GUIDELINES FOR PORT STATE CONTROL OFFICERS ON THE ISM CODE
1 GENERAL
1.1 The International Safety Management Code (ISM Code) was adopted by the
Assembly at its eighteenth session by resolution A.741(18) and was amended by resolutions
MSC.104(73), MSC.179(79), MSC.195(80), MSC.273(85) and MSC.353(92). The ISM Code
has been made mandatory through SOLAS 1974 regulation IX/3.
1.2 The Administration is responsible for verifying compliance with the requirements of
the ISM Code and issuing Documents of Compliance to companies and Safety Management
Certificates to ships. This verification is carried out by the Administration or a recognized
organization (RO).
1.3 Port State control officers (PSCOs) do not perform safety management audits.
ISM auditing is the responsibility of the flag State and the company and does not fall under the
scope of port State control. PSCOs conduct inspections of ships, which are a sampling process
and give a snapshot of the vessel on a particular day.
1.4 The safety management system (SMS) documentation is in the ship’s working
language, which may not be understood by the PSCO. The procedure may not be harmonized
if the PSCO is only able to review the SMS documentation on those ships where they can
understand the language.
2 GOALS AND PURPOSE
2.1 The Guidelines provide guidance to PSCOs for the harmonized application of related
technical or operational deficiencies found in relation to the ISM Code during a PSC inspection.
3 APPLICATION
3.1 The ISM Code applies to the following types of ships engaged in international
voyages:
.1 all passenger ships including passenger high-speed craft;
.2 oil tankers, chemical tankers, gas carriers, bulk carriers and cargo
high-speed craft of 500 gross tonnage and above; and
.3 other cargo ships and self-propelled mobile offshore drilling units (MODUs)
of 500 gross tonnage and above.
3.2 For establishing the applicability SOLAS 1974 chapter IX and the ISM Code,
“gross tonnage” means the gross tonnage of the ship as determined under the provisions
of TONNAGE 1969, and as stated on the International Tonnage Certificate of the ship.
3.3 The ISM Code does not apply to government-operated ships used for non-commercial
purposes.
4 RELEVANT DOCUMENTATION
4.1 Applicable documentation for these Guidelines is as follows:
.1 SOLAS 1974;
.2 ISM Code;
.3 Copy of the Interim DOC or copy of the DOC;
.4 Interim SMC or SMC; and
.5 MSC/Circ.1059-MEPC/Circ.401, as may be amended.
5 DEFINITIONS AND ABBREVIATIONS
SOLAS: International Convention for the Safety of Life at Sea, 1974, as
amended
ISM Code: International Safety Management Code
The International Management Code for the Safe Operation of
Ships and for Pollution Prevention, as adopted by resolution
A.741(18), as amended
Procedures for Procedures for Port State Control, 2023, as adopted by resolution
Port State A.1185(33), as may be amended
control:
Company: The owner of the ship or any other organization or person such as
the manager, or the bareboat charterer, who has assumed the
responsibility for operation of the ship from the shipowner and who,
on assuming such responsibility, has agreed to take over all duties
and responsibility imposed by the Code
Administration: The Government of the State whose flag the ship is entitled to fly
DOC: Document of Compliance
A document issued to a company which complies with the
requirements of the ISM Code
SMC: Safety management certificate
A document issued to a ship which signifies that the company and
its shipboard management operate in accordance with the approved
safety management system
SMS: Safety management system
A structured and documented system enabling company personnel
to implement effectively the company safety and environmental
protection policy
Objective evidence: Quantitative or qualitative information, records or statements of fact pertaining to safety or to the existence and implementation of a safety management system element which is based on observation, measurement or test and which can be verified
Valid certificate: A certificate that has been issued, electronically or on paper, directly
by a Party to a relevant convention or on its behalf by a recognized
organization, and contains accurate and effective dates, meets the
provisions of the relevant convention, and with which the particulars
of the ship, its crew and its equipment correspond
PSC: Port State control
PSCO: Port State control officer
RO: Recognized organization
An organization recognized by the Administration
MODU: Mobile offshore drilling unit
ISM-related: A technical and/or operational deficiency which has been assessed
by the PSCO to be objective evidence of a failure, or lack of
effectiveness, of the implementation of the ISM Code, and which is
marked as “ISM-related” in the inspection report
ISM deficiency: A deficiency that is cited against the ISM Code
6 INSPECTION OF SHIP
6.1 Initial inspection
6.1.1 Initial inspection should be carried out in accordance with the Procedures for Port
State Control.
6.1.2 During the initial PSC inspection, the PSCO should verify that the ship carries the ISM
certificates according to the provisions of chapter IX of SOLAS 1974 and the ISM Code by
examining the copy of the DOC and the SMC, for which the following points are to be
considered:
.1 A copy of the DOC should be on board. However, according to the provisions
of SOLAS 1974, the copy of the DOC is not required to be authenticated or
certified. The copy of the DOC should have the required endorsements.
.2 The SMC is not valid unless the operating company holds a valid DOC for
that ship type. The ship type in the SMC should be included in the DOC and
the company’s particulars should be the same on both the DOC and the
SMC. The SMC should have the required endorsements.
.3 The validity of an Interim DOC should not exceed a period of 12 months.
The validity of an Interim SMC should not exceed a period of six months.
In special cases, the Administration, or at the request of the Administration
another Government, may extend the validity of the Interim SMC for a period
which should not exceed six months from the date of expiry.
.4 ROs may issue a short-term DOC or SMC not exceeding five months, while
the full-term certificate is being prepared in accordance with their internal
procedures. If a renewal verification has been completed and a new SMC
cannot be issued or placed on board the ship before the expiry date of the
existing certificate, the Administration or RO may endorse the existing
certificate. Such a certificate should be accepted as valid for a further period
which should not exceed five months from the expiry date.
.5 If a ship at the time when an SMC expires is not in a port in which SMC
verification is to be carried out, the Administration may extend the period of
validity of the SMC, but this extension should be granted only for the purpose
of allowing the ship to complete its voyage to the port in which SMC
verification is to be carried out, and then only in cases where it appears
proper and reasonable to do so.
.6 No SMC should be extended for a period of longer than three months, and
the ship to which an extension is granted should not, on its arrival in the port
in which SMC verification is to be carried out, be entitled by virtue of such
extension to leave that port without having a new SMC. When the renewal
verification is completed, the new SMC should be valid until a date not
exceeding five years from the expiry date of the existing SMC before the
extension was granted.
.7 If no technical or operational-related deficiencies are found during an initial
inspection carried out in accordance with the Procedures for Port State
Control and guidelines, there is no need to consider the ISM aspect.
6.2 Clear grounds
6.2.1 Since the PSCO is not carrying out a safety management audit of the SMS during a
PSC inspection, the term “clear grounds” is not applicable in this context.
6.2.2 Clear grounds and the subsequent more detailed inspection only exist for technical
or operational deficiencies.
6.3 More detailed inspection
6.3.1 If a more detailed inspection for technical or operational-related deficiencies is carried
out, this should be done in accordance with the Procedures for Port State Control.
Any technical and/or operational deficiencies found during this inspection should be
individually or collectively considered by the PSCO, using their professional judgement, to
indicate that either:
.1 these do not show a failure, or lack of effectiveness, of the implementation
of the ISM Code; or
.2 there is a failure, or lack of effectiveness, of the implementation of the
ISM Code.
6.3.2 If an outstanding ISM-related deficiency from a previous PSC inspection exists and
the current PSC inspection is more than three months later, the PSCO will verify, during the
present PSC inspection, the effectiveness of any corrective action taken by the company by
examining the areas of the technical and/or operational deficiencies of the previous
PSC inspection report which led to the issuance of the ISM deficiency.
7 FOLLOW-UP ACTION
7.1 Technical, operational and ISM Code deficiencies
7.1.1 The principles outlined in the Procedures for Port State Control with regard to
reporting and rectification of technical or operational deficiencies, and detention and release
of the ship are applicable.
7.1.2 If there are technical or operational deficiencies reported:
.1 which, whether detainable or non-detainable, do not show a failure, or lack
of effectiveness, of the implementation of the ISM Code, no ISM deficiency
should be reported in the PSC inspection report;
.2 of which at least one non-detainable deficiency indicates a failure, or lack of
effectiveness, of the implementation of the ISM Code, a non-detainable ISM
deficiency will be reported in the PSC inspection report with the requirement
of corrective action within three months;
.3 which individually do not lead to a detention but collectively warrant the
detention of the ship indicating a serious failure, or lack of effectiveness, of
the implementation of the ISM Code, ISM deficiency will be reported in the
PSC inspection report with the requirement that a safety management audit
has to be carried out by the Administration or the RO before the ship may be
released from its detention; and
.4 of which at least one detainable deficiency indicates a serious failure, or lack
of effectiveness, of the implementation of the ISM Code, a detainable ISM
deficiency will be reported in the PSC inspection report with the requirement
that a safety management audit has to be carried out by the Administration
or the RO before the ship may be released from detention.
Note: Where the PSCO considers that one or more technical and/or operational
deficiencies are related to the ISM Code, this should be recorded as only one
ISM deficiency.
7.1.3 The PSCO will verify the effectiveness of any corrective action as described in
section 6.3.2. If examination of the areas in relation to an ISM deficiency with the requirement
corrective action within three months is found not satisfactory, a new detainable ISM deficiency
with the requirement that a safety management audit has to be carried out by the
Administration or the RO will be raised. In this case the PSCO should apply the following
procedure:
.1 record one or more technical/operational deficiencies, detainable or not, in
the same area(s) which led to the issuance of the previous ISM deficiency;
.2 mark the deficiency or deficiencies “ISM-related” and add in the additional
comments the following text: “This deficiency shows non-effective
implementation of the ISM Code in the areas where the ISM deficiency or
deficiencies were found during the PSC inspection on _____”; and
.3 record a new detainable ISM deficiency with the requirement that a safety
management audit has to be conducted by the Administration or the RO
before the ship may be released from detention.
7.2 Deficiencies not warranting detention
Minor typing errors in the DOC, the Interim DOC, the SMC, or Interim SMC should be recorded
in the PSC inspection report as a technical deficiency with the certificates and no ISM
deficiency should be recorded.
7.3 Deficiencies warranting detention
The following are deficiencies which may warrant detention:
.1 deficiencies of a technical and/or operational nature which individually or
collectively provide objective evidence of a serious failure, or lack of
effectiveness, of the implementation of the ISM Code;
.2 there is no SMC, Interim SMC and/or copy of the DOC or Interim DOC on
board the ship;
.3 there is no valid SMC or Interim SMC on board;
.4 the SMC intermediate verification is overdue;
.5 the SMC has expired and there is no objective evidence of an extension
issued by the Administration; or the SMC has been withdrawn by the
Administration;
.6 the DOC or Interim DOC has expired or been withdrawn;
.7 the ship type as indicated on the SMC or Interim SMC is not listed on the
DOC or Interim DOC;
.8 evidence of the DOC annual verification is not available on board;
.9 the certificate numbers on the copy of the DOC and the endorsement pages
are not the same; and
.10 the company name, the company address or the issuing Government
authority on the DOC or Interim DOC is not the same as on the SMC or
Interim SMC.
8 REPORTING
8.1 Technical and operational-related deficiencies
8.1.1 All technical and/or operational deficiencies should be recorded as an individual
deficiency in the PSC inspection report according to the Procedures for Port State Control.
8.1.2 A technical deficiency with the defective item DOC/SMC or Interim DOC/SMC should
be recorded in the PSC inspection report under the deficiency code addressing the DOC or
SMC respectively.
8.2 ISM deficiency
Where the PSCO has considered the technical and/or operational deficiencies found and
concluded these provide objective evidence of a failure, serious failure or lack of effectiveness
of the implementation of the ISM Code, an ISM deficiency should be recorded in the PSC
inspection report.