DOCUMENTS REQUIRED UNDER ISM CODE AND HOW THEY CAN BE ACHIEVED.

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We all have heard about the ISM code and why this code came in force. To minimize the human error in ship operation and management this code was adopted in SOLAS. We also know that under this code two certificates are issued by administration or any RO duly authorised by the administration. First certificate is issued to the company as defined under ISM code and is called DOCUMENT OF COMPLIANCE (DOC). This certificate is ship specific type. For example a company will require a DOC for crude oil tankers and a separate DOC for dry bulk carrier and so on.
The second certificate is issued to the particular ship and is called SAFETY MANAGEMENT CERTIFICATE (SMC).
Let us see what is the process of issuing of these certificates in India under Directorate General of Shipping.
Suppose a company has bought a second hand ship and the ship type is new to company. For immediate sailing of the ship interim DOC and interim SMC will be required.
1) To get the interim DOC the company will have to follow the following procedure:-
An application on company letter head with following enclosures will have to be submitted to ISM cell      DGS –
a) Company SMS manual
b) ISM- 03 form with fees
c) ISM – 11/12 forms
d) Company incorporation certificate
e) Copies of ownership/ lease agreement/ rental agreement for office premises.
  On receipt of the application, Auditor is nominated to scrutinize the SMS manual. The company will be informed of nomination of the auditor and need to liase with auditor in case any changes are required to be made in SMS manual. The nominated auditor hands over the SMS manual on completion of scrutiny with intimation to DGS on the status of SMS manual. The company should submit amended final approved SMS manual in soft copy to ISM cell of DGS. On receipt of communication from auditor, the ISM cell nominates auditors for carrying out interim DOC audit.  DGS issues interim DOC for a maximum period 12 months on receipt and scrutiny of interim DOC audit report from audit team. After obtaining the certificate, the company is eligible to take over the vessel for technical management of the ship type stated in DOC.
2) Procedure to get interim SMC:-
Company in possession of interim DOC or DOC is eligible to apply for interim SMC audit for ship. The application on company letter head with following enclosures is to be submitted to ISM cell DGS and to INDIAN REGISTRAR OF SHIPPING (RO)—
a) ISM- 03 form
b) ISM- 01/02 form
c) Copy of certificate of registry of vessel
In Indian flag vessel SMC audits are carried out by IRS. On satisfactory completion of SMC audit IRS issues short term interim SMC for 3 months and recommends to ISM cell DGS for issuance of interim SMC valid for 6 months.
After getting interim DOC and short term interim SMC ship can sail under ISM code.
Now to get full term DOC, the company will be eligible after implementation of SMS for at least 3 months on the vessel and in company. Application on company letter head with ISM-03 form with fees is to be submitted to ISM cell DGS. DGS nominates auditor and auditor does the initial audit. The DGS issues DOC for a maximum period of 5 years subjected to annual verification on receipt and scrutiny of initial DOC audit report from the audit team.
Company in possession of DOC (not interim DOC) and having implemented SMS on board the ship for at least 3 months is eligible to apply for initial audit of ship. On satisfactory completion of audit IRS issues SMC valid for 5 months and recommends to ISM cell DGS for issuance of SMC valid for 5 years. DGS issues the SMC for 5 years subjected to one intermediate verification.
So, above are the procedures by which any new type of ship can be inducted in a company and can be operated under ISM code in INDIA.


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