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Foreword
With the entry into force, on 1
July 1998, of the 1994 amendments to the International Convention for the
Safety of life at Sea (SOLAS), 1974, which introduced a new chapter IX into the
Convention, the International Safety Management (ISM) Code has been made
mandatory.
The Code's origins go back to
the late 1980s, when there was mounting concern about poor management standards
in shipping. Investigations into accidents revealed major errors on the part of
management and in 1987 the IMO Assembly adopted resolution A.595(15), which
called upon the Maritime Safety Committee to develop guidelines concerning
shipboard and shore‑based management to ensure the safe operation of ro‑ro
passenger ferries.
The ISM Code evolved through
the development of the Guidelines on Management for the Safe Operation of Ships
and for Pollution Prevention, adopted in 1989 by the IMO Assembly as resolution
A.647(16), and the revised Guidelines, adopted two years later as resolution
A.680(1 7), to its current form, the International Management Code for the Safe
Operation of Ships and for Pollution Prevention (international Safety
Management (ISM) Code), which was adopted in 1993 as resolution A.741(18).
In 1995, the IMO Assembly,
recognizing the need for uniform implementation of the ISM Code and that there
might be a need for Administrations to enter into agreements in respect of the
issuance of certificates by other Administrations in accordance with SOLAS
chapter IX and the ISM Code, adopted the Guidelines on Implementation of the
International Safety Management (ISM) Code by Administrations by resolution
A.788(19).
This publication includes the
texts of SOLAS chapter IX, the ISM Code and the Guidelines referred to in the
previous paragraphs.
iii
Contents
International Convention for the Safety of life at Sea,
1974
Chapter IX ‑
Management for the safe operation of ships .............. 1
Resolution A.741(18)
International Safety Management (ISM) Code ................................ 5
Resolution A.788(19)
Guidelines on implementation of
the ISM Code by
Administrations ................................................ 13
Management for the safe
operation of ships
Chapter IX* of the annex to the 1974 SOLAS Convention
Regulation 1
Definitions
For the purpose of this
chapter, unless expressly provided otherwise:
1 International Safety
Management (ISM) Code means the International Management Code for the Safe
Operation of Ships and for Pollution Prevention adopted by the Organization by
resolution A.741(18), as may be amended by the Organization, provided that
such amendments are adopted, brought into force and take effect in accordance
with the provisions of article VIII of the present Convention concerning the
amendment procedures applicable to the annex other than chapter 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 owner of the ship and who on assuming such responsibility has
agreed to take over all the duties and responsibilities imposed by the
International Safety Management Code.
3 Oil tanker means
an oil tanker as defined in regulation 11‑1/2.12.t
4 Chemical tanker
means a chemical tanker as defined in regulation
VII/8.2.*
5 Gas carrier
means a gas carrier as defined in regulation VII/1 1.2.~
* The new chapter R of the
annex to the 1974 SOLAS Convention was adopted by the 199 SOLAS Conference. it
will be deemed to have been accepted on 1 January 1998, unles requisite
objections have been communicated to the Secretary‑General of the Organisation
prior to this date, and will enter into force on 1 July 1998.
~ i.e., "the oil tanker
defined in regulation 1 of Annex 1 of the Protocol of 1978 relating t [MARPOL
731".
~ i.e.,‑‑‑a cargo ship
constructed or adapted and used for the carriage in bulk of any liquid product
listed in chapter 17 of the 11BC Code]".
~ i.e., "a cargo ship
constructed or adapted and used for the carriage in bulk of any liquefied gas
or other product listed in chapter 19 of the [1GC Code]".
ISM Code
Z
6 Bulk carrier means
a ship which is constructed generally with single deck, top‑side tanks and
hopper side tanks in cargo spaces, and is intended primarily to carry dry cargo
in bulk, and includes such types as ore carriers and combination carriers.
7 Mobile offshore drilling unit (MODU) means a vessel capable of engaging in drilling
operations for the exploration for or exploitation of resources beneath the sea‑bed
such as liquid or gaseous hydrocarbons, sulphur or salt.
8 High‑speed
craft means a craft as defined in
regulation X/1.2.*
Regulation 2
Application
1 This chapter
applies to ships, regardless of the date of construction,
as follows:
.1 passenger
ships including passenger high‑speed craft, not later than 1 July 1998;
.2 oil
tankers, chemical tankers, gas carriers, bulk carriers and cargo high‑speed
craft of 500 gross tonnage and upwards, not later than 1 July 1998; and
.3 other
cargo ships and mobile offshore drilling units of 500 gross tonnage and
upwards, not later than 1 July 2002.
2 This chapter
does not apply to govern ment‑operated ships used for
non‑commercial purposes.
Regulation 3
Safety management
requirements
1 The company and
the ship shall comply with the requirements of
the International Safety Management Code.
2 The ship shall
be operated by a company holding a Document of
Compliance referred to in regulation 4.
* i.e., "a craft capable
of a maximum speed ... (m/s) equal to or exceeding:
3.7V1)‑1 667 where: V = displacement corresponding to the design waterline (M 2r.
2
1974 SOLAS Convention, chapter IX
Regulation 4
Certification
1 A Document of Compliance
shall be issued to every company which complies with the requirements of the
International Safety Management Code. This document shall be issued by the
Administration, by an organization recognized by the Administration, or at the
request of the Administration by another Contracting Government.
2 A
copy of the Document of Compliance
shall be kept on board the
ship in order that the
master can produce it on request for verification.
3 A Certificate, called a Safety
Management Certificate, shall be issued to every ship by the Administration or
an organization recognized by the Administration. The Administration or
organization recognized by it shall, before issuing the Safety Management
Certificate, verify that the company and its shipboard management operate in
accordance with the approved safety‑management system.
Regulation 5
Maintenance of conditions
The safety‑management system
shall be maintained in accordance with the provisions of the International
Safety Management Code.
Regulation 6
Verification and control
1 The Administration, another
Contracting Government at the request of the Administration or an organization
recognized by the Administration shall periodically verify the proper functioning
of the ship's safety management system.
2 Subject to the provisions of
paragraph 3 of this regulation, a ship
required to hold a certificate issued pursuant to the provisions of regulation 4.3 shall be subject to control in accordance with the provisions
of regulation X1/4. For this
purpose such certificate shall be treated as a certificate issued under
regulation 1/12 or 1/13.
3 In cases of change of flag
State or company, special transitional arrangements shall be made in accordance
with the guidelines developed by the Organization.*
Refer to the Guidelines on implementation of the ISM Code by
Administrations adopted by the Organization by resolution A. 788(19),
reproduced on page 13 of the present publication.
International Safety
Management Code
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(Xl), 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(1 7), 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.
1 GENERAL
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 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.
1.2 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
.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 (SMS) 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 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 emphasizing 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:
.1 properly
qualified for command;
.2 fully conversant with the Company's SMS; 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 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 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 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 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:
.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 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 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 SMS.
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 SMS 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 to verify
whether safety and poll ution‑prevention activities comply with the SMS.
12.2 The Company
should periodically evaluate the efficiency of and, when needed, review the SMS
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.
13 CERTIFICATION, VERIFICATION AND CONTROL
13.1 The ship
should be operated by a Company which is issued a document of compliance
relevant to that ship.
13.2 A document
of compliance should be issued for every Company complying with the
requirements of the ISM Code by the Administration, by an organization
recognized by the Administration or by the Government of the country, acting
on behalf of the Administration in which the Company has chosen to conduct its
business. This document should be accepted as evidence that the Company is
capable of complying with the requirements of the Code.
13.3 A copy of
such a document should be placed on board in order that the master, if so
asked, may produce it for the verification of the Administration or
organizations recognized by it.
13.4 A
certificate, called a Safety Management Certificate, should be issued to a ship
by the Administration or organization recognized by the Administration. The
Administration should, when issuing the certificate, verify that the Company
and its shipboard management operate in accordance with the approved SMS.
13.5 The
Administration or an organization recognized by the Administration should
periodically verify the proper functioning of the ship's SMS as approved.
Guidelines on implementation
of the International Safety
Management (ISM) Code
by Administrations
Resolution A.788(19)
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 July 1998 of SOLAS chapter IX on 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 organization 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 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 organizations 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 Organizations Acting on Behalf of the
Administration, which has been made mandatory by virtue of the new SOLAS
chapter Xl, and resolution A.740(18), Interim Guidelines to Assist Flag States,
are applicable when Administrations authorise 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 an 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:
.1 for verifying that the 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
.2 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.*
* The ICS/ISF Guidelines on the
Application of the International Safety Management Code (A.18/INF.5) provide
useful guidance on important individual elements of an SMS and its development
by Companies.
2.1.2 Administrations should verify compliance with the requirements
of the ISM Code by determining:
.1 the conformity of the Company's SMS with the requirements of the
ISM Code; and
.2 that the SMS ensures that the
objectives defined in paragraph 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 to meet general safety management objectives
2.2.1 The ISM Code identifies general safety management objectives.
These objectives are:
.1 to provide for safe practices in ship operation and a safe working
environment;
.2 to establish safeguards against all identified risks;
and
.3 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 to meet 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 to meet 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:
.1 compliance with mandatory rules and regulations; and
.2 that applicable codes, guidelines and standards recommended
by the Organization, 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:
.1 maintaining the condition of ship and equipment between
surveys; and
.2 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:
.1 documented
procedures and instructions; and
.2 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:
.1 taken
into account the recommendations, as referred to in 1.2.3.2 of the ISM Code,
when establishing the SMS; and
.2 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. In this context, ship types
are those referred to 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 a 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 if 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 if 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 12 months, to a Company following a demonstration that the Company has an
SMS that meets the objectives of paragraph 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:
.1 the DOC, or
the Interim DOC, is relevant to that ship;
.2 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);
.3 the master and relevant senior
officers are familiar with the SMS and the planned arrangements for its
implementation;
.4 instructions which have been
identified as essential to be provided prior to sailing have been given;
.5 plans for Company audit of the
ship within three months exist; and
.6 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:
.1 initial verification;
.2 periodical or intermediate
verification; and
.3 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:
.1 the
conformity of the Company's SMS with the requirements of the ISM Code; and
.2 that the SMS ensures that the objectives defined in
paragraph 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 to 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
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
The procedure for safety
management audits outlined in the following paragraphs includes 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
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 liase 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, summarise 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 no n‑conform i
ties 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:
.1 informing relevant employees about the objectives and scope of the
ISM Code certification;
.2 appointing responsible members of staff to accompany
members of the team performing the certification;
.3 providing the resources needed by those performing the
certification to ensure an effective and efficient verification process;
.4 providing access and evidential material as requested by
those performing the certification; and
.5 co‑operating with the verification team to permit the
certification objectives to be achieved.
4.14 Responsibilities
of the organization performing the ISM Code certification
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
appendix 1 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:
.1 preparation of a plan for the verification; and
.2 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
The DOC, SMC and Interim DOC
and Interim SMC should be drawn up in the form corresponding to the models
given in appendix 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
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 their own organization, competence in relation to:
.1 ensuring compliance with the
rules and regulations including certification of seafarers, for the ships
operated by the Company;
.2 the approval, survey and
certification activities relevant for the maritime certificates;
.3 the terms of reference that must
be taken into account under the SMS as required by the ISM Code; and
.4 practical experience of ship operation.
2.2 The 1974 SOLAS Convention 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
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 comprising the following:
.1 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
.2 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:
.1 knowledge and
understanding of the ISM Code;
.2 mandatory rules and regulations;
.3 the terms of reference which the ISM Code requires that
Companies should take into account;
.4 assessment
techniques of examining, questioning, evaluating and reporting;
.5 technical or
operational aspects of safety management;
.6 basic
knowledge of shipping and shipboard operations; and
.7 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 above, personnel who are to perform initial
verifications or renewal verifications for a DOC or SMC, must possess the
competence to:
.1 determine
whether the SMS elements conform or do not conform with the requirements of the
ISM Code;
.2 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;
.3 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
.4 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 experience 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
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:
.1 contract agreements
with Companies;
.2 planning, scheduling
and performing verification;
.3 reporting results
from verification;
.4 issuance of DOC, SMS
and interim DOC and SMC; and
.5 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.
1 st 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 number or letters:
....................................
Port of registry:
...............................................
Type of ship*:
................................................
Gross tonnage: ...............................................
IMO Number: ................................................
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 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 iss .
ue . of th . e 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 among the following: passenger ship,
passenger high‑speed craft, cargo high‑speed craft, bulk carrier, oil tanker,
chemical tanker, gas carrier, 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
(to be completed between Signed:
the second and the third (Signature
of authorized official)
anniversary date)
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:
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 recognized as meeting the
objectives of paragraph 1.2.3 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 Interim Document of
Compliance is valid until ...................
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).
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 and address of the Company
.........................
(see
paragraph 1. 1.2 of the ISM Code)
Name of ship: ................................................
Distinctive number or letters:
....................................
Port of registry:
...............................................
Type of ship* ................................................
Gross tonnage: ...............................................
IMO Number: ................................................
THIS IS TO CERTIFY THAT the
safety management system of the ship complies with the provisions of paragraphs
3.3.4 and 3.3.5 of the Guidelines on
Implementation of the International Safety Management (ISM) Code by
Administrations.t
This Interim 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 document)
(Seal or
stamp of issuing authority as appropriate)
* Insert the type of ship among
the following: passenger ship, passenger high‑speed craft, cargo high‑speed
craft, bulk carrier, oil tanker, chemical tanker, gas carrier, offshore
drilling unit, other cargo ship.
t Adopted by the Organization by resolution A.788(19).
The validity of this Interim
Safety Management Certificate is extended to ..................................
Date of extension .................. .......... .
(Signature
of the duly authorized official extending the validity)
(Seal or
stamp of issuing authority, as appropriate)
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