Resolution A.1188(33)
Adopted on 6 December 2023
(Agenda items 11 and 13)
2023 GUIDELINES ON IMPLEMENTATION OF THE INTERNATIONAL SAFETY
MANAGEMENT (ISM) CODE BY ADMINISTRATIONS
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 it adopted the International
Management Code for the Safe Operation of Ships and for Pollution Prevention
(International Safety Management (ISM) Code),
RECALLING FURTHER resolution A.788(19) by which it adopted the Guidelines
on implementation of the International Safety Management (ISM) Code by
Administrations,
RECALLING resolution A.1118(30) by which it adopted the Revised
guidelines on implementation of the International Safety Management (ISM)
Code by Administrations, following successive revocation of resolutions A.1071(28) and A.788(19),
NOTING that the ISM Code became mandatory under the provisions of
chapter IX of the International Convention for the Safety of Life at Sea
(SOLAS), 1974, for companies operating certain types of ships, on 1 July 1998;
and for companies operating other cargo ships and mobile offshore drilling
units propelled by mechanical means of 500 gross tonnage and upwards, on 1 July
2002,
NOTING ALSO that the Maritime Safety Committee, at its
ninety-second session, adopted, by resolution MSC.353(92), amendments to the ISM Code,
RECOGNIZING that an Administration, in establishing that safety
standards are being maintained, has a responsibility to ensure that Documents
of Compliance and Safety Management Certificates are issued in accordance with
the ISM Code, taking into account the aforementioned Guidelines,
RECOGNIZING ALSO that there may be a need for Administrations to
enter into agreements in respect of the issue of certificates by other
Administrations, in compliance with chapter IX of the 1974 SOLAS Convention and
in accordance with resolution A.741(18),
RECOGNIZING FURTHER the need for uniform implementation of the ISM
Code as well as application of remote ISM Code audits through experience gained
during the COVID-19 pandemic and advanced technology,
HAVING CONSIDERED the recommendations made by the Marine
Environment Protection Committee, at its sixty-ninth session, and the Maritime
Safety Committee, at its ninety-sixth session,
1 ADOPTS the 2023
Guidelines on 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 2023 Guidelines;
3 REQUESTS
Governments to inform the Organization of any difficulties they may experience
when using the 2023 Guidelines;
4 AUTHORIZES the
Maritime Safety Committee and the Marine Environment Protection Committee to
keep the 2023 Guidelines under review and to amend or revise them as necessary
in accordance with the rules and procedures of the Committees, for issuance as
MSC-MEPC circulars;
5 REVOKES resolution
A.1118(30).
ANNEX
2023 GUIDELINES ON THE IMPLEMENTATION OF THE INTERNATIONAL SAFETY
MANAGEMENT (ISM) CODE BY ADMINISTRATIONS
Table of contents
1 INTRODUCTION
1.1 The ISM Code
1.2 Mandatory
application of the ISM Code
1.3 Verification and
certification responsibilities
2 SCOPE AND
APPLICATION
2.1 Definitions
2.2 Scope and
application
3 VERIFYING
COMPLIANCE WITH THE ISM CODE
3.1 General
3.2 Ability of the
safety management system to meet general safety management objectives
3.3 Ability of the
safety management system to meet specific requirements of safety and pollution
prevention
4 CERTIFICATION AND
VERIFICATION PROCESS
4.1 Certification and
verification activities
4.2 Interim
verification
4.3 Initial
verification
4.4 Annual verification
of Document of Compliance
4.5 Intermediate
verification of Safety Management Certificates
4.6 Renewal
verification
4.7 Additional
verification
4.8 Safety management
audits
4.9 Application for
audit
4.10 Preliminary review
(Document review)
4.11 Preparing the audit
4.12 Executing the audit
4.13 Audit report
4.14 Corrective action
follow-up
4.15 Company
responsibilities pertaining to safety management audits
4.16 Responsibilities of
the organization performing the ISM Code certification
4.17 Responsibilities of
the verification team
Appendix – STANDARDS ON ISM CODE CERTIFICATION ARRANGEMENTS
1 INTRODUCTION
2 STANDARD OF
MANAGEMENT
3 STANDARDS OF
COMPETENCE
3.1 ISM Code
certification scheme management
3.2 Basic competence
for performing verification
3.3 Practical training
for performing verification
4 QUALIFICATION
ARRANGEMENTS
5 CERTIFICATION
PROCEDURES AND INSTRUCTIONS
1 INTRODUCTION
1.1 The ISM Code
1.1.1 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 became 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.
1.1.2 The ISM Code
requires that companies establish safety objectives as described in section 1.2
(Objectives) of the ISM Code and, in addition, that companies develop,
implement and maintain a safety management system which includes functional
requirements as listed in section 1.4 (Functional requirements for a safety
management system (SMS)) of the Code.
1.1.3 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 culture that promotes
safety and environmental protection are, inter alia, commitment, values,
beliefs, and clarity of the safety management system.
1.2 Mandatory
application of the ISM Code
1.2.1 The appropriate organization
of management, ashore and on board, is needed to ensure adequate standards of
safety and pollution prevention. 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.
1.2.2. Effective
enforcement by Administrations must include verification that the safety
management system complies with the requirements as stipulated in the ISM Code,
as well as verification of compliance with mandatory rules and regulations.
1.2.3 The mandatory
application of the ISM Code should ensure, support and encourage the taking
into account of applicable codes, guidelines and standards recommended by IMO,
Administrations, classification societies and maritime industry organizations.
1.3 Verification and
certification responsibilities
1.3.1 The Administration
is responsible for verifying compliance with the requirements of the ISM Code
and for issuing Documents of Compliance to companies and Safety Management
Certificates to ships.
1.3.2 The Code for
Recognized Organizations (RO Code) (resolutions MSC.349(92)/MEPC.237(65)), which has been made mandatory
by virtue of SOLAS regulation XI-1/1, and the IMO Instruments Implementation
Code (III Code), as adopted by the Organization by resolution A.1070(28), the
use of which has been made mandatory by virtue of SOLAS regulation XIII/2, are
applicable when Administrations authorize organizations to issue Documents of
Compliance and Safety Management Certificates on their behalf.
2 SCOPE AND
APPLICATION
2.1 Definitions
The terms used in these revised guidelines have the same meaning
as those given in the ISM Code.
2.2 Scope and application
These revised guidelines establish basic principles for:
.1 verifying that the
safety management system of a company responsible for the operation of ships,
or the safety management system for the ship or ships controlled by the
company, comply with the ISM Code;
.2 carrying out the
interim, initial, annual and renewal verification(s) of the Document of
Compliance and the interim, initial, intermediate and renewal verification(s)
of the Safety Management Certificate and the issuing/endorsement of the
corresponding documents; and
.3 the scope of the
additional verification.
3 VERIFYING
COMPLIANCE WITH THE ISM CODE
3.1 General
3.1.1 To comply with the
requirements of the ISM Code, companies should develop, implement and maintain
a documented safety management system 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.
3.1.2 Administrations
should verify compliance with the requirements of the ISM Code by determining:
.1 the conformity of
the company's safety management system with the requirements of the ISM Code;
and
.2 that the safety
management system ensures that the objectives defined in paragraph 1.2.3 of the
ISM Code are met.
3.1.3 Determining the
conformity or non-conformity of safety management system 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 and it may then be difficult for a company to develop the solutions
which best suit that particular company, operation or ship. Therefore,
particular operations should be ship-specific and fully reflected in manuals,
procedures and instructions.
3.1.4 Therefore,
Administrations are recommended to ensure that these assessments are based on
determining the effectiveness of the safety management system 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 companies' compliance with the Code.
3.2 Ability of the
safety management system to meet general safety management objectives
The ISM Code identifies general safety management objectives in
paragraph 1.2.2. The verification should support and encourage companies in
achieving these objectives, which provide clear guidance to companies for the
development of safety management system elements in compliance with the ISM
Code. However, the ability of the safety management system to achieve these
objectives cannot be determined beyond whether the safety management system
complies with the requirements of the ISM Code. Therefore, the objectives
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.
3.3 Ability of the
safety management system to meet specific requirements of safety and pollution
prevention
3.3.1 The main criterion
that should govern the development of interpretations needed for assessing
compliance with the requirements of the ISM Code should be the ability of the
safety management system 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 are set out in
paragraph 1.2.3 of the ISM Code.
3.3.2 All records having
the potential to facilitate verification of compliance with the ISM Code should
be open to scrutiny during an examination. These may include records from
delegated SMS tasks. For this purpose, the Administration should ensure that
the company provides 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.
3.3.3 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.
3.3.4 Specific
arrangements, such as the following, may be required to ensure compliance with
the ISM Code and to provide the objective evidence needed for verification in
the above-mentioned cases:
.1 documented
procedures and instructions;
.2 documentation of the
verification carried out by senior officers of day-to-day operations when
relevant to ensure compliance; and
.3 relevant records of
the ships being operated by the company, e.g. flag State records, port State
control reports, class and accident reports.
3.3.5 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.
3.3.6 Administrations
should ensure that the company has:
.1 taken into account
the recommendations, as referred to in paragraph 1.2.3.2 of the ISM Code, when
establishing and maintaining the safety management system; and
.2 developed procedures
to ensure that those recommendations are implemented ashore and on board.
4 CERTIFICATION AND
VERIFICATION PROCESS
4.1 Certification and
verification activities
4.1.1 The certification
process relevant to a Document of Compliance for a company and to a Safety
Management Certificate for a ship will normally involve the following steps:
.1 interim
verification;
.2 initial
verification;
.3 annual or
intermediate verification;
.4 renewal
verification; and
.5 additional
verification.
4.1.2 These verifications
are carried out, at the request of the company, by the Administration or the
organization recognized by the Administration to perform certification
functions under the ISM Code, or, at the request of the Administration, by
another Contracting Government to the SOLAS Convention. The verifications will
include an audit of the safety management system.
4.2 Interim
verification
4.2.1 Interim
certification may be issued under certain conditions, as specified by the ISM
Code, and should facilitate the implementation of a safety management system.
4.2.2 The company should
apply for interim certification to the Administration.
4.2.3 The process of
interim verification for the issuance of an Interim Document of Compliance
undertaken by the Administration would require an assessment at the company's
offices in accordance with paragraph 14.1 of the ISM Code.
4.2.4 On satisfactory
completion of the assessment of the shoreside safety management system,
arrangements/planning may commence for the assessment of applicable ships in
the company's fleet.
4.2.5 The process of
interim verification of the ship should be undertaken by the Administration to
ensure that the ship is provided with a safety management system, in accordance
with paragraph 14.4 of the ISM Code.
4.2.6 On satisfactory
completion of the interim verification, an Interim Document of Compliance will
be issued to the company; copies should be made available by the company to
each shoreside premises and each applicable ship in the company's fleet. As
each ship is assessed and issued with an Interim Safety Management Certificate,
a copy of the certificate should also be forwarded to the company's head
office.
4.3 Initial
verification
4.3.1 The company should
apply to the Administration for ISM Code certification.
4.3.2 An assessment of the
shoreside management system undertaken by the Administration would necessitate
assessment of the offices where such management is carried out and possibly of
other locations that may perform delegated safety management system tasks,
depending on the company's organization and the functions at the various
locations.
4.3.3 On satisfactory
completion of the assessment of the shoreside safety management system,
arrangements/planning may commence for the assessment of the company's ships.
4.3.4 On satisfactory
completion of the assessment, a Document of Compliance will be issued to the
company, copies of which should be made available to each shoreside premises
and each ship in the company's fleet. As each ship is assessed and issued with
a Safety Management Certificate, a copy of that certificate should also be
forwarded to the company's head office.
4.3.5 In cases where
certificates are issued by a recognized organization, copies of all
certificates should also be sent to the Administration.
4.3.6 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 complies with the
requirements of the ISM Code. The audits include:
.1 verification of the
conformity of the company's safety management system with the requirements of
the ISM Code, including objective evidence demonstrating that the company's
safety management system has been in operation for at least three months and
that the safety management system has been in operation on board at least one
ship of each type operated by the company for at least three months; and
.2 verification that
the safety management system ensures that the objectives defined in paragraph
1.2.3 of the ISM Code are met. This includes verification that the Document of
Compliance for the company responsible for the operation of the ship is
applicable to that particular type of ship, and also includes assessment of the
shipboard safety management system to verify that it complies with the
requirements of the ISM Code and that it is implemented. Objective evidence
demonstrating that the company's safety management system has been functioning
effectively for at least three months on board the ship and ashore should be
available, including records from the internal audit performed by the company.
4.4 Annual verification
of Document of Compliance
4.4.1 Annual safety
management audits are to be carried out to maintain the validity of the
Document of Compliance and 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 Document of Compliance applies. The annual
verification will address all the elements of the safety management system and
the activities to which the requirements of the ISM Code apply. The purpose of
these audits is to verify that the safety management system is functioning
effectively and that any modifications made to the safety management system
comply with the requirements of the ISM Code.
4.4.2 Annual verification
is to be carried out within three months before or after each anniversary date
of the Document of Compliance.
4.4.3 Where the company
has more than one shoreside premises and/or the company delegates safety
management system tasks, the annual assessments should endeavour to ensure that
all sites are assessed during the period of validity of the Document of
Compliance.
4.4.4 During the annual
verification, Administrations should verify whether the company is operating
all the ship types stated on the Document of Compliance. Appropriate action
should be taken if the company has stopped operating a particular ship type.
4.5 Intermediate
verification of Safety Management Certificates
4.5.1 Intermediate safety
management audits should be carried out to maintain the validity of the Safety
Management Certificate. The intermediate verification will address all the
elements of the safety management system and the activities to which the
requirements of the ISM Code apply. The purpose of these audits is to verify
that the safety management system is functioning effectively and that any
modifications made to the safety management system comply with the requirements
of the ISM Code. In certain cases, particularly during the initial period of
operation under the safety management system, 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.
4.5.2 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 Safety Management
Certificate.
4.6 Renewal
verification
Renewal verifications are to be performed before the validity of
the Document of Compliance or the Safety Management Certificate expires. The
renewal verification will address all the elements of the safety management
system and the activities to which the requirements of the ISM Code apply.
Renewal verification may be carried out within three months before the date of
expiry of the Document of Compliance or the Safety Management Certificate, and
should be completed before the date of expiry.
4.7 Additional verification
4.7.1 The Administration
may, where there are clear grounds, require an additional verification to check
if the safety management system still functions effectively. Additional
verifications may be carried out following situations beyond normal procedures
such as port State control detentions, or in the case of reactivation after the
interruption of operations due to a period out of service, or in order to
verify that effective corrective actions have been taken and/or are being
properly implemented. Additional verifications may affect the shore-based
organization and/or the shipboard management system. The Administration should
determine the scope and depth of the verification, which may vary from case to
case. The additional verifications should be completed within the time period
agreed, taking into account the guidelines developed by IMO. The Administration
should follow up on the results of the verification and take appropriate
measures, as necessary.
4.7.2 On satisfactory
completion of the shipboard assessment, the Safety Management Certificate
should be endorsed for additional verification.
4.8 Safety management
audits
4.8.1 The procedure for
safety management audits outlined in the following paragraphs includes all
steps relevant for all verifications, even if the scope of the audits for
interim and additional verification may be different from that of the audits
for initial, annual, intermediate and renewal verification.
4.8.2 Under an
extraordinary circumstance beyond the control of the parties, such as natural
disasters, warfare, pandemic/epidemic outbreak, strike, riot, crime or sudden
legal change, which prevents on-site audit although the parties have taken all
the reasonable steps to perform the audit, consideration may be given to the
use of remote auditing methods as described in ISO 19011:2018, “Guidelines for
auditing management systems” and IAF MD 4:2018 “IAF Mandatory document for the
use of information and communication technology (ICT) for auditing/assessment
purposes” for the purpose of postponement of periodical audits to allow the
ship to complete its voyage to the port where it is to be verified,1
or for follow-up of additional verifications, provided that a case-by-case
assessment is carried out by the flag Administration. Under such circumstances
a remote audit, if authorized, should be limited to issuance of an interim
certificate if applicable, or a certificate with a validity no longer than the
time needed for the audit to be performed physically and in any case not
exceeding six (6) months.
1 Refer to Part B/
paragraph 13.14 of the International Management Code for the Safe Operation of
Ships and for Pollution Prevention (International Safety Management (ISM)
Code), as amended by resolution MSC.273(85).
4.8.3 Until guidance on
assessments and applications of remote audits is developed by the Organization,2
this case-by-case assessment should, as a minimum, address considerations such
as:
_______________
2 Refer to guidance to be
developed by the Organization.
.1 type and age of
ship, safety and compliance records of both the ship and the company including
SMS assessment and PSC performance;
.2 the documented
justification for the use of remote methods, such as extraordinary
circumstances as described in 4.8.2 that do not allow physical attendance of an
auditor on board the ship or at the company;
.3 the scope of the
remote audit, with consideration to those safety management system (SMS)
activities that could be verified remotely for compliance with requirements of
the ISM Code, to achieve the same level of safety assurance and compliance when
compared to physically attended audits. Those SMS activities that could not be
verified remotely should be verified by on-site audit. While remote audits may
not be able to replace in full the observations by the auditor of condition and
implementation of safety management system procedures, including activities on
board that are an essential part of the safety management audits on board
ships, determination of the extent of their application is needed;
.4 the consultation
with the flag Administration in case the audit has been delegated to an RO for
the review and acceptance of the RO’s procedure for remote audits, coordination
of audits, and for instructions for the execution and reporting of remote audit
and for the verification and validation of remote audit by a physically
attended audit;
.5 requirement and
availability of appliances for the conduct of remote audit methods, such as the
use of information and communication technology (ICT) and mandatory use of
two-way audio and video or other alternative means of communication, document
sharing that can, when necessary, ensure confidentiality and security of
information, data protection, etc;
.6 the roles and
responsibilities of the involved parties, in particular personnel involved in
physical audit activities on board ship when gathering and providing evidence
on the condition of the ship and on the implementation of the SMS, with due
consideration of appropriate arrangements to address any potential impartiality
and liability issues of personnel involved. In this regard, the current
liability regime regulating the audits between flags, ROs and companies’
obligations shall not be changed;
.7 the training of
personnel involved in physical audit activities on board ship and any
additional qualifications of the auditors performing remote audits;
.8 the provision of
information and evidence to the auditor to confirm the scope of the audit and
compliance with requirements of the ISM Code, such as audio and video records,
photo records, master’s and/or crew members’ statements, ship’s logbook,
service suppliers' reports, records; and
.9 the reporting requirements
and the transparency of information on the methods used in the ship’s status
indicating that the audit was carried out remotely.
4.8.4 Under normal
circumstances the following should apply:
.1 for shipboard
audits, consideration may be given to the use of remote auditing methods for
specified SMS activities in accordance with the Guidelines for remote ISM Code
audits to be developed by the Organization,1 provided that the same
level of safety and assurance as that of on-site audits with the physical
attendance of an auditor is ensured. In any case, initial, intermediate,
renewal and additional audits on board should not be fully replaced by remote
audit; and
.2 for Company audits,
consideration may be given to the use of remote auditing methods in accordance
with the Guidelines for remote ISM Code audits to be developed by the
Organization.2
_______________
1 Refer to guidance to be
developed by the Organization.
2 Refer to guidance to be
developed by the Organization.
4.9 Application for
audit
4.9.1 The company should
submit a request for audit to the Administration or to the organization
recognized by the Administration for issuing a Document of Compliance or a
Safety Management Certificate on behalf of the Administration.
4.9.2 The Administration
or the recognized organization should then nominate the lead auditor and, if
relevant, the audit team.
4.10 Preliminary review
(Document review)
As a basis for planning the audit, the auditor should review the
safety management manual to determine the adequacy of the safety management
system 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.
4.11 Preparing the audit
4.11.1 The auditor should
review the relevant safety performance records of the company, for example flag
State records, port State control reports and class and accident reports, and
take them into consideration when preparing the audit plan.
4.11.2 The nominated lead
auditor should liaise with the company and produce an audit plan.
4.11.3 The auditor should
provide the working documents that are to govern the audit with a view to
facilitating the assessments, investigations and examinations in accordance
with the standard procedures, instructions and forms that have been established
to ensure consistent auditing practices.
4.11.4 The audit team should
be able to communicate effectively with auditees.
4.12 Executing the audit
4.12.1 The audit should
start with an opening meeting to introduce the audit team to the company's
senior management, summarize the methods for conducting the audit, confirm that
all agreed facilities are available, confirm the time and date for a closing
meeting and clarify any unclear details concerning the audit.
4.12.2 The audit team should
assess the safety management system on the basis both of the documentation
presented by the company and of objective evidence of the effectiveness of its
implementation.
4.12.3 The objective
evidence should be collected through interviews and through the examination of
documents. Observation of activities and conditions may also be included, where
necessary, to determine the effectiveness of the safety management system in
meeting the specific standards of safety and protection of the environment
required by the ISM Code.
4.12.4 Audit findings should
be documented. After activities have been audited, the audit team should review
the objective evidence collected. This should then be used to determine what is
to be reported as major non-conformities, non-conformities or observations,
which should be done in terms of the general and specific provisions of the ISM
Code.
4.12.5 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 in such a way
as to ensure that the results of the audit are clearly understood.
4.13 Audit report
4.13.1 The audit report
should be prepared under the direction of the lead auditor, who is responsible
for its accuracy and completeness.
4.13.2 The audit report
should include the audit plan, identification of audit team members, dates and
identification of the company, and observations on any non-conformities and on
the effectiveness of the safety management system in meeting the specified
objectives.
4.13.3 The company should
receive a copy of the audit report. The company should be advised to provide
the ship with a copy of the shipboard audit reports.
4.14 Corrective action
follow-up
4.14.1 The company is
responsible for determining and initiating the corrective action needed to
correct a non-conformity or to correct the cause of a non-conformity. Failure
to correct non-conformities with specific requirements of the ISM Code may
affect the validity of the Document of Compliance and related Safety Management
Certificates.
4.14.2 Corrective actions
and any subsequent audits should be completed within the time period agreed.
For corrective actions this should not normally exceed three months. The
company should apply for the follow-up audits as agreed.
4.14.3 Failure to take
adequate corrective actions in compliance with the ISM Code, including measures
to prevent recurrence, may be considered as a major non-conformity.
4.15 Company
responsibilities pertaining to safety management audits
4.15.1 The verification of
compliance with the ISM Code does not relieve the company, management, those
undertaking delegated safety management system tasks, officers or seafarers of
their obligations to comply with national and international legislation related
to safety and protection of the environment.
4.15.2 The company is
responsible for:
.1 informing relevant
employees and those undertaking delegated safety management system tasks about
the objectives and scope of the ISM Code certification;