Appendix - Standards on ISM Code Certification Arrangements
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Statutory Documents - IMO Publications and Documents - International Codes - ISM Code - International Management Code and Revised Guidelines on Implementation of the ISM Code - Revised Guidelines on the Implementation of the International Safety Management (ISM) Code by Administrations (Resolution A.1118(30)) - Appendix - Standards on ISM Code Certification Arrangements

Appendix - Standards on ISM Code Certification Arrangements

1 INTRODUCTION

The audit team involved with ISM Code certification and the organization under which it may be managed should comply with the specific requirements stated in this appendix.

2 STANDARD OF MANAGEMENT

2.1 Organizations managing verification of compliance with the ISM Code should have, in their own organization, competence in relation to:

  • .1 ensuring compliance with the rules and regulations, including certification of seafarers, for the ships operated by the company;

  • .2 approval, survey and certification activities;

  • .3 the terms of reference that must be taken into account under the safety management system as required by the ISM Code; and

  • .4 practical experience of ship operation.

2.2 The Convention requires that organizations recognized by Administrations for issuing a Document of Compliance and a Safety Management Certificate at their request should comply with the Guidelines for the authorization of organizations acting on behalf of the Administration (resolution A.739(18)) and the Specifications on the survey and certification functions of recognized organizations acting on behalf of the Administration (resolution A.789(19)).

2.3 Any organization performing verification of compliance with the provisions of the ISM Code should ensure that the personnel providing consultancy services and those involved in the certification procedure are independent of one another.

3 STANDARDS OF COMPETENCE

3.1 ISM Code certification scheme management

Management of ISM Code certification schemes should be carried out by those who have practical knowledge of ISM Code certification procedures and practices.

3.2 Basic competence for performing verification

3.2.1 In order to participate in the verification of compliance with the ISM Code, personnel should have at least five years' experience in areas relevant to the technical or operational aspects of safety management and a minimum of formal education comprising the following:

  • .1 qualifications from a tertiary institution recognized by the Administration or the recognized organization in a relevant field of engineering or physical science (minimum two-year programme); or

  • .2 qualifications from a marine or nautical institution and relevant seagoing experience as a certified ship officer.

3.2.2 They should have undergone training and be able to demonstrate competence with regard to:

  • .1 principles and practice of management systems auditing;

  • .2 the requirements of the ISM Code and its interpretation and application;

  • .3 mandatory rules and regulations and applicable codes, guidelines and standards recommended by IMO, flag States, classification societies and maritime industry organizations; and

  • .4 basic shipboard operations, including emergency preparedness and response.

3.2.3 The time spent on and the level of detail required for each of the topics listed in paragraph 3.2.2 should be appropriate to the qualifications and experience of the trainees, their existing competence in each subject and the number of training audits to be carried out.

3.2.4 In order to assess fully whether the company or the ship complies with the requirements of the ISM Code, personnel who are to perform verifications for a Document of Compliance or a Safety Management Certificate must possess, in addition to the basic competence stated under paragraphs 3.2.1 and 3.2.2 above, the competence to:

  • .1 determine whether the safety management system elements conform with the requirements of the ISM Code;

  • .2 determine the effectiveness of the company's safety management system, or that of the ship, in order to ensure compliance with rules and regulations as evidenced by the statutory and classification survey records;

  • .3 assess the effectiveness of the safety management system to ensurecompliance with other rules and regulations that are not covered by statutory and classification surveys and to enable verification of compliance with those rules and regulations; and

  • .4 assess whether the safe practices recommended by IMO, Administrations, classification societies and maritime industry organizations have been taken into account.

3.2.5 This competence can be met by teams whose members together possess the total competence required.

3.2.6 Participation in verification of compliance with other management standards may be considered as equivalent to participation in verification of compliance with the ISM Code.

3.3 Practical training for performing verification

3.3.1 In order to acquire the competences set out in paragraph 3.2.2 above, a person authorized to carry out ISM audits must have completed at least four training audits under the supervision of suitably qualified and experienced auditors and in accordance with the following criteria:

  • .1 at least one of the ISM audits must be a company audit;

  • .2 at least one of the ISM audits must be a shipboard audit; and

  • .3 the training audits may be initial, renewal, annual or intermediate audits; additional audits may be used, but only where they are fully scoped audits covering all elements of the ISM Code and all aspects of the management system.

3.3.2 The training audits described in paragraph 3.3.1 above constitute the minimum requirement, and procedures should be established for ensuring and demonstrating that the competences required in paragraph 3.2.2 have been achieved. The final number of training audits should be sufficient not only to demonstrate competence, but also to ensure that the prospective auditor has had sufficient practice to provide the confidence necessary to work alone.

4 QUALIFICATION ARRANGEMENTS

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 should provide documented evidence of satisfactory completion of the training.

5 CERTIFICATION PROCEDURES AND INSTRUCTIONS

Organizations performing ISM Code certification should have implemented a documented system to ensure that the certification process is performed in accordance with this standard. This system should include procedures and instructions for the following:

  • .1 contract agreements with companies;

  • .2 planning, scheduling and performing verification;

  • .3 reporting results from verification;

  • .4 issuing Documents of Compliance, Safety Management Certificates and Interim Documents of Compliance and Safety Management Certificates; and

  • .5 corrective action and follow-up of verifications, including actions to be taken in cases of major non-conformity.

Parent topic: Revised Guidelines on the Implementation of the International Safety Management (ISM) Code by Administrations (Resolution A.1118(30))
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