Appendix 8 – Guidelines for Port State Control Related to the ISM Code

  1 To the extent applicable, the PSCO should examine the copy of the Document of Compliance (DOC), issued to the company, and the Safety Management Certificate (SMC), issued to the ship. An SMC is not valid unless the company holds a valid DOC for that ship type. The PSCO should in particular verify that the type of ship is included in the DOC and that the company's particulars are the same on both the DOC and the SMC.

  2 During the examination of onboard documents and certificates, PSCOs should recognize:

• .1 the common practice of issuing, after successfully completing an audit, SMCs and DOCs valid for a period not exceeding 5 months, to cover the period between completion of the audit and issuance of the full term certificate by either the Administration or the recognized organization; and

• .2 that the current valid DOC with proper annual endorsements is normally only available in the company to which it has been issued and that the copy on board may not reflect the annual endorsements that exist on the valid DOC held by the company.

  3 If a ship has onboard Interim Certificates (DOC and/or SMC), the PSCO should check whether they have been issued in accordance with the provisions of ISM Code paragraphs 14.1 and 14.2. The PSCO should take into consideration the planned arrangements for the implementation of the Safety Management System as referred to in the ISM Code, paragraph 14.4, and should recognize that the full and effective functioning of the SMS has not been audited under an Interim SMC as per the ISM Code.

  4 A more detailed inspection of the Safety Management System (SMS) should be carried out if clear grounds are established. Clear grounds may include absent or inaccurate ISM Code certification or detainable (or many non-detainable) deficiencies in other areas.

  5 When carrying out a more detailed inspection, the PSCO may utilize, but not be limited to, the following questions to ascertain the extent of compliance with the ISM Code (references to the relevant paragraphs of the ISM Code are given in italic print in brackets).

• .1 Is there a company safety and environmental protection policy and is the appropriate ship's personnel familiar with it? (paragraph 2.2)

• .2 Is safety management documentation (e.g. manual) readily available on board? (paragraph 11.3)

• .3 Is relevant documentation on the SMS in a working language or language understood by the ship's personnel? (paragraph 6.6)

• .4 Can senior ship officers identify the company responsible for the operation of the ship and does this correspond with the entity specified on the ISM Code certificates? (paragraph 3)

• .5 Can senior ship officers identify the "designated person"? (paragraph 4)

• .6 Are procedures in place for establishing and maintaining contact with shore management in an emergency? (paragraph 8.3)

• .7 Are programmes for drills and exercises to prepare for emergency actions available on board? (paragraph 8.2)

• .8 How have new crew members been made familiar with their duties if they have recently joined the ship and are instructions which are essential prior to sailing available? (paragraph 6.3)

• .9 Can the master provide documented proof of his responsibilities and authority, which must include his overriding authority?(paragraph 5)

• .10 Have non-conformities been reported to the company and has corrective action been taken by the company? PSCOs should not normally scrutinize the contents of any Non Conformity Note (NCN) resulting from internal audits. (paragraphs 9.1 and 9.2)

• .11 Does the ship have a maintenance routine and are records available? (paragraph 10.2)

  6 Deficiencies in the Safety Management System should be recorded in the PSCO's inspection report. The port State Authority should, if necessary, inform the flag State of deficiencies found in the SMS. Those deficiencies identified in the SMS, which are defined as major non-conformities in the Revised guidelines on implementation of the ISM Code by Administrations (resolution A.1022(26)), have to be rectified by removing the immediate threat or hazard before sailing. Whenever the deficiencies identified during the inspection are indicative of the existence of a major non-conformity resulting in the vessel's detention, an additional audit shall be carried out by the flag State or the recognized organization acting on its behalf to determine compliance or non-compliance in accordance with the procedures for safety management audits. The procedures set out in chapter 3 of those Procedures are applicable.