Regulated Australian vessels of 500 GRT and over that are proceeding on an overseas voyage or for use on an overseas voyage are required to obtain ISM Code certification. Non-SOLAS vessels that are regulated Australian vessels must meet the requirements in MO 31.
For the purpose of the ISM Code, AMSA appointed Recognised Organisations (ROs) have been authorised as ‘Issuing bodies’. This authorisation permits ROs to conduct audits and issue AMSA statutory certification, including Document of Compliance and Safety Management Certificates.
Application and certification process
The process shall follow the ISM code and guidelines, as summarised below:
- A Company should apply for issue of a Document of Compliance or Safety Management Certificate to a recognised organisation.
- The certification and audit process shall follow the recognised organisation’s instructions, rules, MO 58 and ISM Code.
- Subsequent to the issue of DOC certificate by the recognised organisation, the Company should apply for Safety Management Certificate(s) for its ship(s), as mandated by SOLAS Chapter IX/Reg.2 and MO 58/Div.4, by submitting an application to the recognised organisation.
Interim DOC and SMC
- Interim DOC and SMC will be issued to a Company or vessel in accordance with the ISM Code and MO 58.
- An Interim DOC should be valid for 12 months. There is no provision to extend an Interim DOC in the ISM Code or MO 58. An Interim SMC should be valid for 6 months and under special circumstances, the Interim SMC may be extended for a further 6 months.
- The RO will issue an Interim DOC or SMC upon satisfactory completion of an interim assessment.
Full Term DOC and SMC (INITIAL and RENEWAL)
- A full term DOC or SMC will be issued by the recognised organisation, following their procedures and ISM code.
- The period of validity of a full term DOC or SMC will be five (5) years. This is subject to the annual verification audit being carried out within three (3) months before or after the initial verification audit date or, in the case of SMC, subject to the intermediate verification audit carried out between the second and third anniversary after the initial verification audit date. The expiry date of the DOC or SMC will be five (5) years, minus one (1) day, after the initial verification audit date.
- A new full term DOC or SMC issued after a renewal audit will have the same expiry date as the existing full term DOC or SMC, plus five (5) years, provided the renewal audit is completed within three (3) months prior to the original expiry date of the certificate. When the renewal audit is completed more than three (3) months prior to the original expiry date of the DOC or SMC, the new full term DOC or SMC will be issued with an expiry date of five (5) years, minus 1 day, after the renewal verification audit date. When the renewal audit is completed after the expiry date of the existing SMC, the new SMC will be valid from the date of completion of the renewal audit to a date not exceeding five (5) years from the date of expiry of the existing SMC.
- It is the responsibility of the Company to advise the recognised organisation of any changes affecting their ISM certification, including change of DPA. The Company must also lodge notices when it changes name or changes address.1 2 Similarly notices must be lodged when the vessel changes names. 3
- It is the responsibility of the Company to make copies of the DOC and distribute to each ship covered by the Company’s SMS.
Annual Endorsement of DOC and Intermediate Endorsement of SMC
- The recognised organisation will endorse the full term DOC or SMC on completion of an annual or intermediate audit as per their procedures and ISM code.
- A DOC or SMC will not be endorsed if a major non-conformity exists.
- If an annual or intermediate verification is not endorsed within the DOC periodical audit window (between +/- 3 months of the initial verification anniversary date) or the SMC periodical audit window (between the 2nd and 3rd anniversary dates of the initial verification date) the full term DOC or SMC becomes invalid.
2. When an ISM Company changes name or changes address, the company must:
- complete form 484 and lodge it with the Australian Securities and Investments Commission within 28 days
- complete form AMSA210 (Change of name or address) and lodge it with the Australian Registrar of Ships within 14 days after the change occurs
- complete form AMSA174 (Amendment to the Continuous Synopsys Record) and lodge it with the Australian Registrar of Ships within 14 days after the change occurs.
The company name and address details must be exactly the same as those recorded by the Australian Securities and Investments Commission.
If the ISM Company is also the Registered Owner of a vessel, then the company must send the existing Certificate of Registration to the Australian Registrar of Ships so it can be updated.
The new Certificate of Registration or Continuous Synopsys Record will show the company’s current “Registered Office Address”. The new Document of Compliance will show the company’s current “Principal Place of Business Address”.
3. When a vessel changes name, the company must complete Form AMSA200 (Change of name) and lodge it with the Australian Registrar of Ships.