Revoked by A.1022(26)
REVISED GUIDELINES ON THE
IMPLEMENTATION OF THE INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE BY
ADMINISTRATIONS
(adopted on 29 November 2001)
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),
RECALLING
FURTHER resolution A.788(19) by which the Assembly adopted Guidelines on
Implementation of the International Safety Management (ISM) Code by
Administrations,
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, as
amended for companies operating certain types of ships, on 1 July 1998 and will
become mandatory 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 seventy-third session, when
adopting the amendments to the ISM Code by resolution MSC. 104(73), agreed that
the Guide-lines on Implementation of the ISM Code by Administrations should be
revised to take account of those amendments,
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 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 the 1974 SOLAS Convention and in accordance with resolution
A.741(18),
RECOGNIZING
FURTHER the need for uniform implementation of the ISM Code,
HAVING
CONSIDERED the recommendation made by the Maritime Safety Committee at its
seventy-fourth session and the Marine Environment Protection Committee at its
forty-sixth session,
1.
ADOPTS the Revised Guidelines on implementation of the International Safety
Management (ISM) Code by Administrations, set out in the Annex to the present
resolution;
2.
URGES Governments, when implementing the ISM Code, to adhere to the Revised
Guidelines;
3.
REQUESTS Governments to inform the Organization of any difficulties they have
experienced in using the annexed Revised Guidelines;
4.
AUTHORIZES the Maritime Safety Committee and the Marine Environment Protection
Committee to keep the annexed Guidelines under review and to amend them as
necessary.
5.
REVOKES resolution A.788(19), with effect as of 1 July 2002.
Annex
REVISED GUIDELINES ON THE IMPLEMENTATION OF THE INTERNATIONAL SAFETY MANAGEMENT
(ISM) CODE BY ADMINISTRATIONS
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) 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.
The
Maritime Safety Committee, at its seventy-third session, adopted amendments to
chapter DC of SOLAS, by resolution MSC.99(73) and sections 1, 7, 13, 14, 15 and
16 of the ISM Code by resolution MSC.104(73). As a result it becomes necessary
to revise the previous version of the Guidelines which were contained in
Assembly resolution A.788(19), which is being superseded by the present
Guidelines.
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 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 and of 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.
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.
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 for issuing Documents of Compliance to Companies and Safety
Management Certificates to ships.
Resolutions
A.739(18) - Guidelines for the Authorization of Organizations Acting on Behalf
of the Administration and A.789(19) - Specifications on the Survey and
Certification Functions of Recognized Organizations Acting on Behalf of the
Administration, which have been made mandatory by virtue of
SOLAS
regulation XI/1, and resolution A.847(20) - Guidelines to Assist Flag States in
the Implementation of IMO Instruments, are applicable when Administrations
authorize organizations to issue Documents of Compliance and Safety Management
Certificates on their behalf.
The
terms used in these Revised Guidelines have the same meaning as those given in
the ISM Code.
1.2.1
These Guidelines establish basic principles:
.1 for 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 complies with the ISM Code; and
.2 for the issue
and annual verification of the Document of Compliance and for the issue and
intermediate verification of the Safety Management Certificate.
1.2.2
These Guidelines are applicable to Administrations with effect as of 1 July
2002.
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 a 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*.
___________
* The ICS/ISF
Guidelines on the application of the International Safety Management Code
provide useful guidance on important individual elements of a Safety Management
System 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 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.
2.1.3
Determining conformity or non-conformity of the 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, 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 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 the Companies' compliance with
the ISM Code.
2.2 The ability of the
Safety Management System 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
Safety Management System elements in compliance with the ISM Code. Since,
however, the ability of the Safety Management System in achieving these
objectives cannot be determined beyond whether the Safety Management System
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
Safety Management System 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 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 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 Safety Management System; and
.2 developed procedures
to ensure that these recommendations are implemented on shore and on board.
2.3.6
Within a Safety Management System, 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.
3.1.1
The certification process relevant to a Document of Compliance for a Company
and a Safety Management Certificate to a ship will normally involve the
following steps:
.1 initial
verification;
.2 annual or
intermediate verification;
.3 renewal
verification; and
.4 additional
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 or at the request of the
Administration by another Contracting Government to the Convention.
The
verifications will include an audit of the Safety Management System.
3.2.1
The Company should apply for ISM Code certification to the Administration.
3.2.2
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.
3.2.3
On satisfactory completion of the assessment of the shore side Safety
Management System, arrangements/planning may commence for the assessment of the
Company's ships.
3.2.4
On satisfactory completion of the assessment, a Document of Compliance 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 a Safety Management Certificate, a copy of it should also be
forwarded to the Company's head office.
3.2.5
In cases where certificates are issued by a recognized organization, copies of
all certificates should also be sent to the Administration.
3.2.6
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 Safety Management System with the requirements of
the ISM Code including objective evidence demonstrating that the Company Safety
Management System has been in operation for at least three months, and a 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 that the
Safety Management System ensures that the objectives defined in paragraph 1.2.3
of the ISM Code are met. This includes the 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 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 should be available, including, inter
alia, records from the internal audit performed by the Company.
3.3 Annual verification of Document
of Compliance
3.3.1
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 purpose
of these audits is to verify the effective functioning of the Safety Management
System, and that any modifications made the Safety Management System comply
with the requirements of the ISM Code.
3.3.2
Annual verification is to be carried out within three months before and after
each anniversary date of the Document of Compliance. A schedule not exceeding
three months is to be agreed for completion of the necessary corrective
actions.
3.3.3
Where the Company has more than one shore side premises, each of which may not
have been visited at the initial assessment, the annual assessments should
endeavour to ensure that all sites are visited during the period of validity of
the Document of Compliance.
3.4 Intermediate
verification of Safety Management Certificates
3.4.1
Intermediate safety management audits should be carried out to maintain the
validity of the Safety Management Certificate. The purpose of these audits is
to verify the effective functioning of the Safety Management System 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.
3.4.2
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 Safety
Management Certificate.
3.5.1
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 from six months before the date of expiry of
the Document of Compliance or the Safety Management Certificate and should be
completed before their date of expiry.
3.6.1
The procedure for safety management audits outlined in the following paragraphs
includes all steps relevant for initial verification. Safety management audits
for annual verification and renewal verification should be based on the same
principles even if their scope may be different
3.7.1
The Company should submit a request for audit to the Administration or to the
organization recognized by the Administration for issuing Document of
Compliance or Safety Management Certificate on behalf of the Administration.
3.7.2
The Administration or the recognized organization should then nominate the lead
auditor and, if relevant, the audit team.
As
a basis for planning the audit, the auditor should review the