List of Certificates and Documents required on Board Ships

 

Only certificates and documents required by international conventions and mandatory codes are listed. In addition Port and Flag States might have more extended requirements.

This list has been prepared using the best information currently available. The information provided is intended purely as guidance; there use is at the users own risk.


  1. SOLAS 74

A) Reg.I/12

  1. Passenger Ship Safety Certificate                –  (Vessels carrying more than 12 Passengers
  2. Cargo Ship Safety Construction Certificate   – (Cargo Vessels ≥ 500 GT )
  3. Cargo Ship Safety Equipment Certificate      – (Cargo Vessels ≥ 500 GT )
  4. Cargo Ship Safety Radio Certificate              – (Cargo Vessels ≥ 300 GT )
  5. Cargo Ship Safety Certificate                       – (Cargo Vessels ≥ 500 GT )
  6. Exemption Certificate      – (Cargo Vessels ≥ 500 GT )/ Passenger Vessels

 

S O L A S C H A P T E R I X – Management for the safe operation of ships

Chapter IX Management for the safe operation of ships

1 Definitions

2 Application

3 Safety management requirements

4 Certification

5 Maintenance of conditions

6 Verification and control

C H A P T E R I X

Management for the safe operation of ships Introduction

This chapter contains the provisions of Annex IX to the International Convention for the Safety of Life at Sea (SOLAS) 1974, as amended, and associated Protocols and Codes. The provisions of this chapter shall apply to all Danish and foreign passenger ships engaged in domestic voyages between Danish ports. Furthermore, the provisions of this chapter shall apply to Danish and foreign ships engaged in domestic voyages between Danish ports in sea areas A and B in pursuance of Regulation (EC) No. 336/2006 of the European Parliament and of the Council of 15 February 2006 on the implementation of the International Safety Management Code within the Community and repealing Council Regulation (EC) No. 3051/95.

Regulation 1

Definitions

1 For the purpose of this chapter, unless expressly provided otherwise:

2 “International Safety Management (ISM) Code” means the International Management Code for the Safe Operation of Ships and for Pollution Prevention adopted by the Organization by resolution A.741(18), as may be amended by the Organization, provided that such amendments are adopted, brought into force and take effect in accordance with the provisions of article VIII of the present Convention concerning the amendment procedures applicable to the annex other than chapter I.

3 “Company” means 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 owner of the ship and who on assuming such responsibility has agreed to take over all the duties and responsibilities imposed by the International Safety Management Code.

4 “High-speed craft” means a craft as defined in regulation I/2.6.

5 “Document of Compliance (DOC)” means a document issued to a shipping company that complies with the requirements of the ISM Code.1

6 “Safety Management Certificate (SMC)” means a certificate issued to a ship stating that the shipping company and its ship are operated in accordance with the approved Safety Management System (SMS).

Regulation 2 Application

1 This chapter applies to passenger ships, including high-speed passenger craft.

2 This chapter does not apply to government-operated ships used for non-commercial purposes.

Regulation 3 Safety management requirements

1 The company and the ship shall comply with the requirements of the International Safety Management Code.

2 The ship shall be operated by a company holding a Document of Compliance referred to in regulation 4.

Regulation 4 Certification

1 A Document of Compliance shall be issued to every company which complies with the requirements of the International Safety Management Code. This document shall be issued by the Administration, by an organization recognised by the Administration, or at the request of the Administration by another Contracting Government. A Document of Compliance is valid for a period of five years from the date of issue provided that an audit is carried out each year by the Administration or by an organization recognised by the Administration. Every five years the document shall be renewed.

2 A copy of the Document of Compliance shall be kept on board the ship in order that the master can produce it on request for verification.

3 A Certificate, called a Safety Management Certificate, shall be issued to every ship by the Administration or an organization recognized by the Administration. The Administration or organization recognized by it shall, before issuing the Safety Management Certificate, verify that the company and its shipboard management operate in accordance with the approved safety-management system. A Safety Management Certificate is valid for a period of five years from the date of issue provided that an audit is carried out at least once during this period by the Administration or by an organization recognised by the Administration. Every five years the document shall be renewed.

Regulation 5 Maintenance of conditions

The safety management system shall be maintained in accordance with the provisions of the International Safety Management Code.

Regulation 6 Verification and control

1 The Administration, another Contracting Government at the request of the Administration or an organization recognized by the Administration shall periodically verify the proper functioning of the ship’s safety management system.

2 In cases of change of flag State or company, special transitional arrangements shall be made in accordance with the guidelines developed by the Organization.

 

The ISM Code – Resolution A 741 (18)

INTERNATIONAL MANAGEMENT CODE FOR THE SAFE OPERATION OF SHIPS AND FOR POLLUTION PREVENTION (International Safety Management (ISM) Code)

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.680(17), by which it invited Member Governments to encourage those responsible for the management and operations of ships to take appropriate steps to develop, implement and assess safety and pollution-prevention management in accordance with the IMO Guidelines on Management for the Safe Operation of Ships and for Pollution Prevention,

RECALLING ALSO resolution A.596(15), by which it requested the Maritime Safety Committee to develop, as a matter of urgency, guidelines, wherever relevant, concerning shipboard and shore-based management, and its decision to include in the work program of the Maritime Safety committee and the Marine Environment Protection Committee an item on shipboard and shore-based management for the safe operation of ships and for the prevention of marine pollution, respectively,

RECALLING FURTHER resolution A.441(XI), by which it invited every State to take the necessary steps to ensure that the owner of a ship which flies the flag of the State provides such State with the current information necessary to enable it to identify and contact the person contracted or otherwise entrusted by the owner to discharge his responsibilities for that ship in regard to matters relating to maritime safety and the protection of the marine environment,

RECALLING FURTHER resolution A.443(XI), by which it invited Governments to take the necessary steps to safeguard the shipmaster in the proper discharge of his responsibilities in regard to maritime safety and the protection of the marine environment,

RECOGNIZING the need for appropriate organization of management to enable it to respond to the need of those on board ships to achieve and maintain high standards of safety and environmental protection,

RECOGNIZING ALSO that the most important means of preventing maritime casualties and pollution of the sea from ships is to design, construct, equip and maintain ships and to operate them with properly trained crews in compliance with international conventions and standards relating to maritime safety and pollution prevention,

NOTING that the Maritime Safety Committee is developing requirements for adoption by Contracting Governments to the International Convention for the Safety of Life at Sea (SOLAS), 1974, which will make compliance with the Code referred to in operative paragraph 1 mandatory,

CONSIDERING that the early implementation of that Code would greatly assist in improving safety at sea and protection of the marine environment,

NOTING FURTHER that the Maritime Safety Committee and the Marine Environment Protection Committee have reviewed resolution A.680(17) and the Guidelines annexed thereto in developing the Code,

A 18/Res.741 2

HAVING CONSIDERED the recommendations made by the Maritime Safety Committee at its sixty-second session and by the Marine Environment Protection Committee at its thirty-fourth session.

1. ADOPTS the International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management (ISM) Code), set out in the annex to the present resolution;

2. STRONGLY URGES Governments to implement the ISM Code on a national basis, giving priority to passenger ships, tankers, gas carriers, bulk carriers and mobile offshore units which are flying their flags, as soon as possible but no later than 1 June 1998, pending development of the mandatory application of the Code;

3. REQUESTS Governments to inform the Maritime Safety Committee and the Marine Environment Protection Committee of the action they have taken in implementing the ISM Code;

4. REQUESTS the Maritime Safety Committee and the Marine Environment Protection Committee to develop Guidelines for the implementation of the ISM Code;

5. REQUESTS ALSO the Maritime Safety Committee and the Marine Environment Protection Committee to keep the Code and its associated Guidelines under review and to amend them as necessary;

6. REVOKES resolution A.680(17).

A 18/Res.741 3 Annex

INTERNATIONAL MANAGEMENT CODE FOR THE SAFE OPERATION OF SHIPS AND FOR POLLUTION PREVENTION (International Safety Management(ISM) Code)

SAFETY AND POLLUTION-PREVENTION MANAGEMENT REQUIREMENTS

Contents

Preamble

  1. 1  GENERAL1.1 Definitions
    1.2. Objectives
    1.3 Application
    1.4 Functional requirements for asafety-management system (SMS)
  2. 2  SAFETY AND ENVIRONMENT AL-PROTECTION POLICY
  3. 3  COMP ANY RESPONSIBILITIES AND AUTHORITY
  4. 4  DESIGNA TED PERSON(S)
  5. 5  MASTER’S RESPONSIBILITY AND AUTHORITY
  6. 6  RESOURCES AND PERSONNEL
  7. 7  DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS
  8. 8  EMERGENCY PREP AREDNESS
  9. 9  REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUSOCCURRENCES
  10. 10  MAINTENANCE OF THE SHIP AND EQUIPMENT
  11. 11  DOCUMENT A TION
  12. 12  COMPANY VERIFICATION, REVIEW AND EVALUATION
  13. 13  CERTIFICATION, VERIFICATION AND CONTROL

A 18/Res.741 4

PREAMBLE
1. The purpose of this Code is to provide an international standard for the safe management and operation of

ships and for pollution prevention.

2. The Assembly adopted resolution A.443(XI), by which it invited all Governments to take the necessary steps to safeguard the shipmaster in the proper discharge of his responsibilities with regard to maritime safety and the protection of the marine environment.

3. The Assembly also adopted resolution A.680(17), by which it further recognized the need for appropriate organization of management to enable it to respond to the need of those on board ships to achieve and maintain high standards of safety and environment protection.

4. Recognizing that no two shipping companies or shipowners are the same, and that ships operate under a wide range of different conditions, the Code is based on general principles and objectives.

5. The Code is expressed in broad terms so that it can have a widespread application. Clearly, different levels of management, whether shore-based or at sea, will require varying levels of knowledge and awareness of the items outlined.

6. The cornerstone of good safety management is commitment from the top. In matters of safety and pollution prevention it is the commitment, competence, attitudes and motivation of individuals at all levels that determine the end result.

1 GENERAL

1.1 Definitions

1.1.1 International Safety Management (ISM) Code means the International Management Code for the Safe Operation of Ships and for Pollution Prevention as adopted by the Assembly, as may be amended by the Organization.

1.1.2 Company means the owner of the ship or any other organization or person such as the manager, or the bareboat charter, 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 the duties and responsibility imposed by the Code.

1.1.3 Administration means the Government of the State whose flag the ship is entitled to fly.

A 18/Res.741 5

1.2 Objectives
1.2.1 The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and

avoidance of damage to the environment, in particular to the marine environment, and to property.

  1. 1.2.2  Safety-management objectives of the Company shouldin, ter alia:
    1. .1  provide for safe practices in ship operation and a safe working environment;
    2. .2  establish safeguards against all identified risks; and
    3. .3  continuously improve safety-management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection.
  2. 1.2.3  The safety-management system should ensure:
    1. .1  compliance with mandatory rules and regulations; and
    2. .2  that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account.

1.3 Application

The requirements of this Code may be applied to all ships.

1.4 Functional requirements for a safety-management system (SMS)

Every Company should develop, implement and maintain a safety-management system (SMS), which includes the following functional requirements:

  1. .1  a safety and environmental-protection policy;
  2. .2  instructions and procedures to ensure safe operation of ships and protection of theenvironment in compliance with relevant international and flag State legislation;
  3. .3  defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel;
  4. .4  procedures for reporting accidents and non-conformities with the provisions of this Code;
  5. .5  procedures to prepare for and respond to emergency situations; and
  6. .6  procedures for internal audits and management reviews.

2 SAFETY AND ENVIRONMENTAL-PROTECTION POLICY

2.1 The Company should establish a safety and environmental-protection policy which describes how the objectives given in paragraph 1.2 will be achieved.

A 18/Res.741 6

2.2 The Company should ensure that the policy is implemented and maintained at all levels ohfet organization, both ship-based as well as shore-based.

3 COMPANY RESPONSIBILITIES AND AUTHORITY


3.1 If the entity who is responsible for the operation of the ship is other than the owner, the owner must report

the full name and details of such entity to the Administration.

3.2 The Company should define and document the responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention.

3.3 The Company is responsible for ensuring that adequate resources and shore-based support are provided to enable the designated person or persons to carry out their functions.

4 DESIGNATED PERSON(S)

To ensure the safe operation of each ship and to provide a link between the company and those on board, every company, as appropriate, should designate a person or persons ashore having direct access to the highest level of management. The responsibility and authority of the designated person or persons should include monitoring the safety and pollution-prevention aspects of the operation of each ship and ensuring that adequate resources and shore-based support are applies, as required.

5 MASTER’S RESPONSIBILITY AND AUTHORITY

  1. 5.1  The Company should define and document the master’s responsibility with regard to:
    1. .1  implementing the safety and environmental-protection policy of the Company;
    2. .2  motivating the crew in the observation of that policy;
    3. .3  issuing appropriate orders and instructions in a clear and simple manner;
    4. .4  verifying that specified requirements are observed; and
    5. .5  reviewing the SMS and reporting its deficiencies to the shore-based management.
  2. 5.2  The Company should ensure that the SMS operating on board the ship contains a clear statement

emphasizing the master’s authority. The Company should establish in the SMS that the master has the overriding authority and the responsibility to make decisions with respect to safety and pollution-prevention and to request the Company’s assistance as may be necessary.

A 18/Res.741 7

6 RESOURCES AND PERSONNEL

  1. 6.1  The Company should ensure that the master is:
    1. .1  properly qualified for command;
    2. .2  fully conversant with the Company’s SMS; and
    3. .3  given the necessary support so that the master’s duties can be safely performed.
  2. 6.2  The Company should ensure that each ship is manned with qualified, certificated and medically fit

seafarers in accordance with national and international requirements.

6.3 The Company should establish procedures to ensure that new personnel and personnel transferred to new assignments related to safety and protection of the environment are given proper familiarization with their duties. Instructions which are essential to be provided prior to sailing should be identified, documented and given.

6.4 The Company should ensure that all personnel involved in the Company’s SMS have an adequate understanding of relevant rules, regulations, codes and guidelines.

6.5 The Company should establish and maintain procedures for identifying any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned.

6.6 The Company should establish procedures by which the ship’s personnel receive relevant information on the SMS in a working language or languages understood by them.

6.7 The Company should ensure that the ship’s personnel are able to communicate effectively in the execution of their duties related to the SMS.

7 DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS

The Company should establish procedures for the preparation of plans and instructions for key shipboard operations concerning the safety of the ship and the prevention of pollution. The various tasks involved should be defined and assigned to qualified personnel.

8 EMERGENCY PREPAREDNESS
8.1 The Company should establish procedures to identify, describe, and respond to potential emergency

shipboard situations.

  1. 8.2  The Company should establish programmes for drills and exercises to prepare for emergency actions.
  2. 8.3  The SMS should provide for maesures that the Company’s organization can respond at any time to

hazards, accidents and emergency situations involving its ships.

A 18/Res.741 8

9 REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES

9.1 The SMS should include procedures ensuring that non-conformities, accidents and hazardous situations are reported to the Company, investigated and analyzed with the objective of improving safety and pollution prevention.

9.2 The Company should establish procedures for the implementation of rcroective action. 10 MAINTENANCE OF THE SHIP AND EQUIPMENT

10.1 The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company.

  1. 10.2  In meeting these requirements, the Company should ensure that:
    1. .1  inspections are held at appropriate intervals;
    2. .2  any non-conformity is reported, with its possible cause, if known;
    3. .3  appropriate corrective action is taken; and
    4. .4  records of these activities are maintained.
  2. 10.3  The Company should establish procedures in its SMS to identify equipment and technical systems the

sudden operational failure of which may result in hazardous situations. The SMS should provide for specific measures aimed at promoting the reliability of such equipment or systems. These measures should include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use.

10.4 The inspections mentioned in 10.2 as well as the measures referred to in 10.3 should be integrated into the ship’s operational maintenance routine.

11 DOCUMENT A TION
11.1 The Company should establish and maintain procedures to control all documents and data which are

relevant to the SMS.
11.2 The Company should ensure that:

  1. .1  valid documents are available at all relevant locations;
  2. .2  changes to documents are reviewed and approved by authorized personnel; and
  3. .3  obsolete documents are promptly remoevd.

A 18/Res.741 9

11.3 The documents used to describe and implement the SMS may be referred to as the Safety Management Manual. Documentation should be kept in a form that the Company considers most effective. Each ship should carry on board all documentation relevant to that ship.

12 COMPANY VERIFICATION, REVIEW AND EVALUATION
12.1 The Company should carry out internal safety audits to verify whether safety and pollution-prevention

activities comply with the SMS.

12.2 The Company should periodically evaluate the efficiency of and, when needed, review the SMS in accordance with procedures established by the Company.

12.3 The audits and possible corrective actions should be carried out in accordance with documented procedures.

12.4 Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.

12.5 The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.

12.6 The management personnel responsible for the area involved should take timely corrective action on deficiencies found.

13 CERTIFICATION, VERIFICATION AND CONTROL
13.1 The ship should be operated by a Company which is issued a document of compliance relevant to that ship.

13.2 A document of compliance should be issued for every Company complying with the requirements of the ISM Code bye the Administration, by an organization recognized by the Administration or by the Government of the country acting on behalf of the Administration in which the Company has chosen to conduct its business. This document should be accepted as evidence that the Company is capable of complying with the requirements of the Code.

13.3 A copy of such a document should be placed on board in order that the master, if so asked, may produce it for the verification of the Administration of organizations recognized by it.

13.4 A certificate, call a Safety Management Certificate, should be issued to a ship by the Administration or organizations recognized bye the Administration. The Administration should, when issuing the certificate, verify that the Company and its shipboard management operate in accordance with the approved SMS.

13.5 The Administration or an organization recognized by the Administration should periodically verify the proper functioning of the ship’s SMS as approved.

ASM ORAL SYLLABUS

Competency Topics :

Includes 2nd Mate (PG), Mate (FG), and the following: 
_______________________________________________________________________
A) SAFETY MANAGEMENT
1. Knowledge of SOLAS Chapter IX, Resolution 741(18).

B) PORT STATE CONTROL

2. Knowledge of General aspects, Resolution 787(19).

C) SURVEY AND CERTIFICATION

3. Knowledge of details of certificates required on a passenger, bulk, oil chemical or gas carrier, the convention to which the certificates belong to. Damage control plans. Provision and display of maneuvering information on board.

D) FIRE PROTECTION

4. Knowledge of Fire Appliance :— Maintenance and ready availability, fire control plan, fire drills. fixed lire fighting system, various FFA and its usage

E) RADIO COMMUNICATIONS

5. Knowledge of functional requirements, Radio installation, Radio personnel and Radio records. Avoidance of false distress alerts.

F) LIFE SAVING, SEARCH AND RESCUE

6. Knowledge of Muster list and emergency instructions, drills, on board maintenance, Operational readiness, MERSER mannual. Various LSA and i. usage.

G) SAFETY OF NAVIGATION

7. Knowledge of Distress Messages.—Obligation and procedures. Mantling, Ice Navigation, Collision Regulations, Ships Reporting System. Navigation in special areas such as straits of Malacca and Singapore, English Channel, Entrances to the Baltic sea. Offshore installation and structures. Avoidance of dangerous situation in following and quartering sea. Aspects of ship handling with or without tugs. Anchoring and berthing vessel under the Influence of tide and wind. Piracy and Armed Robbery against ships. Stow away. National and International obligation following collision, grounding. Methods of refloating and surveys subsequent to refloating. Abandoning snip, survival procedures. Precaution when beaching.

H) CARGOES

8. Knowledge Of provisions for ship carrying Liquid Chemical in bulk. Liquid gas in bulk. Solid bulk cargoes with chemical • properties that may entail hazard during transport. Grain in bulk. Carriage of dangerous packaged goods. Care of cargo : Hague rule, Hague Visby Rules, Hamburg Rules, Containerisation and Multi-Modal Transport.

I) POLLUTION FROM SHIPS

9. Knowledge of provisions of MARPOL 73/78, Requirement for reporting incidents involving dangerous goods, harmful’ sub-stances and/or marine pollutants. National and international Liability for oil pollution. International compensation fund.

J) MISCELLANEOUS PROVISIONS

10. Knowledge of safety measures helicopter operations on ships. National and International provision on Registration of ships. Official log books and its maintenance. National provision on Shipping casualties, Investigation and Inquiries, Salvage(LOF 95). Towage.