ISM INTERIM AND INITIAL CERTIFICATION PROCEDURE

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Here goes the ISM Interim &Initial certification procedure



Interim DOC

Criteria

a) A newly established company or

b) When new ship types are added to an existing DOC

Procedure

aa)Applications on company letterhead with following enclosures are to be submitted to ISM Cell, DGS.

(a) Company SMS manuals.
(b) ISM-11/12 Forms (can down from dg site)
(c) Company incorporation Certificate.
(d) Copies of ownership / lease agreements / rental agreements for the office premises.

bb) On receipt of the application,

i) Auditor is nominated to scrutinize the SMS Manuals.
ii)The company will be informed of nomination of the auditor and need to liaise with the auditor in case any changes are required to be made in SMS manual.
iii)The nominated auditor hands over the SMS manuals to company on completion of scrutiny with intimation to DGS on the status of SMS manual.
iv)The company should submit the amended final approved SMS manual in soft copy to the ISM Cell of DGS. On receipt of communication from auditor, the ISM Cell nominates auditors for carrying out Interim DOC audit.
v)The DGS issues Interim DOC for a maximum period of 12 months on receipt and scrutiny of Interim DOC Audit report from the audit team.



Interim SMC



Criteria

Company in possession of Interim DOC or DOC is eligible to apply for Interim SMC audit for ship when

Takes on responsibility for the operation of a ship (DOC should be relevant to the ship type) that is new to the company.

Procedure

The application on company letterhead with following enclosures is to be submitted to ISM Cell, DGS and also to IRS (recognized organization)

(a) Copy of certificate of registry of the vessel.

i) On satisfactory completion of SMC audit, IRS issues short term Interim SMC valid for 3 months and recommends to ISM Cell, DGS for issuance of Interim SMC valid for 6 months.

ii)On receipt and scrutiny of audit reports received from IRS, an Interim SMC valid for 6 months is issued to the vessel so as the case when DGS carries out Interim SMC audits.

iii) In special cases ISM Cell extends the validity of an Interim SMC for a further period but not exceeding 6 months.


                                Initial DOC


Criteria

aa) implementation of SMS for at least 3 months on the vessel and in company

bb)objective evidence to show that the implementation ISM code for three months include an internal audit onboard and on the office.

Procedure

Application on letterhead of company with following enclosures is to be submitted to ISM cell, DGS:

(1) ISM' 03 (application form format for different audits) with fees

On receipt of application, ISM Cell, DGS nominates Auditors, after auditing they will send the report to ISM cell.

(2) The DGS issues DOC for a maximum period of 5 years on receipt and scrutiny of initial DOC Audit report from the audit team. This DOC is valid subject to annual verification of SMS (Annual DOC audit).


                                  Initial SMC

Criteria

i)Company in possession of DOC (not Interim DOC)

ii)having implemented SMS on board the ship for at least 3 months is eligible to apply for Initial SMC audit of that ship.

Procedure

At present SMC audits are carried by IRS, the R.O of the Directorate

On satisfactory completion of Initial SMC audit, IRS issues SMC valid for 5 months with recommendation to ISM Cell, DGS for issuance of SMC valid for a period not exceeding five years.

















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