E

ASSEMBLY A 28/Res.1071
28th session 5 December 2013
Agenda item 10 Original: ENGLISH

Resolution A.1071(28)

Adopted on 4 December 2013

(Agenda item 10)

REVISED GUIDELINES ON THE IMPLEMENTATION OF THE INTERNATIONAL SAFETY

(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,

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 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 resolution A.1022(26) by which it adopted the Guidelines on the

implementation of the International Safety Management (ISM) Code by Administrations,

NOTING FURTHER 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 have been 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,

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HAVING CONSIDERED the recommendations made by the Marine Environment Protection

Committee, at its sixty-fourth session, and the Maritime Safety Committee, at its ninety-first
session,

1 ADOPTS the Revised 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 Revised
Guidelines;

3 REQUESTS Governments to inform the Organization of any difficulties they may

experience when using the Revised Guidelines;

4 AUTHORIZES the Maritime Safety Committee and the Marine Environment

Protection Committee to keep the Revised Guidelines under review and to amend them as
necessary;

5 REVOKES resolution A.1022(26) with effect from 1July 2014.

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Annex

REVISED GUIDELINES ON THE IMPLEMENTATION OF THE 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

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3 STANDARDS OF COMPETENCE

3.1 ISM Code certification scheme management

3.2 Basic competence for performing verification
3.3 Competence for initial verification and renewal verification
3.4 Competence for annual, intermediate and interim verification

4 QUALIFICATION ARRANGEMENTS

5 CERTIFICATION PROCEDURES AND INSTRUCTIONS

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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 Maritime Safety Committee, at its ninety-second session held in June 2013,
adopted amendments to sections 3, 6, 12 and 14 and footnotes of the ISM Code by
resolution MSC.353(92). As a result it was necessary to revise the Guidelines on the
implementation of the ISM Code by Administrations (resolution A.1022(26)), which are
superseded by these Revised Guidelines.

1.1.3 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 the Code's section 1.4 (Functional requirements for a safety
management system).

1.1.4 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
that applicable codes, guidelines and standards recommended by the Organization,
Administrations, classification societies and maritime industry organizations are taken into
account.

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.

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1.3.2 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)), which have been made mandatory by virtue of SOLAS regulation XI/1,
and the Guidelines to assist flag States in the implementation of IMO instruments
(resolution A.847(20)) 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, complies with the ISM Code;

.2 carrying out the interim, initial, annual and renewal verification of the
Document of Compliance and the interim, initial, intermediate and renewal
verification(s) of the Safety Management Certificate and the
issuing/endorsement of 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

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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 the 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 section 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 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 are specified in section 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 may be required to ensure compliance with the ISM Code
and to provide the objective evidence needed for verification in these cases, such as:

.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

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.3 relevant records of the ships being operated by the Company, e.g. flag
State records, port State controls, 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 these 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 to the
Administration, or to the organization recognized by the Administration to perform
certification functions under the ISM Code, or the verifications are carried out 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 Document of Compliance verification of the management

system undertaken by the Administration would require an assessment at the Company's
offices in accordance with paragraph 14.1 of the ISM Code.

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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 every 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 for ISM Code certification to the Administration.

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 which may include 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 it 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 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 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
it 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

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management system has been functioning effectively for at least three

months on board the ship and ashore should be available, including, inter
alia, 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 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.

4.4.2 Annual verification is to be carried out within three months before and after each
anniversary date of the Document of Compliance.

4.4.3 Where the Company has more than one shoreside premises and/or 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 if the Company is
operating all ship types 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 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.

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 from 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 the 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

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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 guidelines developed by the Organization. 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

The procedure for safety management audits outlined in the following paragraphs includes all
steps relevant for initial verification. Safety management audits for the interim, annual,
intermediate, additional and renewal verification should be based on the same principles,
even if their scope may be different.

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
and take them into consideration when preparing the audit plan, for example, flag State
records, port State controls, and class and accident reports.

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 which are to govern the
execution of the audit in order to facilitate the assessments, investigations and examinations
in accordance with the standard procedures, instructions and forms which 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 in order 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 time and date for a closing meeting
and clarify possible unclear details relevant to the audit.

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4.12.2 The audit team should assess the safety management system on the basis of the
documentation presented by the Company, and objective evidence as to its effective
implementation.

4.12.3 The objective evidence should be collected through interviews and examination of
documents. Observation of activities and conditions may also be included when 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, and
should be reported 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 a copy of the shipboard audit reports to the ship.

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 the 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 possible 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 requirements of
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 requirements of the ISM Code does not
relieve the Company, management, those undertaking delegated safety management
system tasks, officers or seafarers of their obligations as to compliance with national and
international legislation related to safety and protection of the environment.

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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;

.2 appointing responsible members of staff to accompany members of the

team performing the certification;

.3 providing the resources needed by those performing the certification to

ensure an effective and efficient verification process;

.4 providing access and evidential material as requested by those performing

the certification; and

.5 cooperating with the verification team to permit the certification objectives

to be achieved.

4.15.3 Where major non-conformities are identified, Administrations and recognized

organizations (ROs) should comply with the procedures stated in the Procedures concerning
observed ISM Code major non-conformities (MSC/Circ.1059-MEPC/Circ.401).

4.16 Responsibilities of the organization performing the ISM Code certification

The organization performing the ISM Code certification is responsible for ensuring that the
verification and certification process is performed according to the ISM Code and these
Revised Guidelines. This includes management control of all aspects of the certification
according to the appendix to these Revised Guidelines.

4.17 Responsibilities of the verification team

4.17.1 Whether or not the verifications involved with certification are performed by a team,
one person should be in charge of the verification. The leader should be given the authority
to make final decisions regarding the conduct of the verification and any observations. His
responsibilities should include:

.1 preparation of a plan for the verification; and

.2 submission of the report of the verification.

4.17.2 Personnel participating in the verification are responsible for complying with the
requirements governing the verification, ensuring confidentiality of documents pertaining to
the certification and treating privileged information with discretion.

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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 resolution A.739(18) on Guidelines for the authorization of organizations
acting on behalf of the Administration and resolution A.789(19) on Specifications on the
survey and certification functions of recognized organizations acting on behalf of the
Administration.

2.3 Any organization performing verification of compliance with the provisions of the
ISM Code should ensure that there exists independence between the personnel providing
consultancy services and those involved in the certification procedure.

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 Personnel who are to participate in the verification of compliance with the
requirements of the ISM Code should have a minimum of formal education comprising the
following:

.1 qualifications from a tertiary institution recognized by the Administration or

by the recognized organization within a relevant field of engineering or
physical science (minimum two years programme); or

.2 qualifications from a marine or nautical institution and relevant seagoing

experience as a certified ship officer.

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3.2.2 They should have undergone training to ensure adequate competence and skills for
performing verification of compliance with the requirements of the ISM Code, particularly with
regard to:

.1 knowledge and understanding of the ISM Code;

.2 mandatory rules and regulations;

.3 the terms of reference which the ISM Code requires that companies should
take into account;

.4 assessment techniques of examining, questioning, evaluating and reporting;

.5 technical or operational aspects of safety management;

.6 basic knowledge of shipping and shipboard operations; and

.7 participation in at least one marine-related management system audit.

3.2.3 Such competence should be demonstrated through written or oral examinations, or

other acceptable means.

3.3 Competence for initial verification and renewal verification

3.3.1 In order to assess fully whether the Company or the ship complies with the
requirements of the ISM Code, in addition to the basic competence stated under 3.2 above,
personnel who are to perform initial verifications or renewal verifications for a Document of
Compliance or a Safety Management Certificate must possess the competence to:

.1 determine whether the safety management system elements conform or do

not 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 ensure

compliance with other rules and regulations which are not covered by
statutory and classification surveys and to enable verification of compliance
with these rules and regulations; and

.4 assess whether the safe practices recommended by the Organization,

Administrations, classification societies and maritime industry organizations
have been taken into account.

3.3.2 This competence can be accomplished by teams that together possess the total
competence required.

3.3.3 Personnel who are to be in charge of initial verification or renewal verification of

compliance with the requirements of the ISM Code should have at least five years'
experience in areas relevant to the technical or operational aspects of safety management,
and should have participated in at least three initial verifications or renewal verifications.
Participation in verification of compliance with other management standards may be
considered as equivalent to participation in verification of compliance with the ISM Code.

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3.4 Competence for annual, intermediate and interim verification

Personnel who are to perform annual, intermediate and interim verifications should satisfy
basic requirements for personnel participating in verifications and should have participated in
a minimum of two annual, renewal or initial verifications. They should have received the
special instructions needed to ensure that they possess the competence required to
determine the effectiveness of the Company's safety management system.

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 it 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, inter alia, include procedures and instructions for the following:

.1 contract agreements with companies;

.2 planning, scheduling and performing verification;

.3 reporting results from verification;

.4 the issuing of 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.

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