1. ISM Code 2010: Part B - Certification & Verification Malcolm Maclachlan

2. Certification & periodical verification (para. 13) 1. Ship to be operated by Co holding Document of Compliance (DOC) or Interim DOC. 2. DOC issued for max 5 yrs by FS Admin or Recognized Org or another SOLAS Contracting Govt. 3. DOC only valid for ship types listed on it. 4. DOC subject to annual verification within 3 months before/after each anniversary date. 5. DOC to be withdrawn by FS Admin or issuing Contracting Govt at its request if annual verification is not requested or if evidence of major NCs. 6. All ship SMCs or ISMCs to be withdrawn if DOC is withdrawn.

3. Certification & periodical verification (para. 13) 7. Copy DOC to be on ship. (Photocopy OK.) 8. Safety Mgmt Cert (SMC) issued to ship for max 5 yrs after verifying that Co. & its shipboard management operate in accordance with approved SMS. 9. SMC subject to at least one intermediate verif’n. (If only one, to be between 2 nd & 3 rd anniversary dates of SMC.) 10. SMC withdrawn by FS Admin or issuing Contracting Govt at its request if annual verification is not requested or if evidence of major NCs. 11. When renewal verif’n is completed within final 3 mths validity, new DOC/SMC is valid from date of expiry for max 5y. If RV > 3 mths before expiry, new DOC/SMC is valid for max 5y from date of completion of RV.

4. SMC renewal problems (para. 13) 1. Renewal verification completed after expiry of SMC? New SMC is valid for max 5 yrs from completion date. 2. Renewal verification completed but new SMC cannot be placed on board before SMC expiry? FSA/RO may endorse existing SMC: valid for further 5 mths max. 3. Ship not at renewal port when SMC expires? Max 3 mths extension to complete voyage to port for verification. New SMC valid max 5 yrs from original expiry date before extension.

5. Interim certification (para. 14) Interim DOC, valid max 12 months, may be issued after verification when: Interim DOC, valid max 12 months, may be issued after verification when: –Co. is newly established –New ship type is added to DOC Co. must plan to implement SMS within period of validity. Co. must plan to implement SMS within period of validity. Interim SMC, valid max 6 months, may be issued for: Interim SMC, valid max 6 months, may be issued for: –New ships on delivery –Co taking responsibility for ship new to Co –Ship changed flag. Max 6 months extension possible in special cases. Max 6 months extension possible in special cases. Co. must plan internal audit within 3 months. Co. must plan internal audit within 3 months.

6. Verification (para. 15) Forms of certificates (para. 16) All verification procedures to be acceptable to FS Admin and take into account Revised Guidelines on implementation of the ISM Code by Administrations - Res. A.913(22) All verification procedures to be acceptable to FS Admin and take into account Revised Guidelines on implementation of the ISM Code by Administrations - Res. A.913(22)Revised Guidelines on implementation of the ISM Code by Administrations - Res. A.913(22)Revised Guidelines on implementation of the ISM Code by Administrations - Res. A.913(22) Ship types indicated on DOC and IDOC may be endorsed to reflect any limitations in the operations of the ships described in the SMS.

7. Companies operating multi-flagged fleets (MSC/Circ.762 – MEPC/Circ.312) Who should issue DOC? Who should issue DOC? 1. At least 12m in advance, Co. should approach relevant flag Administrations, propose action plan and request agreement of all parties. Co’s plan should state which entity should conduct which part of process. 2. Flag Administrations should talk to each other and agree.

8. Audit procedure - 1 Company applies for audit to FS Admin or RO (but MCA only for UK company or ship). Company applies for audit to FS Admin or RO (but MCA only for UK company or ship). Auditor reviews Safety Management Manual. Does the SMS meet ISM Code requirements? Auditor reviews Safety Management Manual. Does the SMS meet ISM Code requirements? Lead auditor liaises with Co. and produces audit plan. Lead auditor liaises with Co. and produces audit plan. Opening meeting of audit team with senior management. Opening meeting of audit team with senior management. Audit team assesses SMS against documentation & objective evidence. Audit team assesses SMS against documentation & objective evidence. Evidence is collected through interviews, observation of activities & examination of documents. Evidence is collected through interviews, observation of activities & examination of documents. Audit observations are documented. Audit team decides which observations are to be reported as Non-Conformities. Audit observations are documented. Audit team decides which observations are to be reported as Non-Conformities. Closing meeting with senior management; observations presented. Closing meeting with senior management; observations presented. Audit report is prepared. Company gets copy. Co. is advised to provide a copy of the shipboard audit reports to the ship. Audit report is prepared. Company gets copy. Co. is advised to provide a copy of the shipboard audit reports to the ship.

9. Audit procedure - 2 Corrective action (CA) follow-up. Co. is responsible for determining & initiating CA needed to correct a NC or its cause. Corrective action (CA) follow-up. Co. is responsible for determining & initiating CA needed to correct a NC or its cause. Failure to correct NCs may affect validity of DOC & related SMCs. Failure to correct NCs may affect validity of DOC & related SMCs. CA & possible follow-up audits to be completed within agreed time period. (Max 3 months for ordinary NC.) CA & possible follow-up audits to be completed within agreed time period. (Max 3 months for ordinary NC.)

10. Major non-conformity Identifiable deviation that poses a serious threat to the safety of personnel or the ship or a serious risk to the environment that requires immediate corrective action or the lack of effective and systematic implementation of a requirement of this Code. Identifiable deviation that poses a serious threat to the safety of personnel or the ship or a serious risk to the environment that requires immediate corrective action or the lack of effective and systematic implementation of a requirement of this Code. Examples: Examples: –OWS or ODMCS failure –Officer COC invalid –Main engine failure –Holed lifeboat; missing liferaft –Charts for current voyage not corrected –Corroded air pipes: maintenance procedures inadequate to comply with Load Line Regs

11. Non-conformity Observed situation where objective evidence* indicates the non-fulfilment of a specified requirement. (* Info, records or statements of fact based on obs’n, meas’t or test and which can be verified) Observed situation where objective evidence* indicates the non-fulfilment of a specified requirement. (* Info, records or statements of fact based on obs’n, meas’t or test and which can be verified) Rectify within agreed timeframe (3 months max) Rectify within agreed timeframe (3 months max) Examples: Examples: –Check list not completed as required by SMS –Scheduled drill not carried out as per SMS –Chart corrections not done (charts not in use)

12. Observation Statement of fact made during a safety management audit and substantiated by objective evidence. Statement of fact made during a safety management audit and substantiated by objective evidence. Examples: Examples: –Standing orders need improvement –Checklist needs updating for added equip’t –Critical equipment not prioritised on PM list –Safety notices need renewing