Circular
Letter
MSC/Circ.1059 - MEPC/Circ.401
PROCEDURES CONCERNING OBSERVED ISM CODE MAJOR NON-CONFORMITIES
(adopted
on 5 December 2002)
1. The Maritime Safety Committee (MSC) at its seventy-fifth
session (15 to 24 May 2002) and the Marine Environment Protection (MEPC) at its
forty-eighth session (7 to 11 October 2002, having recognized the need for the
aforementioned procedures, approved the Procedures Concerning Observed ISM Code
Major Non-Conformities, set out in the Annex, with a view to assisting flag
States and port States when major non-conformities in a ship's or a company's
safety management system have been observed.
2. Member Governments are invited to apply the annexed Procedures
and bring them to the attention of the parties concerned.
ANNEX.
PROCEDURES CONCERNING OBSERVED ISM CODE MAJOR NON-CONFORMITIES
1. Administrations and Recognized Organizations acting on their
behalf should ensure that they are fully cognizant of un-corrected major
non-conformity raised at ISM Code audits. A major non-conformity found may be
downgraded to a non-conformity if the Administration or recognized organization
is satisfied that effective corrective action is being taken. A major
non-conformity raised on a ship must be downgraded before the ship sails. A schedule
not exceeding three months is to be agreed for completion of the necessary
corrective actions. Where the Administration allows a major non-conformity to
be downgraded, at least one additional audit should be carried out within the
time frame indicated in the agreed corrective action plan to verify that
effective actions are taken.
2. Upon request of the port State, the Administration should
provide relevant information available to the Administration concerning the
current validity of the Document of Compliance presented by the ship.
3. In the event more than one Administration and/or recognized
organization is involved in the ISM certification process, any major
non-conformity that leads to withdrawal of a Document of Compliance or Safety
Management Certificate, or that has been allowed to be downgraded and that
corrective actions have been satisfactorily completed, the involved
Administration and/or recognized organization should report the actions taken
to the other Administration and/or recognized organization.
4. A company whose Document of Compliance has been withdrawn
should not be issued an interim Document of Compliance. Furthermore, a new
Document of Compliance should not be issued unless an initial verification or
an additional verification to the extent and scope of an initial verification
has been carried out. The new Document of Compliance should have an expiry
date, the same as the withdrawn document.
5. If the withdrawal of the Company's Document of Compliance is
caused by a major non-conformity not affecting the Safety Management Systems of
the company's ships, the scope of verification through an initial verification
or an additional verification to the extent and scope of an initial
verification on board the ship may be adjusted. In such a case, however, at
least one ship of each type operated by the company should be verified.
6. For a ship where the Safety Management Certificate (SMC)
appears valid, but the Company's Document of Compliance has been withdrawn, the
Administration or a port State ascertaining the withdrawal should ensure that
the ship does not operate until the Document of Compliance is reissued. Such
steps may include detention, revocation of operating permits or other action
necessary to ensure compliance with the ISM Code.
7. For a ship where the Safety Management Certificate has been
withdrawn, the Administration or port State ascertaining the withdrawal should
ensure that the ship does not operate until the Safety Management Certificate
is reissued. Such steps may include detention, revocation of operating permits
or other action necessary to ensure compliance with the ISM Code.
8. For a ship whose Safety Management Certificate has been
withdrawn as a result of major non-conformity, an interim Safety Management Certificate
should not be issued. Furthermore, a new Safety Management Certificate should
not be issued unless an initial verification or an additional verification to
the extent and scope of an initial verification has been carried out on board
the ship. In addition, depending on the nature of the major non-conformity of
the ship, the validity of the Document of Compliance may also need to be
verified by an audit, equivalent in scope to an annual audit, prior to the
issue of the Safety Management