1 Administrations and recognized organizations
acting on their behalf should ensure that they are fully cognizant
of uncorrected major non-conformity raised at ISM
Code audits. A major non-conformity found may be downgraded
to a non-conformity if the Administration or recognized organization
is satisfied that effective corrective action is being taken. A major
non-conformity raised on a ship should be downgraded before the ship
sails. A schedule not exceeding three months should be agreed for
completion of the necessary corrective actions. Where the Administration
allows a major non-conformity to be downgraded, at least one additional
audit should be carried out within the time frame indicated in the
agreed corrective action plan to verify that effective actions are
taken.
2 Upon request of the port State, the Administration
should provide relevant information available to the Administration
concerning the current validity of the Document of Compliance presented
by the ship.
3 In the event more than one Administration and/or
recognized organization is involved in the ISM certification process,
any major non-conformity that leads to withdrawal of a Document of
Compliance or Safety Management Certificate, or that has been allowed
to be downgraded and that corrective actions have been satisfactorily
completed, the involved Administration and/or recognized organization
should report the action taken to the other Administration and/or
recognized organization.
4 A company whose Document of Compliance has been
withdrawn should not be issued with an Interim Document of Compliance.
Furthermore, a new Document of Compliance should not be issued unless
an initial verification or an additional verification to the extent
and scope of an initial verification has been carried out. The new
Document of Compliance should have an expiry date, the same as the
withdrawn document.
5 Where the associated Safety Management Certificates
are withdrawn as a result of the withdrawal of Document of Compliance
caused by a major non-conformity, new Safety Management Certificates
should not be issued unless the Document of Compliance has been reinstated
and a verification to the scope of an initial verification has been
carried out on board the ships on a representative sample basis. At
least one ship of each type operated by the company should be verified.
6 For a ship where the Safety Management Certificate
appears valid, but the Company's Document of Compliance has been withdrawn,
the Administration or a port State ascertaining the withdrawal should
ensure that the ship does not operate until the Document of Compliance
is reissued. Such steps may include detention, revocation of operating
permits or other action necessary to ensure compliance with the ISM Code.
7 For a ship where the Safety Management Certificate
has been withdrawn, the Administration or port State ascertaining
the withdrawal should ensure that the ship does not operate until
the Safety Management Certificate is reissued. Such steps may include
detention, revocation of operating permits or other action necessary
to ensure compliance with the ISM Code.
8 For a ship whose Safety Management Certificate
has been withdrawn as a result of major non-conformity, an Interim
Safety Management Certificate should not be issued. Furthermore, a
new Safety Management Certificate should not be issued unless an initial
verification or an additional verification to the extent and scope
of an initial verification has been carried out on board the ship.
In addition, depending on the nature of the major non-conformity raised
against the Safety Management System implemented on board the ship,
the validity of the Document of Compliance may also need to be verified
by an audit, equivalent in scope to an annual audit, prior to the
issue of the Safety Management Certificate. The new Safety Management
Certificate should have an expiry date, the same as the withdrawn
certificate.