Conclusiones parciales del capítulo - PROPUESTA DE ACCIONES PARA ADAPTAR LOS SERVICIOS DE

CAPÍTULO 3. PROPUESTA DE ACCIONES PARA ADAPTAR LOS SERVICIOS DE

3.4 Conclusiones parciales del capítulo

3.3.1 The Company is responsible for determining and initialing corrective actions for any non-conformity identified by the auditor(s). Such proposed corrective action is to be verified as effective by the auditor(s) and should be completed within the time period agreed. A non-conformity note is the record by which auditor(s) report deviation from the ISM Code and/or specific requirements of the SMS. The purpose of the non-conformity note is:

- To formally convey to the Company the auditor’s observations

- To advise anoth er auditor of what has been found and in which area, to facilitate review, - To present a record that can be reviewed remotely.

The content of a non-conformity note has to:

- Be complete and concise, containing a reference to a requirement of the SMS.

- Be classified against the respective requirements of the ISM Code.

- Be written in such a manner to be easily understood by a second party reviewing the report.

3.3.2 Major Non-conformities: Should Major Non-conformities be found in an audit, corrective action is immediately required. This shall be adequate to remove the serious threat to personnel or ship or a serious risk to the environment.

Corrective actions are to be verified as effective. In this case, an auditor shall be nominated to verify the corrective action either by an additional verification or by the inspection of objective evidence provided by the Company.

Depending of the number of Major Non-conformities found, the auditor shall decide the extent, type and time period of

7 the additional verification. The auditor shall also advise the Company of the procedure for withdrawal of the DOC/SMC (see 4.1 and 4.2), if necessary.

3.3.3 Communication with Flag State: Should Major Non-conformity be identified in a shipboard audit/company audit leading to the invalidation of the SMC/DOC, all flag states the company is holding a valid DOC shall be informed. The communication has to include the identity of the ship/ company and the substance of the major non-conformities as well as the date of audit. In case technical deficiencies are identified during a shipboard audit (ref. also to 3.3.5 below), the auditor shall inform the society having the vessel in class via I.R.S. Head Office in writing.

3.3.4 Non-conformities: Where a large number of Non-conformities exists in an area or where a number of similar Non-conformities exist throughout the Company, the auditor(s) shall consider whether these demonstrate a more significant breakdown or failure of the management system. In that case a separate Major Non-conformity note shall be issued to address this subject.

3.3.5 Technical deficiencies: Where the auditor(s) identifies a technical deficiency during a shipboard audit, which is likely to present a serious threat to safety or harm to the environment, the auditor shall verify if the company has taken appropriate action to correct the technical deficiency and if the responsible Class Society has been informed accordingly. In any case the auditor shall ensure that the responsible Class Society deals with technical efficiencies found.

3.3.6 Responsibilities: Auditors are responsible for maintenance of original Non-conformities after audit. They are responsible for ensuring the verification of corrective actions on Non -conformities has been implemented.

3.3.7 Presentation of Non-conformities: Non -conformities shall be passed to the Company Representative for acceptance during the audits. If the Company Representative refuses to sign, the Non-conformity shall be annotated with the stated reason and shall continue to be treated as if a signature of acceptance was present. At the closing meeting, the Non -conformity notes shall be formally presented by the auditor(s). The Company shall retain copies, while the originals are forwarded to and retained by the auditor.

3.3.8 Review of Non-conformities: Demonstration of effective, partial or complete corrective actions shall allow Major Non-conformity to be closed out or be downgraded to non-conformity. Verification of the corrective actions shall also demonstrate that similar problems have not been identified in other areas or on other ships. During preparation of the COMPANY AUDIT REPORT & SHIPBOARD AUDIT REPORT by the auditor, the latest copies of all Non-conformities shall be included like an APPENDIX to the reports. Non-Non-conformities not effectively addressed by the Company at the next periodical verification audit shall lead to withdrawn of certification.

SECTION 4 Certification

4.1 Document of Compliance (DOC): A DOC shall be issued to a Company following an initial verification of compliance with the requirements of the ISM Code. The Company shall make available copies of the DOC to its shore side offices and to each ship. A DOC shall not be issued, endorsed or renewed unless all Major Non-conformities have been;

- Downgraded, e.g. successfully dealt with after immediate corrective action to remove serious threat to personnel or ship or a serious risk to the environment or

- Closed out, e.g. fully rectified by the company and this being verified by the auditor.

A DOC may be issued, endorsed or renewed before Non-conformity have been closed out, provided that a schedule not exceeding three months has been agreed between the Company and the auditor(s) for completion of necessary corrective actions. The period of validity of a DOC shall be five years from the date of the ISM Code audit, subject to

8 annual periodical verification carried out within three months before or after the anniversary date. A DOC is valid for the types of ships on which the initial verification was based. The types of the ships shall be listed in the DOC. The scope of a DOC may be amended to cover an additional type of ship after the verification of the Company’s capability to comply with the requirements of the ISM Code for this type (refer to the issuance of Interim DOC).

Reasons for which a DOC may become invalid include:

- Corrective actions are not completed within the agreed schedule, - A periodical verification is not requested,

- Amendments to the ISM Code are not taken into account or - There is evidence of an unresolved major non-conformity.

I.R.S. having reasons to withdraw a DOC, when acting on behalf of an Administration/Flag State, shall apply the following procedure:

- I.R.S. is authorized by Administration to withdraw a DOC:

a) Submit a written notice to the Company, Administration and Port State that the DOC has been withdrawn b) Request surrender of DOC and

c) Closely liaise with parties involved for further actions to be taken.

- I.R.S. is not authorized by Administration to withdraw DOC:

a) Submit a written notice to the Company, Administration and Port State stating that the DOC should be withdrawn giving the reasons for possible withdrawal and

b) Await advise from Administration on further actions to be taken.

Invalidation of a DOC shall result in the invalidation of the ship’s SMC(s) associated with the DOC. A DOC shall be reinstated upon satisfactory completion of an audit having the scope of an initial verification.

4.2 Safety Management Certificate (SMC): A SMC shall be issued to a ship following initial verification of compliance with the requirements of the ISM Code. A copy of the SMC shall be available at the Company’s Head Office. The issue of a SMC is conditional upon:

- The existence of a valid DOC for that type of ship/flag of ship

- Maintenance of compliance with the requirements of classification society, - Maintenance of valid statutory certificates.

A SMC shall not be issued endorsed or renewed unless all Major Non -Conformity have been:

1) DOWNGRADED, i.e. successfully dealt with after immediate corrective action to remove serious threat to personnel or ship or a serious risk to the environment or

2) CLOSED OUT, i. e. Fully rectified by the Company and this being verified by the auditor.

A SMC may be issued, endorsed or renewed before other Non-conformities have been closed out, provided a schedule not exceeding three months has been agrees between the Company and the auditor for completion of the necessary corrective actions. The period of validity of a SMC shall be five years from the date of the ISM Code audit, subject to at least one intermediate verification. The frequency of the intermediate verification may be increased in certain cases, particularly during the initial period of operation of the SMC or due to the nature of Non-conformities, if requested by the Administration or by I.R.S. If only one intermediate verification is carried out, it is to take place between the second and third anniversary date of the issue of the certificate. Reasons for which a SMC may become invalid include:

- Any condition as above is not met;

- Corrective actions are not completed within the agreed time schedule;

- A periodical verification is not requested;

- Amendments of the ISM Code are not taken into account;

- There is evidence of an unresolved Major Non-conformity.

I.R.S. having reasons to withdraw a SMC, when acting on behalf of an Administration, shall apply the following procedure:

9 - I.R.S. is authorized by Administration to withdraw SMC.

a) Submit a written notice to the Master, Administration and Port State stating that the SMC has been withdrawn;

b) Request surrender of SMC and

c) Closely liaise with parties involved for further actions to be taken.

- I.R.S. is not authorized by Administration to withdraw SMC:

a) Submit a written notice to the Master, Administration, Port State stating that the SMC should be withdrawn giving the reasons for possible withdrawn and

b) Await advise from Administration on further actions to be taken.

A SMC shall be reinstated upon satisfactory completion of an audit having the scope of an initial verification.

4.3 Interim Document of Compliance: An interim DOC, valid for no more than 12 months may be issued to facilitate implementation of the ISM Code where a Company is newly established, where new ship types are added to an existing DOC or where a ship changes flag, under the following conditions:

- The Safety Management Manual is to contain at least the following:

a) Safety and Environmental Policy;

b) Organizational Charts of the Company;

c) Responsibilities and Authorities of the key personnel including Designated Person and Masters;

d) Procedures covering Element 9, 11, 12 of the ISM Code.

e) Procedures for Element 6, 7,8, 10.

- The Company must demonstrate precise plans to implement an SMS, meeting the full requirements of the ISM Code within the period of validity of the interim DOC. This demonstration may include interviews at regular intervals with key personnel ashore in order to verify familiarity with the above.

- I.R.S. will conduct an audit against the plan for implementation not later than three Months after having issued the interim DOC.

4.4 Interim Safety Management Certificate: An Interim SMC may be issued to a new ship on delivery, or when a Company takes over the responsibility for the management of a ship, which is new to the Company. It may also be issued where a ship changes flag, to enable the ship to operate and accumulate objective evidence of the effective functioning of the SMS. Before an Interim SMC is issued, it has to be verified by audit that:

- The DOC, or Interim DOC, is relevant to that ship;

- The SMS provided by the Company includes key elements of the ISM Code and has been assessed during document review prior to the audit for issuance of the DOC or demonstrated for issuance of the Interim DOC (see 4.3);

- The Master and relevant senior Officers are familiar with the SMS and the planned arrangements for its implementation;

- Instructions, which have been identified as essential to be provided prior to sailing, have been given. This would require at least that: muster list and stations and individual emergency duties are known; alarm signals are known;

allocation and use of safety equipment (including personal protection equipment) is known; escape routes are known.

- Plans for Company audit of the ship within three months exists;

- The relevant information on the SMS is given in working language or languages understood by the ship's personnel.

The period of validity of an Interim SMC shall not exceed six months. In special cases, the validity of the Interim SMC may be extended by a further six months. An initial shipboard verification shall be carried out prior to issuing the full term SMC.

4.5 Short Term Certificates: A Short Term DOC or SMC valid for no more than 5 months from the day of the audit may be issued after the closing of an audit to facilitate implementation of the ISM Code and to cover the period until a

10 Full Term Certificate is issued. The Short Term DOC or SMC may be issued provided no Major Non-conformities remain and the auditor formally recommends certification of the company or ship on the audit report.

SECTION 5

Relationship between ISM Code and STCW

5.1 There is a direst relationship between ISM Code and STCW in the following Elements of the ISM Code:

- Element 6: Resources and Personnel

- Element 7: Development of plans for shipboard operations - Element 8: Emergency preparedness

Through all the above elements the Company is required to set into practice all it’s responsibilities from STCW’95 as defined in respectively training, personnel management, familiarization, crew co-ordination. The auditor will verify compliance with the implicit and explicit responsibilities for companies set forth by STCW’95 during company office audits.

SECTION 6

Procedures For Document Review

6.1 Purpose: To describe the method of performing the review of Quality / Safety Management Documents in accordance with the ISM Code.

6.2 Scope of application: These procedures apply to certification carried out for Companies operating ship types for which the ISM Code is already mandatory as of JULY 1 ,1998 and for certification carried out during the voluntary phase of the ISM Code for “other cargo ships“ until JULY 1 , 2002.

6.3 References: ISM CODE and I.R.S. Forms:

# ISM_COCERT: COMPANY CHECK LIST ISM CERTIFICATION

# ISM_INFO: INFORMATION ON SHIPS

# ISM_DOCREV: ISM DOCUMENT REVIEW

6.4 Responsibilities of Auditors: ISM auditors qualified in accordance with IMO Resolution A.788 (19), Appendix 1.

The auditor for performing the document review will be nominated by I.R.S. Head Office.

6.5 Documentation: The following records are required to be forwarded to I.R.S. Head Office:

- The original of the form # ISM_DOCREV:ISM DOCUMENTATION REVIEW (VERIFICATION LIST) - a master/table of content of the relevant Company‘s Quality/Safety Management Documents.

6.6 Performance of Document Review: The document review could be carried out in the I.R.S. Head Office or by the auditors. The document review should be carried out as non-bureaucratic as possible, however, it has to be assured that all ISM requirements are covered by documented procedures as well as all possible additional national requirements, if applicable, (for details I.R.S. Head Office should be contacted). The Company Audit to be initialed only after satisfactory fulfillment of all ISM requirements in the relevant quality/safety management documentation.

6.7 Responsibility of the Company: A controlled copy of the relevant/safety management documentation shall be issued for I.R.S. This copy to be kept and maintained/revised by the Company. The Company shall keep I.R.S.

Continuously informed about the revision status and forward the latest master list/index of quality/safety management documents to the auditor.

11 SECTION 7

Procedures For Company Office Audits

7.1 Purpose: To describe the method for performing an office audit in accordance with the ISM Code.

7.2 Scope of Application (same as document review) 7.3 References: ISM Code and I.R.S. Documents 7.4 Responsibilities (same as document review)

7.5 Documentation

7.5.1 The following original records are required to be forwarded to the Head Office:

- AUDIT PLAN ( no special form --- to be developed by auditor from case to case ) containing : 1) Identification of individuals having significant direct responsibilities regarding the SMS ; 2) Identification of reference documents associated with the SMS;

3) Identification of auditor(s);

4) The language of the audit;

5) Identification of organizational units to be audited;

6) The date and place where the audit is to be conducted;

7) The schedule of meetings to be held with Company’s management 8) Audit report distribution.

- INTERIM DOC – ISM_DOC INTERIM

- INTERIM DOCUMENT OF COMPLIANCE (for THE KINGDOM OF CAMBODIA only) - INTERIM DOC AUDIT CHECKLIST - ISM_INTERIM DOC CHECKLIST

- SHORT TERM DOCUMENT OF COMPLIANCE - ISM_DOCSHORTTERM - COMPANY AUDIT REPORT - ISM_COMPANY REPORT

- NON-CONFORMITY NOTE

- DOCUMENT OF COMPLIANCE - ISM_DOC FT

7.5.2 Copies of all the above records except INTERIM DOC AUDIT CHECKLIST (for issuance of INTERIM DOC valid 6 months) and COMPANY AUDIT REPORT (for issuance of SHORT TERM DOC valid 5 months)

are required to be left in the company office.

7.6 Due dates of Audits

Annual: Three months before / after the anniversary date of the certificate.

Renewal: From six months before the expiry date of the DOC; to be completed before the expiry date.

7.7 Performance of Audits

7.7.1 Initial /Renewal Audit: A DOC shall be issued to a Company by I.R.S Head Office following satisfactory document review (by I.R.S. Head Office or by surveyor), an initial verification of compliance and downgrading / closing out of any Major Non-conformity, if applicable. General steps are as follows:

1) Submission of AUDIT PLAN to be agreed by the Company.

2) Verification that the SMS has been in operation for at least 3 months within the Company and at least 3 months on board of at least one ship of each type operated by the Company;

3) Verification that the Company’s safety management documentation has been approved;

4) Opening meeting including confirmation of audit plan by responsible person;

12 5) Verification of records on previous internal/external audit, ashore and on board and verification of the Company’s

obligations with respect to Element 9 and 12 of the ISM Code;

6) Verification that statutory and classification certificates are valid and no surveys are overdue, recommendations are being dealt with for at least one ship of each type operating by the Company;

7) Familiarization with specific procedures of the Company ‘s SMS (on a random basis)

8) Interview according to the INTERIM DOC CHECKLIST and COMPANY AUDIT REPORT, with personnel having responsibility and duties within Company’s SMS;

9) Establishing if there were any Non-conformities and/or Observations;

10) Closing meeting;

11) Recommendation concerning issuance of DOC and 12) Forward copies of NON-CONFORMITY NOTE.

7.7.2 Annual Audit: The same principle as at an initial Company Audit shall be applied with the following additions/amendments:

1) Verification that outstanding corrective action have been settled (where corrective action has been implemented, the auditor shall indicate with his signature on the Non -conformity note the satisfactory implementation and forward that Non-conformity note to I.R.S. Head Office);

2) Review Non-conformities reported in relation to previously conducted Company audits to verify the Company audits to verify the Company’s investigation, analysis and resolution of the Non -conformities according to the requirements of Element 9 and 12 of the ISM Code;

3) Endorsement of the DOC when audit results are satisfactory; otherwise in case of Major Non-conformities the DOC will not be endorsed.

4) Proposal on corrective actions for Non-conformities found during the annual audit should be forwarded to the auditor for assessment following the same principle described above.

7.7.3 Additional Audit: Additional audits may be performed to verify rectification of Major Non-conformities or to confirm modifications of the SMS. The scope depends of the nature of Non -conformities and modifications.

7.7.4 Issuance of Interim DOC: For issuance of interim DOC’s for Company operating “GENERAL CARGO SHIPS”

only please contact I.R.S. Head Office. For issuance of interim DOC ‘s for companies operating ship types for which the

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