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:
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
1.1.2 "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
1.2.2 These Guidelines are applicable
to Administrations.
2.1 General
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:
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.
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.
The specific standards of safety and protection of the environment specified by the ISM Code are:
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:
Specific arrangements may be required
to ensure compliance and to provide for the objective evidence needed for
verification in these cases, such as:
2.3.5 Administrations should ensure that the
Company has:
3. ISSUANCE AND VALIDITY OF DOC AND SMC
3.1 Issuance and validity of the DOC
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.
3.2.2 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.
3.3.2 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:
4.1 Certification activities
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.
4.2.2 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:
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.
4.4.2 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.
4.7.2 The Administration or the recognized
organization should then nominate the lead auditor and, if relevant, the
audit team.
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.
4.10.2 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.
4.11.2 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.
4.12.1 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
4.13.2 The Company is responsible for:
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.
1.INTRODUCTION
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.
3.1 ISM Code certification scheme management
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:
3.2.3 Such competence should be demonstrated
through written or oral examinations, or other acceptable means.
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.
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
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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: ................................................................................
by ..........................................................................................................................................
Name and address of the Company .................................................................................
....................................................................................................................................................
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 .............................................................................................................................
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:................................................................... | |
|
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||
| Place: ....................................................................... | ||
| Date: ....................................................................... | ||
| 2nd ANNUAL VERIFICATION | Signed:....................................................................... | |
|
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||
| Place: ....................................................................... | ||
| Date: ....................................................................... | ||
| 3rd ANNUAL VERIFICATION | Signed:....................................................................... | |
|
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| Place: ....................................................................... | ||
| Date: ....................................................................... | ||
| 4th ANNUAL VERIFICATION | Signed:....................................................................... | |
|
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| 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: ................................................................................
by ..........................................................................................................................................
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: .................................................................................
....................................................................................................................................................
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 |
|
|
| Place: ....................................................................... | ||
| Date: ....................................................................... | ||
| ADDITIONAL VERIFICATION* | Signed:....................................................................... | |
|
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||
| Place: ....................................................................... | ||
| Date: ....................................................................... | ||
| ADDITIONAL VERIFICATION* | Signed:....................................................................... | |
|
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||
| Place: ....................................................................... | ||
| Date: ....................................................................... | ||
| ADDITIONAL VERIFICATION* | Signed:....................................................................... | |
|
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||
| 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: ................................................................................
by ..........................................................................................................................................
Name and address of the Company .................................................................................
....................................................................................................................................................
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: ................................................................................
by ..........................................................................................................................................
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: .................................................................................
....................................................................................................................................................
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).