 1.1.2 of the ISM Code
THIS
IS TO CERTIFY THAT the safety management system of the Company has been audited
and that it complies with the requirements of the International Management Code
for the Safe Operation of Ships and for Pollution Prevention (ISM Code)* for
the types of ships listed below (delete as appropriate):
Passenger
ship
Passenger
high-speed craft
Cargo
high-speed craft
Bulk
carrier
Oil
tanker
Chemical
tanker
Gas
carrier
Mobile
offshore drilling unit
Other
cargo ship
This
Document of Compliance is valid until
................................................................, subject to
periodical verification.
Issued
at
.............................................................................................................................
place
of issue of the document
Date
of issue ..................................................
.................................................................................
Signature
of the duly authorized official issuing the document
(Seal
or stamp of issuing authority, as appropriate)
*
Adopted by the Organization by resolution A.741(18).
*********************************
ENDORSEMENT
FOR ANNUAL VERIFICATION
THIS
IS TO CERTIFY THAT, at the periodical verification in accordance with
regulation 6 of chapter IX of the Convention, the safety management system was
found to comply with the requirements of the ISM Code.
1st
ANNUAL VERIFICATION
Signed:...................................................................
(Signature
of authorized official)
Place:
.......................................................................
Date:
.......................................................................
2nd
ANNUAL VERIFICATION
Signed:.......................................................................
(Signature
of authorized official)
Place:
.......................................................................
Date:
.......................................................................
3rd
ANNUAL VERIFICATION
Signed:.......................................................................
(Signature
of authorized official)
Place:
.......................................................................
Date:
.......................................................................
4th
ANNUAL VERIFICATION
Signed:.......................................................................
(Signature
of authorized official)
Place:
.......................................................................
Date:
.......................................................................
*********************************
SAFETY
MANAGEMENT CERTIFICATE
(Official
seal)
(State)
Issued
under the provisions of the
INTERNATIONAL
CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as amended
Under
the authority of the Government of:
................................................................................
Name
of the State
by
..........................................................................................................................................
person
or organization authorized
Name
of ship:
.................................................................................
Distinctive
numbers or letters:
.................................................................................
Port
of registry:
.................................................................................
Type
of ship*:
.................................................................................
Gross
tonnage:
.................................................................................
IMO
Number:
.................................................................................
Name
of ship:
.................................................................................
Name
and address of Company:
.................................................................................
....................................................................................................................................................
see
paragraph 1.1.2 of the ISM Code
THIS
IS TO CERTIFY THAT the safety management system of the ship has been audited
and that it complies with the requirements of the International Management Code
for the Safe Operation of Ships and for Pollution Prevention (ISM Code),**
following verification that the Document of Compliance for the Company is
applicable to this type of ship.
This
Safety Management Certificate is valid until ........................, subject
to periodical verification and the validity of the Document of Compliance.
Issued
at ..................................................................(place of
issue of the document)
Date
of issue ...........................................................
..................................................................................................
(Signature
of the duly authorized official issuing the certificate)
(Seal
or stamp of issuing authority, as appropriate)
*
Insert the type of ship from among the following: passenger ship; passenger
high-speed craft; cargo high speed craft; bulk carrier; oil tanker; chemical
tanker; gas carrier; mobile offshore drilling unit; other cargo ship.
**
Adopted by the Organization by resolution A.741(18).
*********************************
ENDORSEMENT
FOR PERIODICAL VERIFICATION AND ADDITIONAL VERIFICATION (IF REQUIRED)
THIS
IS TO CERTIFY THAT, at the periodical verification in accordance with
regulation 6 of chapter IX of the Convention, the safety management system was
found to comply with the requirements of the ISM Code.
INTERMEDIATE
VERIFICATION
Signed:...................................................................
To
be completed between the 2nd and 3rd Anniversary Date
(Signature
of authorized official)
Place:
.......................................................................
Date:
.......................................................................
ADDITIONAL
VERIFICATION*
Signed:.......................................................................
(Signature
of authorized official)
Place:
.......................................................................
Date:
.......................................................................
ADDITIONAL
VERIFICATION*
Signed:.......................................................................
(Signature
of authorized official)
Place:
.......................................................................
Date:
.......................................................................
ADDITIONAL
VERIFICATION*
Signed:.......................................................................
(Signature
of authorized official)
Place:
.......................................................................
Date:
.......................................................................
*
If Applicable
*********************************
INTERIM
DOCUMENT OF COMPLIANCE
(Official
seal)
(State)
Issued
under the provisions of the
INTERNATIONAL
CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as amended
Under
the authority of the Government of:
................................................................................
Name
of the State
by
..........................................................................................................................................
person
or organization authorized
Name
and address of the Company
.................................................................................
....................................................................................................................................................
see
paragraph 1.1.2 of the ISM Code
THIS
IS TO CERTIFY THAT the safety management system of the Company has been audited
and that it complies with the requirements of the International Management Code
for the Safe Operation of Ships and for the Pollution Prevention (ISM COde)*
for the type(s) of ships listed below (delete as appropriate):
Passenger
ship
Passenger
high-speed craft
Cargo
high-speed craft
Bulk
carrier
Oil
tanker
Chemical
tanker
Gas
carrier
Mobile
offshore drilling unit
Other
cargo ship
This
Document is valid until
.................................................................. Issued at
..................................................................(place of
issue of the document)
Date
of issue ...........................................................
..................................................................................................
(Signature
of the duly authorized official issuing the certificate)
(Seal
or stamp of issuing authority, as appropriate)
*
Insert the type of ship from among the following: passenger ship; passenger
high-speed craft; cargo high speed craft; bulk carrier; oil tanker; chemical
tanker; gas carrier; mobile offshore drilling unit; other cargo ship.
**
Adopted by the Organization by resolution A.741(18).
*********************************
INTERIM
SAFETY MANAGEMENT CERTIFICATE
(Official
seal)
(State)
Issued
under the provisions of the
INTERNATIONAL
CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as amended
Under
the authority of the Government of:
................................................................................
Name
of the State
by
..........................................................................................................................................
person
or organization authorized
Name
of ship:
.................................................................................
Distinctive
numbers or letters:
.................................................................................
Port
of registry:
.................................................................................
Type
of ship*:
.................................................................................
Gross
tonnage:
.................................................................................
IMO
Number:
.................................................................................
Name
of ship:
.................................................................................
Name
and address of Company:
.................................................................................
....................................................................................................................................................
see
paragraph 1.1.2 of the ISM Code
THIS
IS TO CERTIFY THAT the safety management system of the ship has been audited
and that it complies with the requirements of the International Management Code
for the Safe Operation of Ships and for Pollution Prevention (ISM Code),**
following verification that the Document of Compliance for the Company is
applicable to this type of ship.
This
Safety Management Certificate is valid until
...................................................................
Issued
at ..................................................................(place of
issue of the document)
Date
of issue ...........................................................
..................................................................................................
(Signature
of the duly authorized official issuing the certificate)
(Seal
or stamp of issuing authority, as appropriate)
*
Insert the type of ship from among the following: passenger ship; passenger
high-speed craft; cargo high speed craft; bulk carrier; oil tanker; chemical
tanker; gas carrier; mobile offshore drilling unit; other cargo ship.
**
Adopted by the Organization by resolution A.741(18).
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