Russian Maritime Register of Shipping: Approved Chief Executive Officer S.N. Sedov 29.09.2015

RUSSIAN MARITIME REGISTER OF SHIPPING
APPROVED
Chief Executive Officer

S.N. Sedov
29.09.2015
Guidelines
on Certification of the Safety Management Systems in Compliance with the
Requirements of the International Safety Management (ISM) Code and of the
Ships in Compliance with the Requirements of the International Code for the
Security of Ships and Port Facilities (ISPS Code)
ND No. 2-080101-012-E
Implemented since: 07.10.2015

DMS “Thesis” № - 259404
Developed by: 331
St.-Petersburg
2015
Guidelines on Certification of the Safety Management Systems in Compliance with the Requirements of the
International Safety Management (ISM) Code and of the Ships in Compliance with the Requirements of the
International Code for the Security of Ships and Port Facilities (ISPS Code)
Issue: 2015
Summary
As compared to the preceding version, the present edition contains the following key amendments:
1) Para 4.3.5.10 pertaining to fulfilment of the SMS audit plan was added. Corresponding clarifications were
added to paras 4.3.5.6, 4.3.5.8, 4.3.5.9;
2) Clarifications with regard to identification of the ISM / ISPS report number were added to paras 4.3.7.7
and 6.10.9;
3) Clarifications on the use of Russian and English languages with regard to the preparation of the reporting
documents were added to paras 4.3.1.1.6, 4.3.7.10-11, 4.3.8.14, 6.7.13, 6.10.12.
1 Scope of application
1.1 This Guidelines on Certification of the Safety Management Systems in Compliance with the Requirements
of the International Safety Management (ISM) Code and of the Ships in Compliance with the Requirements of the
International Code for the Security of Ships and Port Facilities (ISPS Code) (hereinafter referred to as ''the Guidelines'')
determines the minimum requirements to be met by the RS specialists when certifying the safety management system
(SMS) of a Company / Ship (ISM audit), as well as the ship security system (ISPS audit).
The Flag Administration has the right to establish additional requirements in relation to the above stated
processes, the implementation of which shall be also confirmed during performance of the relevant activities. For SMS
audit checklists with requirements of Maritime Administrations authorizing the RS to perform the ISM Code and/or
ISPS Code audit activities, if applicable, see the List of electronic forms of the RS documents.
1.2 This Guidelines is to be used by the following specialists:
1) ISM auditors and Marine Management Systems (MMS) auditors when conducting the Company and/or
ship verification for compliance with the ISM Code requirements;
2) MMS auditors when carrying out the ship verification for compliance with the ISPS Code requirements;
3) Persons responsible for keeping, storage and regular revision of the files in the RS Branch Offices
engaged in the Company / ship SMS audit and/or ship security;
4) Persons responsible for drawing up and issuing of documents in the course and/or based on the results
of the Company / ship SMS audit and/or the ship security.
1.3 The Guidelines apply to the Companies operating the ships specified in SOLAS-74, Chapter IX,
Regulation 2.1, irrespective of their date of construction, and may apply to the audit of the Company / ship complying
with the ISM Code requirements, and/or the ship complying with the ISPS Code on the voluntary basis.
1.4 The Guidelines is a normative document for the RS Heads 002, 032, RHO departments with ISM auditors
and MMS auditors employed as well as RS Branch Offices 100 and 200.
2 Normative references
2.1 When developing this Guidelines, the requirements of the following normative documents have been
taken into account:
1) ND No. 1-0101-011 – SOLAS-74, Chapter IX ''Management for the Safe Operation of Ships'';
2) ND No. 1-0201-006-Е – IACS Procedures, Volume 3;
3) ND No. 1-0132-176-E – Resolution MSC.349(92) ''Code for Recognized Organizations (RO Code)'' 1;
4) IMO Resolution А. 1052(27) ''Procedures for State Port Control'';
5) IMO Resolution A.1054(27) ''Code for the Implementation of Mandatory IMO Instruments, 2011'';
1 The Resolution MSC.349(92) ''Code for Recognized Organizations (RO Code)'' enters into force on 01 January 2015
and supersedes the IMO Resolution А.739(18) ''Guidelines for the Authorization of Organizations Acting on Behalf of
the Administration'' and Resolution А.789(19) ''Specifications on the Survey and Certification Functions of Recognized
Organizations Acting on Behalf of the Administration''.
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6) IMO Resolution А.1071(28) ''Revised Guidelines on the Implementation of the International Safety
Management (ISM) Code by Administrations'';
7) ND No. 1-0132-054-E – MSC/Circ.1135 ''As-Built Construction Drawings to be Maintained on Board the
Ship and Ashore'';
8) ND No. 1-0132-055-E – Resolution MSC 147(77) ''Adoption of the Revised Performance Standards for a
Ship Security Alert System'';
9) ND No. 1-0132-056-E – MSC/Circ.1074 ''Measures to Enhance Maritime Security / Interim Guidelines for
the Authorization of Recognized Security Organizations Acting on Behalf of the Administration and/or
Designated Authority of a Contracting Government'';
10) ND No. 1-0132-057-E – IMO Circular No. 2554/Rev.1 ''Implementation of IMO Unique Company and
Registered Owner Identification Number Scheme'';
11) ND No. 1-0132-085-E – Resolution MSC.277(85) ''Clarification of the Term “Bulk Carrier” and Guidance
for Application of Regulations in SOLAS to Ships Which Occasionally Carry Dry Cargoes in Bulk and Are
Not Determined as Bulk Carriers in Accordance with Regulation XII/1.1 and Chapter II-1'';
12) ND No. 1-0101-011-R-E(11)1 – SOLAS-74, Chapter XI-1 ''Special Measures to Enhance Maritime
Safety'' and Chapter XI-2 ''Special Measures to Enhance Maritime Security'';
13) ND No. 1-0141-016-E – IMO Resolution А.741(18) as amended by IMO MSC.104(73) and MSC.273(85)
''Adoption of Amendments to the International Management Code for the Safe Operation of Ships and for
Pollution Prevention (International Safety Management Code (ISM Code))'';
14) ND No. 1-0141-040-R-Е (Parts 1, 2, 3) – International Ship and Port Facility Security Code (ISPS Code);
15) ND No. 1-0223-092-E – IACS Recommendation No. 92 ''IACS Guidelines for ISM Code and ISPS Code
Aligned Audits and SMC and ISSC Expiration Dates Alignment'';
16) ND No. 1-0223-124-E – IACS Recommendation No.124 ''Guidance on the role of the Recognized
Security Organisation in relation to the employment of armed guards and the installation of citadels on
board ships threatened by piracy in the Indian Ocean'';
17) ND No. 1-0227-009-E – IACS Procedural Requirement No. 9 ''Procedural Requirements for ISM Code
Certification'';
18) ND No. 1-0227-017-E – IACS Procedural Requirement No. 17 ''Reporting by Surveyors of Deficiencies
Relating to Possible Safety Management System Failures'';
19) ND No. 1-0227-018-E – IACS Procedural Requirement No. 18 ''Transfer of Safety and Security
Management Systems Certification'';
20) ND No. 1-0227-024-E – IACS Procedural Requirement No. 24 ''Procedural Requirements for ISPS Code
Certification'';
21) ND No. 1-0132-132-E – ''Guidance for the Application of Safety, Security and Environmental Protection
Provisions to Floating Production, Storage and Offloading Units and Floating Storage Units'';
22) ND No. 1-0601-013-E – ISO 19011 ''Guidelines for Quality and/or Environmental Management Systems
Auditing'';
23) ND No. 2-020201-009-E – Rules for the Classification, Construction and Equipment of Floating Offshore
Oil-and-Gas Production Units;
24) ND No. 2-030101-009-E – Guidelines for Technical Supervision of Ships in Service;
25) ND No. 2-040101-002-E – General Conditions for Rendering Services by the Russian Maritime Register
of Shipping;
26) ND No. 2-060101-001-E – Quality Manual;
27) ND No. 2-060203-028-E – Procedure for Control of Report Documents;
28) ND No. 2-060203-018-E – Procedure for Development of the RS Internal Normative Documents;
29) ND No. 2-060203-019 – Procedure for Document Control in RS;
30) ND No. 2-060203-022-E – Procedure for Control of Non-Conformities, Corrective and Preventive Actions;
31) ND No. 2-060203-023-E – Procedure for Complaints and Appeals Control;
32) ND No. 2-060203-027-E – Procedure for Reviewing Requests for RS Services;
33) ND No. 2-120104-008-E – Procedure for Responding to PSC;
34) ND No. 2-080501-008-E – Procedure for Selection, Training, Certification and Authorization of Marine
Management System Auditors;
35) Regulation (EC) No, 336/2006 of European Parliament and Council dated 15 February 2006 on the
implementation of the International Safety Management Code within the Community and repealing
Council Regulation (EC) No. 3051/95.
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3 Terms. Definitions. Abbreviations

The terms, definitions and abbreviations used in the present Guidelines are given in
ND No. 2-060101-001-E – Quality Manual, and in normative documents on which this document is based. For other
terms, definitions and abbreviations used in this Guidelines, see below and those definitions in IACS Procedural
Requirements.
3.1 Terms and definitions
1) Administration means the Government of the State whose flag the ship is entitled to fly.
2) Interim verification means verification of a Company carried out for the purpose of issuing the Interim
DOC or verification of a ship for issuing the Interim SMC (see ISM Code, paras 14.1 and 14.2).
3) Interim Document of Compliance (DOC) means a document issued by the RHO to a Company, which
complies with para 14.1 of the ISM Code.
4) Interim Safety Management Certificate (SMC) means a document issued by the RS to a ship, which
complies with para 14.2 of the ISM Code.
5) Document of Compliance means a document issued to a Company, which complies with requirements
of the International Safety Management Code.
6) Document of Compliance (voluntary) means a document issued by the RHO to a Company, which
complies with the requirements of the ISM Code, but is not covered by requirements of SOLAS
Chapter IX.
7) Short-Term International Ship Security Certificate means a document issued by the Lead Maritime
Security Auditor who has carried out an audit of the ship. It is valid within maximum 5 months. This
document certifies that the ship is operated in compliance with the provisions of the approved ship security
plan.
8) Short-Term Safety Management Certificate means a document issued by the Lead ISM Auditor who
has carried out an audit of the ship. It is valid within maximum 5 months. This document certifies that the
Company and shipboard officers operate the ship in accordance with the approved Safety Management
System (SMS).
9) Short-Term Interim Document of Compliance means a document issued by the Lead ISM Auditor who
has carried out an audit of the Company complying with para 14.1 of the ISM Code.
10) Short-Term Document of Compliance means a document issued by the Lead ISM Auditor who has
carried out an audit of the Company complying with requirements of the ISM Code and is valid within
maximum 5 months.
11) Company means the owner of the ship or any other organization or person such as the manager or the
bareboat-chatterer who has undertaken the responsibility for operation of the ship from the ship owner
and who on assuming such responsibility has agreed to bear all the duties and responsibility imposed by
the International Safety Management Code.
12) International Safety Management Code (ISM Code) means the International Management Code for
the Safe Operation of Ships and for Pollution Prevention adopted by the International Maritime
Organization (IMO) under Resolution А.741(18) as may be amended by the Organization.
13) Oil tanker means a cargo ship built or adopted primarily for the carriage of oil in bulk in cargo spaces
and includes combination cargo carriers… and any gas / chemical tanker… if it carries oil in bulk as cargo
or part thereof.
14) Passenger ship means a ship, which carries more than twelve passengers.
15) Effectiveness means the extent to which planned activities are realized and planned results achieved;
16) Safety Management Certificate means a document issued to a ship, which signifies that the Company
in its shipboard management operates in accordance with the approved safety management system.
17) Safety Management Certificate (voluntary) means a document issued by the RHO to the ship which
complies with the ISM Code requirements but not covered by the requirements of Chapter IX,
SOLAS-74.
18) Safety Management System means a structural and documented system enabling the Company's
personnel to implement effectively the Company's safety and environmental protection policy.
19) Efficiency means relationship between the result achieved and the resources used.
Any terms used in this Document which are not defined above have the meanings given in SOLAS-74.
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The terms ''ISM Auditor'' and ''Maritime Security Auditor'' are replaced with the term ''RS Auditor'' for easy
interpretation.
The paragraphs in this Guidelines are enumerated in the same manner as those in original IACS
Procedural Requirements except for the first figure. The enumeration in the Appendices to Procedural Requirements
is the same except for the first two figures.
3.2 Abbreviations
1) NCN / FN – Non-Conformity Note (ISM Code) / Failure Note (ISPS).
2) RHO – Head Office of the Russian Maritime Register of Shipping.
3) DAO – Duly Authorized Officer.
4) DOC – Document of Compliance.
5) CSR – Continuous Synopsis Record.
6) IMO – International Maritime Organization.
7) ACS – Another Classification Society, in addition to RS.
8) MSC – Maritime Safety Committee.
9) IACS – International Association of Classification Societies.
10) ISM – International Safety Management Code.
11) DP – Designated Person.
12) RSR – RS responsibility for detention of a ship.
13) RO – Recognized Organization.
14) PAL – Plan Approval Letter of the Ship Security Plan.
15) QSCS – Quality Management System Certification Scheme.
16) PR – IACS Procedural Requirement.
17) RS – Russian Maritime Register of Shipping.
18) ISSC – International Ship Security Certificate.
19) SMC – Safety Management Certificate.
20) SOLAS – International Convention for the Safety of Life at Sea (SOLAS), as amended.
21) SMS – Safety Management System.
22) SSAS-SC – Self-Contained Ship Security Alert System.
23) DMS "THESIS” – Electronic Document Management System.
24) MMS Division – Marine Management Systems Division.
25) PCASP – Privately Contracted Armed Security Personnel.
26) EAC – Expertise and Analysis Center of RHO.
27) FSI – Flag State Inspection.
28) PSCO – Port State Control Officer.
29) PSC – Port State Control.
30) ISM/ISPS Software System – Software System (Database) for ISM/ISPS Code of MMS Division.
4 Procedural Requirements for ISM Code Certification

Unless otherwise provided in the text, the provisions of IACS Procedural Requirement No. 9 ''Procedural
Requirements for ISM Code Certification'' are printed in italics in the present Section of this Guidelines. The terms
used in the IACS Procedural Requirement No. 9 such as "This document", "Classification Societies", are replaced with
the terms "PR No. 9", "RS" and "Audit", respectively, for clarity.
INTRODUCTION
The IACS Procedural Requirements for ISM Code Certification reflects, if applicable, IMO Resolution
A.1071(28) ''Revised Guidelines on the Implementation of the International Safety Management (ISM) Code by
Administrations'' and IMO Resolution А.741(18) ''International Safety Management Code (ISM)'' as amended.
The PR No. 9 and its Annexes provide the RS with procedures and criteria for the conduct of audits to
verify the compliance with the requirements of the ISM Code and for the issuance of the corresponding Documents of
Compliance (DOCs) and Safety Management Certificates (SMCs), including short term and interim DOCs and SMCs.
The present Section also contains the procedures governing the actions to be taken by the RS when deficiencies
associated with the ISM Code are identified by Port State Control Officers (PSCOs).
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Where the RS performs verification audits on behalf of a Flag Administration, any certificates issued must
comply with the format required by the Administration.
Where the RS is recognized by Administrations as acting on behalf of these Administrations, Resolution
MSC.349(92) ''Code for Recognized Organizations (RO Code)'' and Resolution А.1070(28) ''Code for Implementation
of IMO Documents'' shall apply.
The Classification Societies have agreed that statutory authorization as a Recognized Organization (RO)
for ISM Code certification services will be held by the Classification Society itself and not by one of its subsidiaries.
Where besides the RS another Classification Societies (ACS) are involved in the ISM Code certification
of a single Company, arrangements should be made for appropriate communications between them to ensure the
exchange of the relevant information.
The authorities of the RS as the recognized organization rendering the ISM/ISPS Code services shall be
performed only by the RS staff personnel.
In addition, the Company may forward a request to the RS for performing an audit of a non-statutory ship
(i.e. the ship not covered by SOLAS-74, Chapter IX, Regulation 2). Both the DOC and/or the SMC shall be issued
when the SMC of a Company / ship is in compliance with all the applicable ISM Code requirements. The matter of
application of the specific Code requirements will be settled in each particular case.
4.1 GENERAL
4.1.1 Definitions
1) Audit means a process of systematic and independent verification, through the collection of objective
evidence, to determine whether the SMS complies with the requirements of the ISM Code and whether
the SMS is implemented effectively to achieve the Code’s objectives.
2) Auditor means a person who is qualified and authorized to carry out ISM audits in accordance with the
requirements of PR No.10.
3) Lead auditor means an auditor who is authorized to lead a team of two or more auditors.
4) Branch Office means an office that is part of the Company, is under the Company’s control and is subject
to the same Safety Management System (SMS).
5) Observation means a statement of fact made during a safety management audit and substantiated by
objective evidence. It may also be a statement made by the auditor referring to a weakness or potential
deficiency in the SMS, which, if not corrected, may lead to a nonconformity in the future.
6) Safety Management Manual is the documentation used to describe and implement the Safety
Management System (SMS).
7) Technical deficiency means a defect in, or failure in the operation of, a part of the ship’s structure or its
machinery, equipment or fittings.
8) Non-conformity means an observed situation where objective evidence indicates the non-fulfillment of a
specified requirement.
9) Major non-conformity means an identifiable deviation that poses a serious threat to the safety of
personnel or the ship or a serious risk to the environment that requires immediate corrective action or the
lack of effective and systematic implementation of a requirement of the ISM Code.
4.1.2 Scope and application
4.1.2.1 The PR No.9 establishes basic procedures for:
1) the conduct of interim, initial, periodic and additional shore-based and shipboard audits against the ISM
Code;
2) the issue of ISM certificates to companies and ships and their subsequent endorsement.
4.1.2.2 The PR No. 9 is intended for use by Classification Societies when they are acting as Recognized
Organizations on behalf of Administrations under the provisions of SOLAS-74 Chapter IX, and when conducting audits
for the issue of voluntary ISM Code Certificates.
4.1.2.3 The PR No.9 also establishes basic procedures for Classification Societies to follow when potential
failures of the shipboard SMS are identified by Port State Control Officers.
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4.2 VERIFYING COMPLIANCE WITH THE ISM CODE

4.2.1 Responsibilities of the RS as a Recognized Organization
4.2.1.1 Criteria for verification of compliance with the requirements of the ISM Code shall be in accordance with
the applicable sections of IMO Resolution A.1071(28) "'Revised Guidelines on the Implementation of the International
Safety Management (ISM) Code by Administrations'' and IMO Resolution A.741 (18) ''International Management Code
for the Safe Operation of Ships and for Pollution Prevention (International Safety Management) Code'' as amended.
4.2.1.2 The RS performing verification of compliance with the ISM Code shall have, within its organization,
competence in relation to:
1) the rules and regulations with which Companies must comply;
2) the approval, survey and certification activities relevant to maritime certificates;
3) the terms of reference of the SMS required by the ISM Code;
4) practical experience of ship operations;
5) the assessment of management systems.
4.2.1.3 The RS performing verification of compliance with the provisions of the ISM Code shall ensure that
personnel providing ISM-related consultancy services and personnel providing the certification are entirely
independent.
4.2.1.4 Management of ISM Code certification services shall:
1) be carried out by those who have practical knowledge of ISM Code certification procedures and
practices;
2) ensure that the auditor(s) comply with the requirements relating to education, training, work experience
and audit experience specified;
3) ensure that the qualification and experience of auditors are adequate and appropriate for the size and
complexity of the Company or ship to be audited.
4.2.1.5 The RS performing ISM Code certification shall have implemented a documented system for the
qualification and continuous updating of the knowledge and competence of personnel who perform verification of
compliance with the ISM Code.
This system shall provide for:
1) theoretical training covering all the competence requirements specified in PR 10 and the application of
the procedures governing the certification process;
2) supervised practical training as specified in PR 10;
3) the creation and maintenance of records of the theoretical and practical training undertaken by each
trainee.
4.2.1.6 The RS performing ISM Code certification shall have implemented a documented system ensuring that
the certification process is performed in accordance with this procedure. This system shall include procedures and
instructions for the following:
1) the establishment of contracts for the provision of ISM certification services;
2) the planning, preparation and conduct of ISM audits;
3) the reporting of ISM audits;
4) the issue of interim and full-term DOCs and SMCs;
5) the evaluation and follow-up of corrective actions, including action to be taken in response to major non
conformities (see Article 5 of Appendix to IMO Resolution A.1071(28) and Circular MSC.Circ.1059 /
MEPC.Circ.401)
4.2.2 The ability of the SMS to meet safety management objectives
4.2.2.1 The purpose of an audit is to verify that:
1) the SMS complies with the requirements of the ISM Code;
2) the SMS is being implemented effectively and in such a way as to ensure that the objectives of the ISM
Code are met.
4.2.2.2 All records having the potential to facilitate verification of compliance with the ISM Code shall be open to
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scrutiny during an audit. For this purpose, the Company shall provide auditors with statutory and classification records
relevant to actions taken by the Company to ensure that compliance with mandatory rules and regulations is
maintained. In this regard, records may be examined to substantiate their authenticity and veracity. If the DOC or SMC
are not issued by the same organization that issues the statutory and classification certificates, the Company shall
ensure that the auditor has access to those statutory and classification records.
4.2.2.3 The audit is based upon a sampling process. Where no non-conformities have been reported, it should
not be assumed that none exists.
4.2.2.4 Provisions of PR No.10 are reflexed in ND No. 2-080501-008-E - ''Procedure for Selection, Training,
Certification and Authorization of Marine Management Systems Auditors''.
4.2.3 Application for audit
4.2.3.1 The RS renders ISM Code services on the basis of shipping company's requests to the RS Head Office
(RHO).
4.2.3.2 In its activity the RS uses the following forms of applications for ISM audit:
- Form 8.1.5-1 – Request for SMS Audit (for shore-based Branch Offices);
- Form 8.1.5-2 – Request for SMS Audit (for ship).
The request submitted shall be drawn up as per the effective forms and accompanied with copies of
documents as specified in these forms, if the Company applies to the RS for ISM Code services for the first time or
undertakes to operate a new ship or if SMS audit is to be performed due to changing the ship's flag.
4.2.3.3 When the Company applies to the RS for issue of the voluntary DOC, request / requests for SMS audit
of corresponding ship / ships form 8.1.5-2 shall be submitted along with the request drawn up as per form 8.1.5-1.
4.2.3.4 If the Company submits its request to the RS Branch Office, this request shall be timely forwarded to the
RHO MMS Division using communication aids available (fax, e-mail, DMS ''THESIS''). Once received by the RHO
MMS Division, this request is subject to review in compliance with the provisions of ND No. 2-060203-027-E
''Procedure for Reviewing Requests for RS Services''.
4.2.3.5 For the procedure for reviewing requests for rendering ISM and ISPS Code services, reviewing reports
under ISM and ISPS Codes as well as plans of corrective actions under ISM and ISPS Codes, see
ND No. 2-080204-001-E – ''Procedure for Reviewing Requests, Reports and Plans on Corrective Actions under ISM
and ISPS Codes''.
4.2.3.6 The request identification number has the following format: No.15.0010.025, where:
- 15 – last two figures of the year (2015) when the request was registered;
- 0010 – serial number of the request according to the record book (each request is assigned with a unique
identification number);
- 025 – code indicating that the request relates to ISM audit activities;
- If the RHO decides that the RS Branch Office employees shall be engaged in activities, the Authorization
is prepared as per form 8.1.23. The Authorization has the same registration number as the request, for
which execution it is prepared.
4.2.3.7 The Authorization is forwarded to that RS Branch Office, in which activity region an audit performance is
planned by means of DMS ''THESIS''.
The Head of the Branch Office, who received the RHO Authorization, defines the possibility of its
fulfillment by employees of his Branch Office and appoints the Lead Auditor from his duly qualified employees,
recording his decision in the appropriate field in the lower part of the form 8.1.23 – Authorization (to be prepared using
the ISM/ISPS Software System).
When possible, it is recommended that the specialists appointed by the Lead Auditor to perform the
annual SMS audits of the same Company's shore-based divisions shall be interchanged.
4.2.3.8 The employee appointed by the Lead Auditor shall communicate with the Company applied to the RS or
with its representative and arrange the performance of necessary activities. The initial and subsequent, if any, audit
contacts may include the following objectives:
- Establishing communication lines with representatives of the Company / ship;
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- Confirming the authorization for audit;

- Providing information on expected audit dates and, if applicable, on the members of the audit team;
- Requesting for access to the necessary documents, including the records;
- Determining applicable safety precautions and safety measures at the facility subject to upcoming audit;
- Preparing the actions related to upcoming audit;
- If applicable, agreeing the presence of observers and necessary escorts to be involved in the audit team.
The data obtained in the course of the initial and possible subsequent audit contacts may be used when
preparing the SMS Audit Plan (see para 4.3.5).
4.2.3.9 If some circumstances occur, which prevent fulfillment of the Authorization as soon as possible, the
Branch Office shall promptly inform the RHO MMS Division by means of DMS ''THESIS'' indicating the grounds for
non-fulfillment of the Authorization to decide whether this request is fulfilled or canceled.
4.3 CERTIFICATION PROCESS
4.3.1 Certification activities
4.3.1.1 Document of Compliance (DOC)
4.3.1.1.1 A DOC shall be issued to a Company following an initial or renewal verification of compliance with the
requirements of the ISM Code.
4.3.1.1.2 The Company shall make available copies of the DOC to each office location and each ship covered by
the SMS.
4.3.1.1.3 On completion of the audit, to facilitate the review of the auditor’s report prior to the issue of the full-term
certificate, a DOC with validity not exceeding five (5) months may be issued by the auditor.
Such DOC is referred to as the "short-term" document. In its activity the RS uses the following forms of
short-term documents:
- Form 8.1.1-3 – Short-term Document of Compliance;
- Form 8.1.2-1 – Short-Term Interim Document of Compliance.
For the forms of report documents listed in this Guidelines, see the List of electronic forms of RS
documents (except those created using the ISM/ISPS Software System).
For preparing a DOC under voluntary SMS certification for 5 months, the Authorization shall be
supplemented with the first pages of Form 8.1.1-2 – DOC under voluntary SMS certification or Form 8.1.2-2 – Interim
DOC under voluntary SMS certification as appropriate (these forms to be created using the ISM/ISPS Software
System).
4.3.1.1.4 Any of above mentioned forms may be issued by the authorized auditor of the RHO Department / RS
Branch Office provided that results of the Company / ship SMS audit are satisfactory (for example, if an additional flag
is added and a short-term DOC is issued on board the new ship where this is not in contrast with requirements of the
Flag Administration).
4.3.1.1.5 Based upon review of the report on audit results of the Company's shore-based divisions SMS (see the
SMS Audit Checklist for shore-based locations of a Company, form 8.1.6-1 the RHO MMS Division may issue the
following forms of the DOC (to be created using the ISM/ISPS Software System), including, if applicable, Appendices
thereto:
- Form 8.1.2 – Interim DOC;
- Form 8.1.1 – DOC;
- Form 8.1.1-1 – Appendix to DOC (see also para 4.4.1.4);
- Form 8.1.1-2 – DOC (for a Company operating ships not covered by SOLAS-74);
- Form 8.1.2-2 – Interim DOC (for a Company operating ships not covered by SOLAS-74).
4.3.1.1.6 For companies having ships under the flag of the Russian Federation, the DOC is drawn up both in
Russian and English. For other flags - in English only.
4.3.1.1.7 Where the Flag Administration has defined the DOC form to be different from the above, and has
authorized the RS to issue it on its behalf, the RHO will issue to the Company the Document of Compliance on a blank
form of the appropriate Administration assigning the used form as 8.1.1-А.
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Issue: 2015
4.3.1.1.8 The fields of the above stated forms shall be filled in legibly with regard to the following:
1) Name of the State is specified based on the Document by which the Administration of this State has
authorized the RS for the SMS audit of a Company / ship (forms 8.1.1-А, 8.1.1-2 and 8.1.2-2 are not
required to be filled in);
2) 'Company name and address' and IMO unique company identification number are specified in
accordance with the Company's written reply(ies) to the RS relevant request(s). When preparing these
data, it shall be taken into account that the Company name and address are also given in Continuous
Synopsis Record (CSR), which is issued by the Flag Administration, and may be used in the agreement
between the Company and the shipowner, unless the Company is the ship proprietor;
3) Name and Address of the Company's Branch Office(s) is (are) also specified in the Appendix to the
Document of Compliance (form 8.1.1-1) based on the objective evidence on registered Company's
Branch Offices;
4) Ship type is defined in accordance with the official ship’s documents and in compliance with the
provisions given in para 4.10 ''Ship Types on ISM Certification'' of the present Guidelines. While drawing
up the DOC those ship types not covered by the certification shall be deleted;
5) Issued at – here the actual location of drawing up of the documents is indicated;
6) Document number is the DOC registration number, which shall be in format ''No.15.001.025'' where the
first two figures (15) mean the last two figures of the year when the document is registered (here – 2015),
next three figures (001) mean the document serial number according to the appropriate registration book,
and the last three figures (025) mean the code of the RHO Department/ RS Branch Office, where the
document is registered. If the document is issued by the RHO MMS Division, code "025" is used for the
third part of the number. Different numbers shall be assigned to different DOCs;
7) Dates in the DOC are indicated in the following format: DD.MM.YYYY where the last four figures (YYYY)
mean the year, the previous two figures (MM) mean the month, the first two figures (DD) mean a day.
Use of other formats to indicate the dates may be permitted only when the year is indicated with four
figures, and the name of the month is indicated in writing;
In this case:
- In the field Date of issue the date of drawing up of the document by the RHO or RS's designated auditor
is indicated;
- In the field Completion date of audit on which this certificate is based the date of initial or renewal
audit is indicated. This is applicable also for reissuing the SMC due to changes in details of the Company
or issuing the DOC on a new flag and adding a new ship type (see Annex 5, Scenarios 3 and 4);
- In the field This Document of Compliance is valid until the term of the DOC is indicated which is duly
defined in compliance with para 13.2 as well as para 13.10, ISM Code. If the Company already possesses
the DOC issued by the RS on behalf of other Flag Administration, the term of the re-issued DOC is defined
in accordance with that of the existing one.
8) Signature of authorized official issuing the document – the DOC shall be signed by the authorized
personnel of the RHO;
9) Seal or stamp of the issuing authority, as appropriate – signature of the authorized personnel shall
be endorsed with an appropriate RHO seal;
10) Endorsement of annual audits (to be filled in on the reverse side of the DOC based on satisfactory
results of an audit and in justified cases, for example, when the document is reissued due to a change of
the Company's name and/or address) shall be performed as follows:
- In the field Place the city name is entered where annual audit was carried out;
- In the field Date a date of actual completion (closing meeting) of the annual audit is indicated;
- In the field Signed the abbreviated name of the classification society (RS 2) which performed the
endorsement, is indicated, and signed by the RS auditor who has issued the DOC;
- In the field Seal or stamp, the seal of the RS auditor who has issued DOC is put.
4.3.1.1.9 The procedure for filling in the fields of the short-term DOC and the first page of form 8.1.1-2 and
2 The entry in Russian is necessary only for the DOC issued under authorization of the Russian Federation.
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Issue: 2015
8.1.2-2 is similar to that described in para 4.3.1.1.8. The fields set forth below are exceptional:
- This Document of Compliance is valid until Here the validity term is indicated, which, in turn, is defined
in compliance with para 4.3.1.1.3 of the present Guidelines;
- Signature of authorized official issuing the document – the short-term DOC being drawn up may be
signed by the authorized personnel of the RHO Department / RS Branch Office;
- Seal or stamp of the issuing authority, as appropriate – the signature of the authorized personnel of
the RHO Department / RS Branch Office is endorsed with the appropriate seal of the RS Branch Office /
RHO Department, the signature of the Lead Auditor is endorsed with the seal of the RS auditor.
The fields in the form of short-term DOC and the first page of forms 8.1.1-2 and 8.1.2-2 may be completed
in hand writing provided that it is made in a legible manner.
4.3.1.1.10 The original short-term DOC is handed over to the Company's representative and a copy of the short-
term DOC as part of the audit report is forwarded to the RHO.
4.3.1.1.11 The original of the issued DOC is forwarded to the Company, and its copy to the appropriate file of the
Company.
4.3.1.1.12 When reissuing the DOC, for example, due to changes in details of the Company, new additional ship
type or renewal of the DOC in particular when canceling the DOC due to failure to submit the Company's SMS for
certification within specified terms (see para 4.3.12.2), data on annual audits conducted by the RS is transferred from
the void DOC to the appropriate fields Endorsement of annual audits of the new DOC as per para
4.3.1.1.8 10).
When issuing a new DOC with expiry term similar to that of the existing one with notes on annual audits,
for example, if an additional flag is added or annual audits are conducted by a classification society other than the RS,
in particular when transferring the SMS certification as per IACS PR No. 18, the RS being the gaining society, the
appropriate field/fields Endorsement of annual audits is/are deleted.
For example, in case of several annual audits, all information endorsed with actual date, signature and
seal of the RS auditor issued the DOC shall be deleted.
4.3.1.1.13 The terms of validity / endorsement of the DOC are to be checked by the MMS Division.
4.3.1.2 Safety Management Certificate (SMC)
4.3.1.2.1 A SMC shall be issued to a ship following an initial or renewal verification of compliance with the
requirements of the ISM Code.
4.3.1.2.2 A copy of the SMC shall be available at the Company’s head office.
4.3.1.2.3 The issue of a SMC is conditional upon:
1) the existence of a full term DOC (not interim), valid for that type of ship;
2) the maintenance of compliance with the requirements of a Classification Society which meets the
requirements of IMO Resolution MSC.349(92)''Code for Recognized Organizations (RO Code)'' or with
the national regulatory requirements of an Administration which provide an equivalent level of safety; and;
3) the maintenance of valid statutory certificates.
4.3.1.2.4 On completion of the audit, to facilitate the review of the auditor’s report prior to the issue of the full-term
certificate, an SMC with validity not exceeding five (5) months may be issued by the auditor.
Such SMC is referred to as the "short-term" document. The short-term SMC is to be issued under form
8.1.3-1 – Safety Management Certificate. For preparing an SMC under voluntary ship certification for 5 months, the
Authorization shall be supplemented with the first page of Form 8.1.3-2 – Safety Management Certificate for ships not
covered by the requirements of the SOLAS-74 (this form to be created using the ISM/ISPS Software System). Any of
the above mentioned forms may be issued by the authorized auditor of the RHO Department or RS Branch Office who
has carried out the relevant Company's or ship SMS certification, provided that its results are satisfactory.
4.3.1.2.5 Upon review of the Shipboard SMS survey Report (see SMS Audit Checklist for Ship, form 8.1.6-2), the
RHO MMS Division may issue one of the following forms of the SMC (these forms to be created using the ISM/ISPS
Software System):
- Form 8.1.3 – Safety Management Certificate;
ND No. 2-080101-012-E Page 11 of 56

Issue: 2015
- Form 8.1.3-2 – Safety Management Certificate (for ships not covered by the requirements of the SOLAS-
74).
4.3.1.2.6 As to the ships flying the flag of the Russian Federation, the SMC is drawn up both in Russian and
English. For ships flying other flags, the SMC is drawn up only in English.
4.3.1.2.7 Where the Flag Administration has defined the SMC form to be different from the above, and has
authorized the RS to issue it on its behalf, the RHO will issue to the Company the SMC on a blank form of the
appropriate Administration assigning the used form as 8.1.3-А.
4.3.1.2.8 The fields in the stated forms shall be filled in legibly with regard to the following:
1) Name of the State is specified based on the Document by which the Administration of this State has
authorized the RS for the SMS audit of a Company / ship (forms 8.1.3-А, and 8.1.3-2 are not required to
be filled in);
2) Name of ship and Port of registry are indicated as stated in the Certificate for being entitled to fly the
Russian flag, for the ships under other flags, as stated in the official ship documents;
3) Distinctive number or call sign – call sign entered in the ship radio station license is indicated, and if
there is no call sign, as appropriate, classification society registration number as entered in the ship
classification certificate is indicated;
4) Type of ship is indicated as referred to in the footnote of the SMC blank form. Where due to design
features the ship may be attributable to several types, and within the SMS it has relevant procedures,
which have been confirmed in its audit process; these types are indicated with the stroke (“/”), see also
para 4.10 “Ship types for ISM Code Certification” of the present Guidelines. For example, the following
may be specified in this field: “oil tanker / chemical tanker”.
At the Company’s request the ship type may be also indicated in brackets in accordance with its
Classification Certificate. For example, in this field the entry “passenger (ice breaker)” may be made;
5) Gross tonnage is indicated in accordance with the International Measurement Certificate;
6) IMO number – ship’s seven-figure registration number assigned by IMO which is indicated in accordance
with the official ship’s documents, and particularly, the ship Classification Certificate;
7) Name and address of Company and IMO unique company identification number are indicated just
similarly as it is entered in the corresponding DOC;
8) Issued at – here the actual location of drawing up of the documents is indicated;
9) Document number is the SMC registration number, which shall be in format ''No.15.0001.025'' where
the first two figures (15) mean the last two figures of the year when the document is registered (here –
2015), next four figures (0001) mean the document serial number according to the appropriate registration
book, and the last three figures (025) mean the code of the RHO Department / RS Branch Office, where
the document is registered. If the document is issued by the RHO MMS Division, code "025" is used for
the third part of the number. Different numbers shall be assigned to different SMCs;
10) Dates in the document are indicated in the following format: DD.MM.YYYY where the last four figures
(YYYY) mean the year, the previous two figures (MM) mean a month, the first two figures (DD) mean a
day. Use of other formats to indicate the dates may be permitted only when the year is indicated with four
figures and the name of the month is indicated in writing;
In this case:
- In the field Date of issue the date of actual drawing up of the document by the RHO Department / RS
Branch Office designated specialist is indicated;
- In the field Completion date of audit on which this certificate is based the date of initial or renewal
audit is indicated. This is applicable also for reissuing the SMC due to changes in details of the Company
or ship flag;
- In the field This Safety Management Certificate is valid until the validity of the SMC is indicated that
is duly defined in compliance with para 13.7 as well as para 13.10, ISM Code.
11) Signature of authorized official issuing the document – the SMC shall be signed by the authorized
personnel of RHO;
12) Seal or stamp of the issuing authority, as appropriate – signature of the authorized personnel shall
be endorsed with an appropriate RHO seal;
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Issue: 2015
13) Endorsement of intermediate audit (to be filled in on the reverse side of the SMC based on satisfactory
results of audit and in justified cases, for example, when the document is reissued due to a change of the
Company's name and/or address) shall be performed as follows:
- In the field Place the port name is entered where the ship was audited;
- In the field Date a date of its actual completion (closing meeting) is indicated;
- In the field Signed the abbreviated name of the classification society (RS 3) which performed the
verification audit is indicated, and endorsed with the signature and seal of the RS auditor who has issued
the SMC;
- In the field Seal or stamp, the seal of the RS auditor who has issued SMC is put.
14) Additional audit4 - where it is reasonable, the Administration may require additional audits to confirm the
SMS effective operation. Additional audits may be conducted in cases not prescribed by the standard
procedures, for example, ship detention by Port State Authorities or navigation after service interruption
or verification to ensure effectiveness of corrective actions taken and/or their proper performance.
Additional audits may be conducted at shore-based divisions of the Company and/or on board the ship.
The Administration is to define the scope of audits and area to be audited which may change on a case-
by-case basis. Additional audits are to be completed within the specified period with regard to IMO
recommendations. The Administration is to trace the audit results and take appropriate measures, where
necessary.
The SMC shall be endorsed (on the reverse side) based on satisfactory results of the additional audit.
The document verifying the additional audit is drawn up similarly to that for the intermediate audit (see
subpara 13, para 4.3.1.2.8).
4.3.1.2.9 The procedure for filling in the fields of the short-term SMC and the first page of form 8.1.3-2 is similar to
that described in para 4.3.1.2.8. The fields set forth below are exceptional:
- This Safety management Certificate is valid until – Here the validity period is indicated, which, in its
turn, is defined in compliance with para 4.3.1.2.4;
- Signature of authorized official issuing the document – the short-term SMC being drawn up may be
signed by the authorized personnel of the RHO Department / RS Branch Office;
- Seal or stamp of the issuing authority, as appropriate – the signature of the authorized personnel of
the RHO Department / RS Branch Office is endorsed with the appropriate seal of the RS Branch Office /
RHO Department, the signature of the Lead Auditor is endorsed with the seal of the RS auditor.
Additionally, it is permitted to fill in form fields in hand writing provided that it is made in the legible manner.
4.3.1.2.10 The original short-term SMC is handed over to the ship Master or his representative, and a copy of the
short-term SMC as part of the audit report, is forwarded to the RHO.
4.3.1.2.11 The original SMC issued is forwarded to the Company, and its copy to the appropriate file.
4.3.1.2.12 When reissuing the SMC with expiry term similar to that of the existing one, for example, due to changes
in Company's details or renewal of the SMC (see para 4.3.12.3), data on the RS intermediate audit is transferred from
the void SMC to the appropriate field Endorsement of intermediate audit and drawn up as per subpara 13, para
4.3.1.2.7.
Where SMS intermediate audits are conducted by a classification society other than the RS, in particular
when transferring the SMS certification as per IACS PR No. 18, the RS being the gaining society, the appropriate field
Endorsement of intermediate audit is deleted and endorsed with an actual date, signature and seal of the RS auditor
who has issued the SMC.
Data on RS additional audits is also transferred from the void SMC to the appropriate field/fields
Additional audit of the new SMC and drawn up as per subpara 13, para 4.3.1.2.7.
4.3.1.2.13 The terms of validity / endorsement of the SMC are checked by the MMS Division.
3 The entry in Russian is necessary only for the ships entitled to fly the flag of the Russian Federation.
4 IMO Resolution А.1071(28), para 4.7.
ND No. 2-080101-012-E Page 13 of 56

Issue: 2015
4.3.2 Interim and initial verification

4.3.2.1 The verification for issue of the interim DOC to a Company and interim SMC to a ship is to be conducted
as per ISM Code, Chapter 14. Interim verification for the issue of an interim DOC to a Company and an interim SMC
for a ship is carried out as described in ISM Code Section 14. The interim verification for issuance of an interim DOC
includes a review of the safety management system documentation.
4.3.2.1.1 The minimum scope of the interim verification in the Company's office(s) shall be defined by the SMS
audit checklist (for issue of the Interim DOC), form 8.1.6-3.
4.3.2.1.2 The minimum scope of the interim verification of the ship shall be defined by the SMS audit checklist
(for issue of the Interim SMC, form 8.1.6-4.
4.3.2.1.3 The questions contained in the SMS audit checklists cannot restrict additional activities, interviews and/or
observations to be taken by the RS auditor and required to obtain distinct SMS information of the Company / ship.
4.3.2.1.4 The Company is to develop and document the SMS with all key elements of the ISM Code for interim
verification to be performed.
4.3.2.1.5 The RS, in its activity, uses the following forms of the Interim DOC (see para 4.3.1.1.5) and interim SMC:
- Form 8.1.4 – Interim SMC;
- Form 8.1.4-2 – Interim SMC (for ships not covered by the requirements of the SOLAS-74).
4.3.2.1.6 The Interim Safety Management Certificate is to be issued by an authorized specialist of the RHO
Department / RS Branch Office who has carried out the relevant verification of the ship SMS as the Lead Auditor
(see the SMS audit checklist for issue of the Interim SMC), provided that its results are satisfactory.
4.3.2.1.7 Where the Flag Administration has defined the Interim DOC and/or Interim SMC form other than the
above mentioned and has authorized the RS to issue them (it) up on its behalf, the blank forms of this Administration
shall be used. These forms are 8.1.2-А and 8.1.4-А, respectively.
4.3.2.1.8 The procedure for filling in the fields of the Interim DOC form is similar to that described in para 4.3.1.1.8.
The field “This Interim Document of Compliance is valid until” is exceptional. The validity period of the Interim
DOC is indicated here which, in its turn, is defined in compliance with para 14.1, ISM Code.
4.3.2.1.9 The original of the issued interim DOC is forwarded to the Company, and its copy to the appropriate file
of the Company.
4.3.2.1.10 The procedure for filling in the fields of the Interim SMC form is similar to that described in para 4.3.1.2.8.
The fields set forth below are exceptional:
- “This Interim Safety Management Certificate is valid until”. The validity period of the Interim SMC is
indicated here which, in its turn, is defined in compliance with para 14.2, ISM Code;
- ''Signature of authorized official issuing the document'' – the interim SMC may be signed by the
authorized personnel of the RHO Department / RS Branch Office;
- “Seal or stamp of the issuing authority, as appropriate” – the signature of the authorized personnel
of the RHO Department / RS Branch Office is endorsed with the appropriate seal of the RS Branch Office
/ RHO Department, the signature of the Lead Auditor is endorsed with the seal of the RS auditor.
Additionally, it is permitted to fill in form fields in hand writing provided that it is made in the legible manner.
4.3.2.1.11 The issued original Interim SMC is handed over to the ship Master or his representative, and a copy of
the Interim SMC, together with certification records, is forwarded to the RHO.
4.3.2.2 Initial verification for the issue of a DOC to a Company consists of the following steps:
1) A satisfactory review of any changes made to the documented SMS since the interim DOC was issued;
2) Verification of the effective functioning of the SMS, including objective evidence that the Company’s SMS
has been in operation for at least three months on board at least one ship of each type operated by the
Company. The objective evidence shall include records from the internal audits performed by the
Company ashore and on board and the statutory and classification records for at least one ship of each
type operated by the Company.
4.3.2.2.1 The minimum scope of initial verification on shore-based division of a Company is specified by the SMS
ND No. 2-080101-012-E Page 14 of 56

Issue: 2015
audit checklist (for shore-based divisions of a Company), form 8.1.6-1. For the procedure for drawing up the DOC
based on results of initial verification, see para 4.3.1.1.3 and the following paragraphs.
4.3.2.2.2 Documents on SMS and/or amendments thereto are approved by the RHO or RS Branch Office provided
that the appropriate authorization for activities is available.
The results of approval of documents on SMS and/or amendments thereto are prepared as a report on
SMS document approval, form 8.1.9.
4.3.2.2.3 The Company is to submit the electronic version of SMS documents for RS consideration. The documents
shall be presented in the language agreed with the RS.
The SMS documents shall include, at least, the following:
1) Company’s Safety Management Manual and the Ship’s SMS Manual / Guidelines (if the latter is published
in a form of a separate document), see para 11.3, ISM Code;
2) List of mandatory rules and regulations, applicable codes, guidelines and standards recommended by
the IMO, Administrations, classification societies and maritime industry organizations, as well as the List
of Ship Normative Documents (if it is issued in a form of a separate document), see para 1.2.3, ISM Code;
3) Documents defining the responsibility, authority and interrelation of all personnel involved in SMS (these
may include organization flowcharts, regulations for departments, duty regulations, functional duties, etc.)
– see para 3.2, ISM Code;
4) Procedures, instructions, checklists and/or documents issued in other forms which describe procedures
established in the Company in relation to the following:
- Ensuring availability and implementation of the Company’s safety and environmental protection policy,
including the provisions regarding assessment of all identified risks associated with the ships, personnel
and environment and appropriate protection arrangements with its last revision date, see para 2, ISM
Code;
- Ensuring that new personnel and personnel transferred to new assignments related to safety and
protection of the environment are given proper familiarization with their duties, see para 6.3, ISM Code;
- Identifying any training, which may be required in support of the SMS and ensuring that such training is
provided for all the personnel concerned, see para 6.5, ISM Code;
- Providing the ship personnel with relevant information on the SMS in a working language / languages
understood by the ship personnel, see para 6.6, ISM Code;
- Preparing plans and instructions including, where required, checklists in relation to key shipboard
operations concerning the safety of the ship personnel and environmental protection. The various related
tasks shall be assigned to the qualified personnel (sometimes this group of documents is referred to as
the ship documents / checklists), see para 7, ISM Code;
- Identifying, describing and responding in potential emergency shipboard situations (these documents
may include programs / checklists for drills and exercises in emergency situations), see para 8, ISM Code;
- Non-conformities, accidents and hazardous situations reported to the Company, investigated and
analyzed to enhance safety and prevent pollution, as well as measures to prevent their recurrence,
procedure for interrelation of the ship (ship Master) and the Company when attending the ship for
inspection by the Port State Control Officers or other inspecting bodies. The Company shall establish
procedures for the implementation of corrective actions, see para 9, ISM Code;
- Ensuring that the ship is maintained and repaired as per relevant rules and regulations and any additional
requirements which may be established by the Company, see para 10.1, ISM Code;
- Identifying the equipment and technical systems which, when failed, may cause hazardous situations as
well as backup arrangements, equipment / technical systems not operated permanently including specific
measures to provide reliable operation of such equipment and systems, see para 10.3, ISM Code;
- Controlling all documents and data on SMS, see para 11.1, ISM Code;
- Ensuring that valid documents are available at all the relevant locations, changes to documents are
reviewed and approved by authorized personnel and obsolete documents are promptly removed, see
para 11.2, ISM Code;
- Evaluating the efficiency on a regular basis and when needed reviewing the SMS as per procedures
established by the Company, see para 12.2, ISM Code;
ND No. 2-080101-012-E Page 15 of 56

Issue: 2015
- Internal audits and possible corrective actions, see 12.3, ISM Code.
If the Company operates the ships built on 01 January 2007 or after this date, in compliance with the
provisions of IMO Circular MSC/Circ.1135 dated 15 December 2004, it shall also submit the description of the
procedure for making changes in the set of as-built construction drawings and other diagrams indicating any
subsequent modifications in the ship design. Besides, the second set of these drawings shall be kept ashore in the
Company's office.
4.3.2.2.4 The RS reviews the SMS documentation using the checklist for assessing compliance of documents with
the ISM Code, form 8.1.6-5.
The RS is entitled to call for any additional materials required. When reviewing the SMS documentation,
the RS shall refer to para 11.3 of the ISM Code: ''... Documentation should be kept in a form that the Company
considers most effective".
4.3.2.2.5 If during review, the SMS documentation is found as non-complying with the ISM Code requirements, the
RHO or RS Branch Office involved in its review shall send a written notification to the Company with comments
indicated.
4.3.2.2.6 Where no comments related to the Company's SMS documentation are available or amendments are
made based on the RS comments, the SMS documentation may be approved.
In this case, the title pages of the Safety Management Manual and the List of the Company's SMS
documents submitted for review are stamped as APPROVED.
The date of approval of SMS documents is indicated on the stamp. The RS auditor who reviewed the
document puts a date and his signature, and certifies with his seal.
4.3.2.2.7 The electronic version of APPROVED copies of title pages of the Safety Management Manual and the
List of the Company's SMS documents are forwarded to the RHO to be kept in the appropriate file of the Company.
4.3.2.2.8 The RS reviews the copies of the Company's SMS documents being kept therein as confidential
information, which may be disclosed to the third party only with the written consent of the Company or duly prepared
judicial body judgment.
4.3.2.2.9 Approval of the SMS documentation executed by the RHO or by the RS Branch Office upon its
authorization is valid for all other RS Branch Offices without any additional approval. Here, the copies of documents
with the title pages bearing the relevant marks shall be accepted equally with their originals.
With the grounds available, the approval status of the SMS documentation may be canceled by the RHO
Department / RS Branch Office which approved it.
4.3.2.2.10 Amendments made to RS approved SMS documents shall be also approved by the RS.
4.3.2.2.11 The Company shall verify and correct the SMS documentation without sending any special notification to
the RS. The verified and corrected documents shall be submitted for agreement during the next audit.
4.3.2.2.12 The RS approved SMS documents are considered void if amendments made to the ISM Code are not
duly reflected in the SMS documents.
4.3.2.2.13 The results of approval of amendments to the SMS documentation of the Company may be drawn up as
follows:
- Upon satisfactory results of amendments review, the RS auditor signature and seal are put on the
corrected page(s) (list(s) of amendments);
- When non-conformities with the ISM Code requirements are identified in the course of review, they shall
be drawn up in the established order, see para 4.3.2.2.5 and/or para 4.3.8.10, whichever is applicable.
4.3.2.2.14 Copy(ies) of the corrected page(s) with the RS auditor signature and seal is(are) attached to the audit
report of the Company's shore-based locations.
4.3.2.2.15 The Company's SMS documentation with all newly approved amendments in an electronic format is
forwarded to the RHO to be kept in the relevant file of the Company.
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Issue: 2015
4.3.2.3 The initial verification for issuing a SMC to a ship consists of the following steps:
1) Verification that the Company holds a valid DOC applicable to the ship type and that the other provisions
of paragraph 4.3.1.2.3 of this Guidelines are complied with. Only after on-board confirmation of the
existence of a valid DOC can the verification proceed;
2) Verification of the effective functioning of the SMS, including objective evidence that the SMS has been
in operation for at least three months on board the ship. The objective evidence should also include
records of the internal audits performed by the Company.
4.3.2.3.1 The minimum scope of initial verification of shipboard SMS is specified by the SMS audit checklist for
ship, form 8.1.6-2. For the procedure for drawing up the SMC based on results of initial verification, see para 4.3.1.2.4
and the following paragraphs.
4.3.3 Annual verification or renewal of the Document of Compliance
4.3.3.1 The purpose of these audits is, inter alia, to verify:
1) the effective functioning of the SMS;
2) that any modifications made to the SMS comply with the requirements of the ISM Code;
3) that corrective action has been implemented;
4) that statutory and classification certificates are valid and that no surveys are overdue.
4.3.3.2 The statutory and classification certification for at least one ship of each type identified on the DOC shall
be verified.
4.3.3.3 The minimum scope of annual or renewal audit in the Company's office(s) is specified by the SMS audit
checklist (for shore-based locations of a Company), form 8.1.6-1.
4.3.3.4 Upon satisfactory results of annual audit, the Lead Auditor endorses the validity of the DOCs available in
the Company as follows. Legible entries are made on the reverse side of each DOC being endorsed:
- In the field “Place” a city name is indicated where the annual audit has been carried out;
- In the field “Date” a date of actual completion (closing meeting) of the annual audit is indicated;
- In the field “Signed” the Lead Auditor puts, as appropriate, his signature, which is endorsed with his seal.
4.3.3.5 When the Company has several DOCs, and some of them was not endorsed or cannot be endorsed
based on audit results, an entry is made in the field “Remarks” of the Report on Company's SMS audit, form 8.1.9,
see also para 4.10.2 as regards retention of ship types specified in DOC.
4.3.3.6 Upon satisfactory results of renewal audit, the Lead Auditor may issue a short-term DOC, see also para
4.3.1.1.3.
4.3.4 Intermediate verification or renewal of Safety Management Certificates
4.3.4.1 The purpose of these audits is, inter alia, to verify:
1) the effective functioning of the SMS;
2) that any modifications made to the SMS comply with the requirements of the ISM Code;
3) that corrective action has been implemented;
4) that statutory and classification certificates are valid and that no surveys are overdue.
4.3.4.2 The minimum scope of intermediate or renewal audit is described in the SMS audit checklist for ship,
form 8.1.6-2.
4.3.4.3 Upon satisfactory results of intermediate audit, the Lead Auditor endorses the validity of the SMC
available on board the ship as follows. Legible entries are made on the reverse side of each SMC being endorsed:
- In the field “Place” a port name is indicated where the intermediate audit has been carried out;
- In the field “Date” a date of its actual completion (closing meeting) is indicated;
- In the field “Signed” the Lead Auditor puts, as appropriate, his signature, which is endorsed with his seal.
4.3.4.4 Upon satisfactory results of the renewal audit, the Lead Auditor may endorse the validity of the SMC
available on board in compliance with para 13.13, Part B of the ISM Code.
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If no page is available for notes to endorse the validity of the SMC, and if the renewal audit is terminated
after the expiry date of the existing SMC, the short-term SMC is to be issued by the Lead Auditor (see also para
4.3.1.2.4).
4.3.5 Preparing the audit
4.3.5.1 The auditor(s) in co-operation with the Company or Ship shall produce an audit plan.
4.3.5.2 The audit plan should be designed to be flexible in order to permit changes in emphasis based on
information gathered during the audit, and to permit the effective use of resources. This plan shall be communicated
to all those involved in the audit.
The audit plan shall include:
1) identification of the individuals or organizational units having significant direct responsibilities within the
SMS;
2) identification of the auditor(s);
3) the language of the audit;
4) the date and place where the audit is to be conducted;
5) the schedule of meetings to be held with Company’s management.
4.3.5.3 Initial, intermediate and renewal shipboard verification audits shall be performed only under normal
operating conditions, e.g. when the ship is not in dry dock or laid up. Interim audits may be conducted in circumstances
other than normal operating conditions, provided that the ship is fully manned in accordance with its Safe Manning
Certificate.
4.3.5.4 The minimum scope of the initial, intermediate or renewal audit of the shipboard SMS is described in the
SMS audit checklist for ship, form 8.1.6-2.
4.3.5.5 Prior to conducting the ISM Code audit by the RS, the SMS audit plan shall be prepared, form 8.1.10.
The plan shall be prepared based on objective, tasks and scope of the upcoming audit.
4.3.5.6 The Lead Auditor is responsible for the preparation of the plan and its agreement with the Company /
ship, who is designated for this purpose. The Lead Auditor shall consider any objections, if any, from the Company /
ship. Any changes in the audit procedure, if required in the course of the audit shall be also agreed upon with the
involved parties prior to its proceeding. The Lead Auditor must notify the Company / ship about the consequences of
non-fulfillment of the plan (see para 4.3.5.10).
4.3.5.7 The audit plan shall start with an opening meeting (see para 4.3.6.2), determine the time and date of the
closing meeting (see para 4.3.6.12 ), and also, if necessary, any possible intermediate meetings (see subpara 6 in
para 4.3.6.2).
If the audit is supposed to be conducted by the audit team, the Lead Auditor shall define responsibilities
of each member for verification of particular processes, functions, areas and/or actions by means of consultations with
the audit team members. Such assignments shall consider the necessity to ensure independence, competence and
effectiveness of using the available resources by each of the auditors, and also different roles and obligations of
auditors, trainee auditors and technicians if those are expected to join the audit team. In the course of the audit with
the purpose of achieving its objectives, the allocation of obligations between the auditors may be updated.
Prior to closing meeting and each of the intermediate meetings with the management of the Company /
ship subject to the audit, it is recommended, when preparing the plan, to reserve time for meetings of the audit team
members. These meetings will be necessary for exchange of collected information, evaluation of the audit process
and, if required, for updating the allocation of obligations between the team members.
4.3.5.8 SMS audit plan is not limited to the listed, shall include:
- Determining the compliance of the Company's SMS documentation (see para 4.3.2.2.3) and amendments
thereto, if any, with the ISM Code requirements (see para 4.3.2.2.10);
- Evaluating the effectiveness of the corrective and preventive actions for earlier reported non-conformities
/ observations (see para 4.3.6.7 ), as well as for report(s) of SMS possible failures (see Section 5);
- Evaluating the effectiveness of the shore-based location(s) to ship(s) interaction subject to audit by the
Port State Control Authorities, and also as regards its / their maintenance and repair;
- Inspecting / examining the spaces of the Company / ship;
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- Verifying the compliance with the requirements of the Flag Administration(s) (see para 4.14);
- Interviewing the SMS key persons of the shore-based locations / ship;
- Training drill(s);
- Drawing up the audit results (see para 4.3.7.4).
The full name of Company / ship personnel being verified shall be indicated in the plan. If alignment of
the ship ISM and ISPS Code audits is expected (see Section 8), this fact shall be reflected in the plan under
development.
4.3.5.9 The plan shall be reviewed and accepted by the Company / ship to be audited prior to conductance of
the audit. The SMS audit plan shall be agreed and signed by the authorized representative of the Company / ship,
and, for the part of the RS, shall be confirmed by the authorized persons:
- In the RHO it may be the Head of the MMS Division or his deputy;
- In the RS Branch Office it may be the Head of this RS Branch Office (Survey Station), his deputy or duly
authorized specialist of the RS Branch Office.
4.3.5.10 The SMS audit plan preliminarily agreed with the Company / ship may be finally documented prior to
commencement of the opening meeting.
In case of circumstances during SMS audit affecting the implementation of the plan by scope / time,
actions concerted with the company representatives / vessel to be taken aimed at amending the plan with a view to
the compulsory execution.
Amendments can be made both by correction of the time and place of the audit, and by the content of
the planned activities, maintaining the set scope.
In case of failure to comply the set scope of the audit plan, SMS audit can not be completed.
Circumstances, which prevent the completion of the audit and can not be resolved on the spot, are the
subject of consideration and decision in the RHO.
4.3.6 Executing the audit
4.3.6.1 All scheduled routine DOC and SMC audits (initial, intermediate, annual and renewal) shall be fully
scoped audits covering all elements of the ISM code and all aspects of the management of shipboard safety and
pollution prevention.
4.3.6.2 The audit shall begin with an opening meeting, the purpose of which is to:
1) introduce the auditor(s) to the Company’s or shipboard management;
2) explain the scope and objective of the audit;
3) provide a short summary of the methods and procedures to be used to conduct the audit;
4) establish the official communication links between the auditor(s) and the Company or shipboard
personnel;
5) confirm that the resources, documentation and facilities needed to perform the audit are available;
6) confirm the time and date of the closing meeting and any possible interim meetings.
4.3.6.2.1 During the audit the Lead Auditor shall regularly keep the Company / ship management informed about
any problems arising in the course of the audit. Hence, in those cases when the audit is supposed to take more than
one working day, at the end of each working day the intermediate meetings are recommended with the management
of the Company / ship being audited.
4.3.6.2.2 When any of the audit team members visits the Company (the ship operated by this Company) for the
first time, such a member of the group, prior to the start of the opening meeting, shall hand over the filled-in Declaration
of ISM Code auditor form 8.1.12 to the Company / ship management.
4.3.6.2.3 If necessary, before or in the course of the opening meeting, the issue of providing the audit team with
the working premises and communication lines with the RS Branch Offices and/or RHO Departments shall be
discussed.
4.3.6.2.4 The opening meeting shall be held with participation of the management of the Company / ship to be
audited and the persons responsible for functions and processes subject to the audit.
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During the opening meeting it is recommended to additionally confirm the following:

- Language of the audit and its results;
- Safety measures, accident and security procedures for the auditors;
- Availability, role and personal data of the Company / ship facilitators (facilitators and/or observers may
escort the audit team but they cannot be its members and shall not influence or interfere in the audit
process);
- And to notify of the conditions, under which the audit may be stopped, as well as of the effective procedure
for appeals control (see ND No. 2-060203-023-E – Procedure for Complaints and Appeals Control).
4.3.6.3 Working documents used to facilitate the audit and to document the results may include:
1) checklists used for evaluating SMS elements, and;
2) forms for reporting observations and documenting supporting evidence.
Working documents should not restrict additional activities or investigations that may become necessary
as a result of information gathered during the audit.
4.3.6.4 Consideration should be given to the limitations that may be placed on the auditor’s ability to gather
information and collect objective evidence when audits are carried out during the hours of darkness or other similarly
restrictive operational conditions. Further visits may be necessary to complete the audit.
4.3.6.5 The auditor should take into account any changes made to the SMS since the last external audit carried
out.
4.3.6.6 The auditor(s) shall assess the SMS on the basis of the documentation presented by the Company and
objective evidence of its effective implementation. Such evidence shall be collected through interviews, review of
documentation and records, observation of activities and examination of the condition and operation of the ship and
its equipment and technical systems.
4.3.6.6.1 Depending on the objective and scope of the ISM Code audit, the following checklists may be used in the
RS:
- Form 8.1.6-1 – SMS Audit Checklist (for shore-based locations of a Company);
- Form 8.1.6-2 – SMS Audit Checklist for Ship;
- Form 8.1.6-3 – SMS Audit Checklist (for issue of the Interim DOC);
- Form 8.1.6-4 – SMS Audit Checklist (for issue of the Interim SMC).
4.3.6.6.2 Form 8.1.8 – Non-Conformity / Observation Note – Action Plan (for the drawing up procedure, see para
4.3.8.10) is to be used to record any observations found based on the results of Company / ship survey (see para
4.3.6.11).
4.3.6.6.3 When interviewing the key persons of the Company/ ship SMS, it is recommended to refer to
ISO 19011 "Guidelines for Quality and/or Environmental Management Systems Audit" (see para 6.4.6).
4.3.6.6.4 Any complicated questions arising during an audit, shall be noted and brought to the attention of the Lead
Auditor for informing the Company / ship management.
4.3.6.6.5 When the data collected in the course of the audit certify that a major non-conformity in the SMS is
available, this fact shall be promptly brought to notice of the management of the Company / ship being audited. When
a major non-conformity exists in the SMS, which is not downgraded, the DOC / SMC cannot be issued, endorsed or
renewed, see also para 4.3.8.5.
If the obtained data show that the audit objectives cannot be achieved, the Lead Auditor shall inform the
management of the Company / ship on such a matter to determine the further activities.
4.3.6.7 Annual and renewal audits of the company may include a review of non-conformities reported in relation
to previous internal and external Company and shipboard audits. The auditor should select a sample of the reported
non-conformities and audit the company’s investigation, analysis, and resolution of the non-conformities in accordance
with the requirements of sections 9 and 12 of the ISM Code.
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4.3.6.7.1 The Lead Auditor having examined the objective evidence and become persuaded in effectiveness of the
actions taken shall confirm the correction of non-conformities identified during the previous SMS audit by signing each
of the verified None Conformity Note (NCN) with completed parts I and II, and by certifying his signature with the RS
auditor's seal and indicating the confirmation date.
4.3.6.7.2 A copy of each confirmed NCN shall be enclosed to the SMS audit report.
4.3.6.7.3 In case of observations found during the previous SMS audit, corrective measures taken by the Company
/ ship personnel shall be evaluated to check if they do not result in non-conformity. This fact shall be confirmed by
signing part III of each verified original observation note. The signature is certified with the RS auditor's seal and the
confirmation date.
4.3.6.8 When auditing a Company managing ships classed by another society, or for which the Administration or
another society performs the statutory surveys, the auditor shall review the statutory and classification survey records
for at least one ship of each ship type to which the DOC is to apply. These records shall be made available at the
Company’s office (see para 4.2.2.2 of this Guidelines).
4.3.6.9 When auditing a ship that is classed by another society or which the Administration or another RO have
performed statutory surveys or has issued the DOC to the Company, the auditor shall, at the beginning of the audit,
review the statutory and classification survey records which should be made available on board (see para 4.2.2.2 of
this Guidelines).
4.3.6.10 The auditor is entitled to acquire information from other societies or the Administration, in order to check
the veracity of the information presented to the auditor by the Company (see para 4.2.2.2 of this Guidelines).
4.3.6.11 Audit findings shall be documented in a clear, concise manner and supported by objective evidence.
These shall be reviewed by the auditor(s) in order to determine which are to be reported as major non-conformities,
non-conformities, or observations.
4.3.6.11.1 Prior to the closing meeting, while preparing the audit report (see para 4.3.7) the observations indicating
non-conformity with the ISM Code requirements shall be drawn up as the NCN(s), form 8.1.8.
4.3.6.11.2 The observations which, in the Lead Auditor’s opinion, could contribute to improvement of the Company
/ ship activity shall be drawn up in the observation note(s), form 8.1.8.
4.3.6.11.3 Technical deficiencies revealed on board the ship may be confirmed by the photos that shall be enclosed
to the audit report.
4.3.6.12 At the end of the audit, prior to preparing the audit report, the auditor(s) shall hold a meeting with the
senior management of the Company or ship and those responsible for the functions concerned. The purpose of the
meeting is to present major non-conformities, non-conformities and observations to the Company or shipboard
management in such a manner that they clearly understand the results of the audit.
4.3.6.13 The closing meeting is recommended to be held under the chairmanship of the Lead Auditor. In the
course of the meeting the audit results and, as applicable, observations, non-conformities and/or major non-
conformities shall be presented in such a way that to be not only understood but also recognized by the management
of the Company / ship being audited.
4.3.6.14 As to the observations aimed at the improvement of the Company / ship operation, it shall be duly noted
that non-conformity may occur in the SMS. To avoid such a situation, it is expedient that the Company / ship shall
develop and undertake preventive actions based on documented observations.
4.3.6.15 Any discrepancies as to findings (non-conformities / major non-conformities) and/or conclusion based on
the audit results between the audit team and the Company / ship shall be discussed and settled, if possible.
4.3.6.16 Where applicable, during the closing meeting it is necessary to remind the date of the NCN submission
with the completed part II (corrective action plan), see 4.3.8.15 and so on, as well as the request for the additional
SMS audit, if such is required by the Lead Auditor for evaluating the effectiveness of the corrective actions taken by
the Company / ship.
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4.3.7 Audit report

4.3.7.1 The audit report shall be prepared by the lead auditor, based on information gathered by and discussed
with the audit team members. It must be accurate and complete, reflect the content of the audit and should include
the following items:
1) the date of completion of the audit;
2) the scope and objectives of the audit;
3) auditor(s), Company’s representatives;
4) all major non-conformities, non-conformities, and observations.
4.3.7.2 The audit report shall be made available to the Company or ship as applicable.
4.3.7.3 The Company should maintain reports and records of all audits performed both ashore and on board its
ships (see para 4.2.2.2 of this Guidelines).
4.3.7.4 Based on the results of conducted SMS audit, the RS shall draw up the following:
- SMS audit plan, form 8.1.10 (for its preparation procedure, see para 4.3.5.5 and the following ones);
- Report on SMS audit, form 8.1.9;
- Appropriate SMS audit checklist.
And also, where applicable,
- Declaration(s) of ISM Auditor, form 8.1.12 (for cases when its filling-in is mandatory, see para 4.3.6.2.2);
- Non-conformity / Observation Notes – Action Plan, form 8.1.8, including those prepared based on
previous SMS audit with effectiveness of corrective actions taken based on those reports confirmed by
the Lead Auditor, see para 4.3.6.7;
- Appendix to report on investigation of the ship’s detention, analysis of non-conformities and actions taken
by the company, form 8.1.9-1 (for its application, see para 4.9.3).
4.3.7.5 It is recommended to attach the Authorization based on which the SMS audit is performed to the report.
The report is accompanied with the copies of the documents specified in the Authorization as well as the documents
and photos confirming the actions and decisions of the Lead Auditor.
4.3.7.6 In case the shipboard ISM audit has been carried out, the valid crew list shall be enclosed to the audit
report.
4.3.7.7 Each Report on the SMS audit is to be identified by assigning a unique number consisting of three parts
divided by a point, for example, “15.00100.025”. The first part of the report number (15) consists of two figures and
means two last figures of the calendar year. The second part of the number (00100) consists of five figures, where the
first three figures are formed from the beginning of the calendar year and must begin with "001" and then on the basis
of the sequence number of the audit performed by the corresponding record book, and the last two figures – “00”. The
third part of the number means three-digit code of the RHO department / RS Branch Office, which carried out the audit.
When SMS audit was carried out by a specialist of the RHO MMS Division, code "025" is used for the
third part of the number.
Different numbers are assigned to different reports.
4.3.7.8 The SMS audit plan, non-conformity / observation note(s), appendix to report on investigation of the ship’s
detention, analysis of non-conformities and actions taken by the company if they have been issued upon the results
of the audit and also the SMS audit report shall be signed by the Lead Auditor who has carried out the audit and also
by the authorized representative(s) of the Company / ship. With the exception of the SMS audit plan, signatures of the
Lead Auditor who has carried out the audit shall be put down on the above-mentioned documents and endorsed with
the seal of the RS auditor.
4.3.7.9 The RS auditor is to use the special fields "Comments" in the SMS audit checklists in the following cases:
- To add the records on execution of special RHO's assignments as indicated in the authorization;
- To add the records on preventive and/or corrective actions taken by the Company / ship in respect of the
report / reports on possible SMS deficiencies prepared by the RS as per form 6.3.65 or by ACS as per
established form;
- To add required confirming data which were used as a basis for downgrading the major non-conformity
or remedying the non-conformity, documenting the non-conformity / observation or details mentioned in
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wordings given in the appropriate report but not fitted within the frames of specified fields;
- To add records on any discrepancies as to findings (non-conformities / major non-conformities) and/or
conclusions based on the audit results between the audit team and the Company / ship;
- To add records on corrective and preventive actions taken by the Company for closing the appropriate
NCN(s) during an audit;
- To add any other information relating to the Company / ship SMS audit which is to be indicated in the
report based on the RS auditor's opinion.
4.3.7.10 During the audit of the Company having the DOC issued on behalf of the Russian Federation and / or
vessel under the flag of the Russian Federation fields of the forms referred to in para 4.3.7.4 should be filled in Russian.
Where necessary, allowed the use of two languages (Russian and English), for example, during an additional audit of
the vessel under the flag of the Russian Federation in connection with the detention of the PSC in foreign port when
the audit report is required to provide to the port authorities or, where the company has a DOC issued on behalf of the
Russian Federation and other flag.
4.3.7.11 During the audit of the Company having the DOC issued on behalf of a flag other than the Russian
Federation and / or vessel under another flag, the reporting documents referred to in para 4.3.7.4 should be completed
in English. Where necessary, allowed the use of two languages (English and Russian), for example, at the request of
representatives of the Company / vessel.
4.3.7.12 The documents issued / confirmed based on audit results shall be verified as per
ND No. 2-060203-028-E ''Procedure for Control of Report Documents'' and ND No. 2-080204-001-E – ''Procedure for
Reviewing Requests, Reports and Plans on ISM and ISPS Code Corrective Actions''.
4.3.7.13 Originals of the drawn up (issued / endorsed) documents, with the exception of the SMS audit checklist
shall be handed over to the Company / ship management or their representatives.
4.3.7.14 Report documents prepared based on Company / ship SMS audit results as specified in the Authorization
shall be submitted to the MMS Division within 10 working days from the date of appropriate audit completion by means
of DMS ''THESIS'' unless otherwise provided in RHO additional guidelines.
4.3.7.15 When creating the internal outgoing document with report documents in the DMS ''THESIS'', at least the
following shall be indicated in the field ''Full Description'':
1) Branch Office (code);
2) Company / ship;
3) Type of audit;
4) Company name;
5) Company IMO number;
6) Ship name;
7) Ship IMO number;
8) Authorization No.;
9) Result report No.;
10) Date;
11) Appendix;
12) Number of sheets in the appendix.
4.3.7.16 All report documents based on Company / ship SMS audit results are to be recorded in the ISM/ISPS
Software System (see ND No.2-080204-001 – Procedure for Reviewing Requests, Reports and Plans on ISM and
ISPS Code Corrective Actions.
4.3.7.17 For provisions relating to controlling the duplicates and copies of report documents, assigning new
identification numbers if the issued documents have deficiencies, which require replacement of documents, see ND
No.2-060203-028 ''Procedure for Control of Report Documents''.
4.3.8 Corrective Action Follow-up
4.3.8.1 The non-conformity note (NCN) should state clearly the act or situation identified as non-compliant with
the Company’s SMS or the ISM Code.
4.3.8.2 The content of the NCN shall be complete and concise and written in such a manner as to be easily
understood. Clearness should not be sacrificed for the sake of brevity.
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4.3.8.3 When writing NCN auditors should, whenever possible, include a reference to the applicable requirement
of the Company’s SMS, and when necessary for the sake of clarity, restate the requirement.
4.3.8.4 NCN shall include a reference to the relevant clause or sub-clause of the ISM Code.
4.3.8.5 A DOC or SMC may be issued, endorsed or renewed before all identified nonconformities have been
closed out provided that a schedule has been agreed between the Company and the auditor(s) for the implementation
of the necessary corrective actions.
4.3.8.6 Additional audit(s) may be necessary to confirm the validity of a DOC and/or SMC depending on the
nature of any non-conformities identified. The Company is responsible for applying for any follow-up audit required by
the auditor.
4.3.8.7 The Company is responsible for formulating and implementing corrective actions for the non-conformities
identified by the auditor(s). A corrective action plan shall be submitted to the auditor within an agreed time period. The
proposals will be accepted if, as written, they appear to be an appropriate response to the non-conformities identified.
A schedule not exceeding three months from the date of completion of the audit shall be agreed for the implementation
of the corrective actions. The effectiveness of the corrective actions shall be verified not later than the next scheduled
audit (annual, intermediate or renewal).
4.3.8.8 The review of the Company’s responses to non-conformities described in paragraph 4.3.6.7 is applicable
only to non-conformities that are not considered to be major.
4.3.8.9 Failure to implement the agreed Corrective Action may be treated as grounds for invalidation of the DOC
or SMC.
4.3.8.10 Any non-conformity / observation note, form 8.1.8 shall be identified through assignment of a unique
number consisting of three parts separated by the point, for example, “15.00101.025”, which first part (15) is made of
two figures coinciding with the last two figures of the calendar year. The second part of the number (00101) is made
of five figures, where the first three figures (001XX) coincide with the first three figures of the second part of the SMS
audit report (see para 4.3.7.7 ), while the last two figures (XXX01) mean the through ordinal number of non-conformity
/ observation found in the course of this audit. The third part of the number means three-digit code of the RHO
Department or RS Branch Office, which has performed this audit. When SMS audit was carried out by a specialist of
the RHO MMS Division, code "025" is used for the third part of the number.
Different numbers are assigned to different non-conformity / observation reports taking into consideration
the following:
- For the purposes of a single report, through numeration of drawn up reports may be used for registration
of both non-conformity and observation;
- In the field “the wording of finding (objective evidence)” the specific identified fact(s) which form grounds
for identification of non-conformity are indicated;
- The wording of non-conformity / observation shall be clear and explicit and written in such a way so as to
be understandable for the other party reviewing the report;
- Additionally, the drawn up NCN shall contain references to the applicable ISM Code paragraphs, as well
as the relevant paragraphs of the survey checklist, which requirements were found outstanding;
- Non-conformities shall be identified as regards deficiencies in SMS operation but not to specific persons,
positions and divisions of the Company.
4.3.8.11 If feasible, references to the applicable ISM Code paragraphs, as well as SMS documents shall be made
when drawing up the observation note.
4.3.8.12 In the relevant field of the NCN, if applicable, the measures taken by the Company / ship for downgrading
the major non-conformity shall be indicated.
4.3.8.13 When wording the non-conformity, it shall be taken into consideration what corrective and preventive
actions the Company is capable to implement to remedy and prevent its recurrence. Therefore, prior to recording the
non-conformity in the relevant field of the NCN, it shall be discussed with the Company / ship management.
4.3.8.14 During the audit of ships flying the flag of the Russian Federation, the findings as well as non-conformities
/ observations are recorded in Russian. Where necessary, allowed the use of two languages (English and Russian).
For ships flying any other flag, in English. At the Company's / ship's request the English text of the wordings may be
accompanied with the translation into Russian.
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4.3.8.15 Part I of the non-conformity / observation note (corrective plan action) is filled in and signed by the
Company Representative and RS Lead Auditor, who certifies his signature with the RS Auditor's seal.
The Company shall review reasons of non-conformity (non-conformities), correct the non-conformity and
develop corrective actions. In this case, the Company shall fill in part II (corrective action plan) of the NCN.
In case of closing NCN(s) during the audit, the Company shall fill in part II of the NCN(s).
4.3.8.16 Part II of NCN shall be signed by the authorized employee of the Company.
4.3.8.17 The NCN with completed parts I and II (corrective action plan) shall be submitted to the auditors of the
RHO MMS Division (e-mail: ism.dept@rs-class.org, fax: (+7 (812) 380-19-58)) after eliminating non-conformities
(correction or corrective actions), but not later than three months from the NCN date.
The Company is entitled to attach the additional materials and/or documents to NCN with completed
part II (corrective action plan) and measures taken to prevent recurrence of non-conformity / non-conformities.
4.3.8.18 Failure to timely submit the NCN with completed part II (corrective action plan) and to implement the
agreed corrective actions as per the ISM Code requirements shall be considered as grounds for annulment of DOC
and/or ISSC (see paras 4.3.8.9 and 4.14.3 of IMO Resolution A.1071(28)).
4.3.8.19 The RHO may forward the request relating to the contents of the received NCN with completed part II
(corrective action plan).
4.3.8.20 The records in the submitted NCN with completed part II (corrective action plan) shall be legible. The
wordings of corrective actions shall correspond to those of non-conformity and finding.
4.3.8.21 The time frames for implementation of corrective actions, including, if applicable, additional audit of the
Company / ship SMS, shall not exceed three months from the date of the relevant NCN.
Implementation of corrective actions within the period exceeding 3 (three) months shall be agreed in
writing with the RHO MMS Division.
4.3.8.22 If the NCN with completed parts I and II (corrective action plan) is sent to the RS Branch Office, this NCN
shall be forwarded to the RHO MMS Division by operative communication means.
4.3.8.23 The NCN shall be considered agreed, when no objections and/or inquiry on additional materials are
submitted from RS to the Company within 10 (ten) working days after its receipt by the RHO MMS Division. The agreed
Report is forwarded to the corresponding Company / ship file.
The effectiveness of the corrective actions is assessed during a subsequent (additional or scheduled)
audit of the Company / ship SMS. The Lead Auditor shall sign part III of each verified original NCN with completed
parts I and II, certify his signature with the RS auditor's seal and indicate the confirmation date.
4.3.8.24 Depending on the nature and essence of non-conformity as well as corrective actions suggested by the
Company, effectiveness of their implementation may be assessed during an additional SMS audit. If this decision is
taken by the Lead ISM Auditor, it shall be drawn up by entering the following:
- Appropriate record to the NCN being drawn up;
- Number of NCNs on which the additional audit is required, in the relevant field of the audit report.
4.3.8.25 Non-conformity / observation notes are recorded to the ISM/ISPS Code data base.
After the NCN with completed part II (corrective action plan) prepared using the ISM/ISPS Software
System is approved by the RHO, the appropriate notes are made.
In cases when the additional audit is assigned to evaluate the corrective actions for remedy of non-
conformities, monitoring of such non-conformity(ies) may be sustained provided that the results of the required
additional audit are satisfactory.
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4.3.9 Company responsibilities pertaining to safety management audits

4.3.9.1 The verification of compliance with the requirements of the ISM Code does not relieve the Company,
management, officers or seafarers of their obligation to comply with national and international legislation related to
safety and protection of the environment.
4.3.9.2 The Company is responsible for:
1) informing relevant employees or organizational units about the objectives and scope of the audit;
2) appointing responsible members of staff to accompany the auditor(s);
3) providing the resources needed by the auditor(s) to ensure an effective and efficient verification process;
4) providing access and objective evidence as requested by the auditor(s);
5) co-operating with the auditor(s) to ensure that the audit objectives are achieved;
6) informing the RO about significant changes to the SMS, which may need an additional audit by the RO.
These include major restructuring of the system (for example, the establishment of branch offices) and
changes in the operations that introduce new hazards;
7) requesting additional audit, when required.
4.3.9.3 Where applicable, the Company is also responsible for development and implementation of corrective
actions as regards identified non-conformities including measures to prevent their recurrence and for timely notification
of the RS on such a matter.
4.3.10 Responsibilities of the audit team
4.3.10.1 The auditor is responsible for:
1) planning and carrying out assigned responsibilities effectively and efficiently;
2) complying with the applicable requirements and other appropriate directives;
3) reporting any major obstacles encountered in performing the audit;
4) organizing specialist technical assistance required to fulfill the competence requirements of the audit
when necessary;
5) clearly communicating non-conformities and observations to the Company or shipboard management
immediately;
6) reporting the full audit results clearly, conclusively and without undue delay;
7) making the audit report available to the Company or shipboard management;
8) verifying the effectiveness of corrective actions taken by the Company.
4.3.10.2 Documents and information pertaining to the certification shall be treated in confidence.
4.3.10.3 An ISM auditor identifying a technical deficiency deemed to present a serious threat to safety or the
environment or that requires attention by class or the flag administration shall:
1) establish if the company has taken appropriate action to correct the technical deficiency. In every case
the auditor shall establish that such technical deficiencies have been reported to the responsible Class
Society or flag administration;
2) establish whether the technical deficiency constitutes or is symptomatic of a major non-conformity and,
if so, follow the requirements of section 4.3.11 of this Guidelines.
4.3.11 Response to Major non-conformities
4.3.11.1 A major non-conformity raised on a ship must be downgraded before the ship can sail. Downgrading may
take place only after verifiable action has been taken to remove any serious threats to personnel, the ship or the
environment. An acceptable plan for implementation not exceeding three months should be agreed for completion of
the necessary corrective actions.
4.3.11.1.1 The grounds, based on which the major non-conformity was downgraded or recognized as removed in
the course of the survey shall be recorded in the NCN and/or in the field "Comments" of the SMS survey checklist for
the ship, form 8.1.6-2.
When necessary, the copy(ies) of documents confirming the activities of the Lead ISM Auditor may be
enclosed to the audit report.
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4.3.11.2 Following the downgrading of a major non-conformity, at least one additional audit should be carried out
on board the ship within the time frame indicated in the agreed corrective action plan to verify that effective actions
have been taken (see IMO Circular MSC/Circ.1059). In addition to the additional shipboard audit, an additional audit
of the Company’s shore-based operations may also be carried out if the auditor deems it necessary.
4.3.11.3 If an audit is carried out later than the specified time window a major non-conformity shall be raised.
4.3.11.4 Where a major non-conformity has been raised because a DOC audit has not taken place within the
specified time, the associated SMCs continue to remain in place without any additional verification provided that no
other major non-conformity remains unresolved.
4.3.11.4.1 When issuing the records relating to the audit of the Company's SMS carried out to renew the valid DOC
and to enable renewal of the SMCs associated with this DOC, names and IMO numbers of ships actually remaining
in the Company’s operation shall be indicated in the field “Note” of form 8.1.9. In case of insufficient field space, the
field "Comments" in the SMS audit checklist, form 8.1.6-1 may be used.
4.3.11.5 All major non-conformities, including those that are downgraded before the completion of the audit, shall
be reported to the corresponding flag administrations as follows:
1) major non-conformities identified during office audits shall be reported to all flags on whose behalf DOCs
have been issued and by which the society is authorized;
2) major non-conformities identified during shipboard audits shall be reported only to the flag of the ship
concerned.
4.3.11.6 Where the corresponding DOC has been issued by a recognized organization, major non-conformities
identified during shipboard audits shall be reported to that organization.
4.3.11.7 A DOC or SMC cannot be issued, endorsed or renewed if a major non-conformity exists.
4.3.12 Withdrawal of Certification
4.3.12.1 The Company shall be required to notify the affected ships immediately its DOC is withdrawn.
4.3.12.2 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 has been carried out. The expiry date of the new Document of Compliance should be the same as that of
the withdrawn document.
4.3.12.3 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 a representative sample of the ships. At least one ship of each type operated by the
company should be verified.
4.3.12.3.1 Upon satisfactory results of audits of each type of ships being operated by the Company, the original of
the DOC newly issued by the RHO is submitted to the Company.
4.3.12.4 An Interim Safety Management Certificate shall not be issued to a ship from which the Safety
Management Certificate has been withdrawn as a result of a major non-conformity. Furthermore, a new Safety
Management Certificate should not be issued unless 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 the same expiry date as the withdrawn certificate.
4.4 Annex 1. COMPANY BRANCH OFFICE VERIFICATION
4.4.1 General
4.4.1.1 Where a Company assigns SMS responsibilities to Branch Offices, the verification shall include a
representative sample of those offices. The sample selected shall be sufficient to ensure that all elements of the SMS
and all requirements of the ISM Code can be assessed.
4.4.1.2 The audit of each branch office shall address each requirement of the ISM Code relevant to that office.
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4.4.1.3 The Company shall have performed internal audits of all branch offices and relevant records shall be
made available to the auditors.
4.4.1.4 Where the Company assigns SMS responsibilities to Branch Offices, the list of Branch Offices shall be
indicated in an attachment to the DOC (form 8.1.1-1 – Appendix to the Document of Compliance was developed by
Marine management System Division).
4.4.2 Initial DOC audit
4.4.2.1 Where the same activities are performed by all Branch Offices, the number of Branch Offices to be verified
is:
1) two if the total number of Branch Offices is two or three;
2) three if the total number of Branch Offices is from four to six; and;
3) to be agreed if the total number of Branch Offices is more than six.
4.4.2.2 Where different activities are performed by Branch Offices, the number of Branch Offices performing the
same activities to be verified is:
1) two if the total number of Branch Offices performing the same activities is two or three;
2) three if the total number of Branch Offices performing the same activities is from four to six; and;
3) to be agreed if the total number of Branch Offices performing the same activities is more than six.
4.4.2.3 Notwithstanding the above, if a Company nominates an office as its head office then it must be audited
as part of the initial verification.
4.4.3 Annual DOC audit
4.4.3.1 Annual audit shall ensure that all Branch Offices are visited during the period of validity of the DOC. The
audit of the branch offices shall be agreed with the company. The frequency of branch office audits shall be determined
based on the nature and extent of the activities undertaken by each branch office.
4.4.3.2 If an additional Branch Office is included by the Company in its SMS during the period of validity of the
DOC, it shall be verified at the next scheduled verification. The additional Branch Office shall be included in the DOC
when the DOC is endorsed.
4.5 Annex 2. COMMUNICATIONS WITH FLAG STATES AND BETWEEN
CLASSIFICATION SOCIETIES
4.5.1 To ensure that the requirements of SOLAS Chapter I Regulation 6(d), SOLAS Chapter IX, IMO
Resolution - A.1071(28) and IMO Resolution A.741(18) as amended are fulfilled, the following communication
procedures must be followed when a DOC or SMC become invalid according to paragraph 4.3.11 of this Guidelines.
4.5.2 When a certificate is invalidated, the issuing society shall inform the Flag State and other ROs using the
form "Notification of Invalidation of ISM Certification" or by any other means indicating the same information.
4.5.3 The communication shall be limited to the identity of the ship, the Company, the substance of the major
non-conformity and the date of audit.
4.6 Annex 3. PORT STATE CONTROL
4.6.1 When attending a ship as a result of a Port State Control action, the RS that issued the SMC shall consider
the objective evidence presented by the PSCO.
4.6.2 Where the auditor considers that the evidence indicates the presence of a major nonconformity, the major
non-conformity shall be documented in the usual way, the company shall be notified immediately and the auditor shall
proceed as indicated in paragraph 4.3.11 of this Guidelines.
4.6.3 In the absence of any specific instructions to the contrary, the scope of any additional audit carried out
following the detention of a ship that holds an interim SMC shall include, as a minimum, the deficiencies identified by
PSCO. Implementation will be verified to the extent that the available evidence permits.
4.6.4 In cases where the PSCO alleges that there is evidence of a major non-conformity, and the auditor of the
SMC-issuing Classification Society considers that there is not, the PSCO, under the authority vested in the officer by
the authorities of the port, will decide what further action is to be taken.
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4.6.5 If the RS auditor disagrees with the actions taken by the PSCO, the auditor is to provide the PSCO with
a written explanation of the disagreement and inform the flag State.
4.6.5.1 The written grounds of disagreement made by the RS auditor shall be signed by the PSCO documenting
that he / she has been familiarized with them. If it is not possible to have the PSCO’s signature on written grounds of
disagreement, an entry shall be made and endorsed with the date, signature and seal of the RS auditor. A copy of the
issued written grounds of disagreement shall be enclosed to the audit report and this is documented in the field “Notes”
of the SMS audit report form 8.1.9. If necessary, the field "Comments" of the SMS audit checklist, form 8.1.6-2 may
be additionally used.
For ships detained in a (the) Russian port(s) and flying the RF flag, both the disagreement with the actions
of the Port State Control and the essential cause(s) of the detention are documented in Russian. In all other cases, in
English. At the Company's / ship's / PSCO's request the English text of the wordings may be accompanied with the
translation into Russian.
4.7 RHO MMS Division response to detention of ships by PSC / FSI when such ships
have the documents issued by the RS or other authority based on RS audit results
4.7.1 Unless otherwise is prescribed by the Flag Administration and/or Port State Control, the RHO MMS
Division shall act in compliance with the following provisions given in this section of the present Guidelines.
4.7.2 Each fact of justified detention of a ship with the documents issued by the RS or drawn up on the basis
of the RS audit shall be considered as indication of possible major non-conformity in the Company's SMS.
Therefore, upon receipt of the information on detention of such ship, the RHO MMS Division shall do the
following:
1) Estimate nature and scope of SMS non-conformities and/or deficiencies related to ship security;
2) Determine possible reasons of their occurrence;
3) Define methods for their remedy and prevention of recurrence.
4.7.3 The following is also provided in relation to RS ships detention:
1) Bringing up the matters related to verifications / detention of ships by PSC/FSI for discussion on seminars
being held by the RS with the management of shipping companies;
2) Making the information on RS class ship detention / detentions within the preceding 36 months available
to RS employees as well as representatives of shipping companies for which the RS renders its services;
3) Information on each detention of the ship is brought up for review at meetings of the RHO Expertise and
Analysis Center (EAC) where the appropriate corrective and/or preventive actions in relation to ship,
operating Company and/or shipowner are being implemented;
4) The additional audit / audits of the ship and/or shore-based divisions of the Company may be assigned,
if required, as decided by the EAC;
5) The managers of shipping companies with the poor ship detention history may be invited to the EAC
meetings in order to implement the joint actions to prevent Company's ships detention.
4.7.4 The initial information on a ship detention may be received by the RHO MMS Division from the RS Branch
Office, RHO PSC Affairs Department (hereinafter referred to as the RHO Department 342), Flag Administration, Port
State Control, Company, ACS, other concerned parties as well as from mass media.
4.7.5 Upon receipt of the information on a ship detention, the RHO MMS Division, if necessary, informs the
RHO Department 342 and performs the review taking into account the following:
1) Applicable requirements of the Flag Administration;
2) Comments / requirements of Port State Control;
3) RS position with regard to detentions of the audited ships;
4) Number of this ship detentions within the current 12 months;
5) Total number of detentions of the Company's ships within the current 12 months;
6) Registered ISM Code non-conformities and/or ISPS Code deficiencies including those being the ground for
this ship detention;
7) RS responsibility (RSR) among the reasons of this ship detention.
4.7.6 Based on the results of this review, the RHO MMS Division shall record the cases of detention of ships
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by Port State Control and/or Flag State Control if such ships carry on board the documents prescribed by the ISM
Code and/or ISPS Code issued by the RS or another authority upon results of the RS audit.
4.7.7 The first justified detention of a ship within the current 12 months
4.7.7.1 In case of the first justified detention of the ship within the current 12 months, the RHO MMS Division
shall request the Company to provide information on this detention, report(s) of Port State Control and/or Flag
Administration as well as corrective action plan as per the form established by the Company, including the performed
correction and corrective actions (see also paras 6.7.16 and 6.7.19) for deficiencies issued by the Port and/or Flag
State Control Officers.
4.7.7.2 Based on the information received the need for the additional audit of the Company’s shore-based
divisions and/or detained ship shall be determined.
4.7.7.3 Documents on the ship detention shall be reviewed and generalized by the RHO MMS Division. The
review results, if necessary, shall be brought to notice of the RS Branch Offices.
4.7.8 Repeated justified detention of a ship within the current 12 months
4.7.8.1 In case of repeated justified detention of a ship within the current 12 months the RHO MMS Division in
addition to the documents specified in para 4.7.7.1 shall demand the Company’s request for an additional audit of the
detained ship.
The request for an additional audit of the Company’s shore-based divisions may be also required in cases
given in para 4.7.9.
4.7.8.2 The RHO MMS Division shall arrange the additional audit of the Company and/or ship performed by the
employees of the RHO or the RS Branch Office, in which area of activity the ship to be audited is located.
4.7.8.3 Based on satisfactory results of the additional audit of the detained ship and/or Company's shore-based
divisions, the RHO MMS Division shall verify the validity of the appropriate document (DOC, SMC and/or ISSC), see
also subpara 14 of para 4.3.1.2.8.
4.7.8.4 When the ship is found to be detained for 3 (three) or more times within the current 12 months, the RHO
MMS Division shall proceed as per para 4.7.11 of this Guidelines, and, if necessary, apply to the Flag Administration
for additional instructions regarding this Company and/or ship.
4.7.9 Justified detention of a ship related to the ISM and/or ISPS Code
4.7.9.1 In case of justified detention of a ship related to the ISM and/or ISPS Code, the RHO MMS Division shall
request the Company to provide the documents specified in para 4.7.8.1.
4.7.9.2 The RHO MMS Division shall define the RHO or RS Branch Office, as well as the RS auditor(s) who
participated in the last audit of the detained ship for compliance with the ISM and/or ISPS Code, terms of the audit
and whether non-conformity / failure / observation note(s) was(were) issued upon its results.
This information shall be submitted to the RHO Quality Assurance Division (410) and PHO
Department 342.
4.7.9.3 To confirm the fact of major non-conformity (deficiency) downgrading or remedy, an additional audit of
the ship related to its detention, if feasible, shall be carried out before its departure from the port of detention.
4.7.9.4 When justified, for example, by detection of non-conformities related to activity of the Company's shore-
based divisions, or by the relevant RS's auditor recommendations, taking into the account the applicable requirements
of the Flag Administration, the RHO MMS Division may assign the additional audit of the Company's shore-based
divisions.
4.7.10 Justified detention of a ship related to the ISM and/or ISPS Code and the RS
responsibility (RSR)
4.7.10.1 In case of justified detention of a ship related to ISM and/or ISPS Code and the RS responsibility, the
RHO MMS Division, in addition to the actions specified in para 4.7.7 jointly with the RHO Department 342 shall review
the non-conformities and/or deficiencies related to the RSR to define its justification and relation to this category.
The RHO MMS Division jointly with the RHO Department 342 shall initiate the procedure for appeal in
case the PSCO's decision is considered insufficiently justified.
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4.7.11 The RS position regarding ISM Code additional audit of the Company's shore-based
divisions
4.7.11.1 Additional audit of the Company's shore-based divisions against the ISM Code may be assigned in case
of the repeated ship detentions.
Unless otherwise is provided by the Flag administration and/or Port State Control, the RHO MMS Division
shall demand an additional audit of the Company's shore-based divisions as per Table 4.7.11.1
Table 4.7.11.1
Number of the Company's ships up to from 6 to from 11 to from 21 to 41 ships

having SMC issued by the RS 5 ships 10 ships 20 ships 40 ships and more
Number of detentions of the

Company's ships within the current 2 3 5 7 10
12 months
4.7.11.2 In case when the Company does not have any DOC issued by the RS, but detentions of a ship(s) having
onboard documents issued by the RS or drawn up by the authority on the basis of the RS audit are observed, the RS
shall apply for assistance of the authority that issued the DOC to perform an additional audit of such Company's shore-
based divisions.
The RHO MMS Division, on a case-by-case basis, reserves the right to demand or not demand an
additional audit of the Company's shore-based divisions with regard to review of causes for its ship detention, SMS
effective operation as well as the number and nature of deficiencies identified.
4.8 Measures to be taken by the Company which ship has been detained
4.8.1 The Company is recommended to immediately inform the RHO MMS Division as well as the RS Branch
Office performing technical supervision of the detained ship by telephone, fax or e-mail and to report information on
the ship, place of its detention, known circumstances and details, and send a report(s) of Port State Control or Flag
State Control.
4.8.2 The Company shall promptly make the internal investigation as regards each fact of its ship detention
and develop the appropriate measures both to correct the identified non-conformities resulted in its ship detention and
to prevent recurrence of similar non-conformities and subsequent ships detention. The developed measures as well
as review of detention causes shall be submitted to the RHO MMS Division within the terms as specified by the RS.
Such investigation is aimed to find the SMS elements, which deficiencies have resulted in or could result
in this detention.
4.8.3 If the RHO MMS Division assigns an additional audit of the ship and/or Company's shore-based divisions,
the Company is to send the appropriate request / requests as per forms 8.1.5-1 and/or 8.1.5-2 as regards the ISM
Code and/or form 8.4.5 as regards the ISPS Code available on the RS website within the specified terms.
4.8.4 In case the Company and/or ship has not been submitted to additional audit within the agreed terms
without reasonable excuse, the RHO MMS Division upon agreement with the Flag Administration initiates the
procedure for withdrawal of the DOC, SMC and/or ISSC.
4.8.5 During the additional audit related to the ship(s) detention(s), the Company shall provide the RS auditor(s)
with the results of analysis of the detention(s) causes as well as the developed measures both to correct the identified
non-conformities resulted in ship detention and to prevent the similar non-conformities and subsequent ship
detentions.
4.9 Actions of the RS Branch Office, in which area of activity the port of the ship
detention is located
4.9.1 Upon receipt of the information on a ship detention (notice of the Port State Control, message of the ship
Master or agent, mass-media statement, etc.), the RS Branch Office, in which area of activity the port of the ship
detention is located, shall promptly inform the RHO MMS Division on such a matter, and, if this information is available,
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on the requirement(s) of the Port State Control and/or Flag State Control for additional audit of the ship for compliance
with the ISM Code, ISPS Code before departure from the port of detention.
4.9.2 The RS Branch Office, in which area of activity the port of the ship detention is located, shall perform its
additional audit under Authorization of the RHO MMS Division (see also para 4.6.3).
4.9.3 During the additional audit related to the ship detention, and preparation of the report, the RS auditors(s)
shall use the form 8.1.9-1 – "Appendix to report on investigation of the ship’s detention, analysis of non-conformities
and actions taken by the Company" and do the following:
1) Define system causes of the technical or other non-conformities specified in the PSCO report(s),
irrespective of the code(s) assigned to the PSCO report(s). Not limited to the following, examples of such
causes may be the following: Absence of the Company's SMS procedure(s), their non-fulfillment or formal
fulfillment, lack of Company's control, insufficient crew qualification, absence of certain crew members’
motivation in execution of SMS procedure(s), etc.;
2) Accurately define the SMS procedure(s) which absence, non-fulfillment or formal fulfillment resulted in
ship(s) detention(s);
3) Define extent of the Company and/or ship personnel liability;
4) Accurately determine the major cause of each detention (ground for detention) to make it clear to another
party reviewing the report;
5) Describe actions of the Company and/or ship personnel for correction of PSC definition(s), elimination of
detention(s) cause(s) as well as supposed terms of their execution.
4.9.4 In case of deficiencies referred by Port State Control Officer(s) to the RS responsibility (RSR), the RS
auditor shall carry out thorough review of such deficiency to define its justification of its setting and relation to this
category.
4.9.5 When at the port of the ship detention, the RS auditor(s) do(es) not agree with the decision of Port State
Control Officer(s), he(they) shall make all the efforts to appeal against this decision.
4.9.6 If the matter on revising decision of Port State Control Officer(s) regarding the reference of the detention
causes to the RS responsibility can not be settled at the port of the ship detention, the Lead Auditor shall submit the
reasoned position of his Branch Office to the RHO MMS Division in a written form.
4.10 Annex 4. SHIP TYPES ON ISM CERTIFICATES
4.10.1 Determination of ship types to be listed on DOCs and SMCs
4.10.1.1 The ship types listed on DOCs and SMCs shall be consistent with the specific ship types defined in
SOLAS-74 and on pertinent SOLAS-74 documentation aboard ship.
4.10.1.2 The ship types listed on DOCs and SMCs shall be consistent with the service in which the ship operates.
Some ships are designed for use in multiple services (for example OBOs). The ship types listed on the DOC and SMC
must reflect the service(s) in which the ship is actually trading and fit to serve.
4.10.1.3 In the event that a multipurpose ship is voluntarily operated in only one of the services for which it is
designed, then the DOC and SMC should list only the ship type corresponding to that service. When a ship is
transferred to another service for which it is designed, an interim DOC and SMC identifying the ship type appropriate
to the new service may be issued. Subsequent to satisfactory verification of the ship’s operation under a fully functional
SMS for the additional ship type, the DOC and SMC may be reissued listing the pertinent ship types.
4.10.2 Retention of ship types on DOCs
4.10.2.1 The auditor shall determine at each annual audit of the Company, the ship types operated by the
Company at the time of the audit. If the auditor discovers that the Company no longer operates a ship type listed on
the DOC, the auditor is to document an observation, and formally (documented) request the Company to inform the
issuing Classification Society should it not operate the identified ship type for a period exceeding one year. Upon
receipt of this advice, the DOC shall be re-issued, no longer listing the ship type that is no longer operated.
The identified observation is documented in the field “Remarks” of the Company's SMS audit report form
8.1.9. If necessary, the field "Comments" of the SMS audit checklist, form 8.1.6-1 may be additionally used.
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4.10.2.2 If during an audit, the documents are submitted certifying that the Company is not longer operating the
ship type listed in the DOC or ships flying the flag of an appropriate state, less than 12 months before the date of the
audit completion and the Company is planning to operate this ship / ships within the next year, the copies of these
documents shall be enclosed to the audit report.
4.11 Annex 5. COMPANY CERTIFICATION SCENARIOS
Carried
Scenario Type of audit Minimum scope of audit Certificate issued
out by
1 Change of Audit on site - Verify that Company Auditor Reissue DOC with
Company name organization and responsibilities new name and/or
and/or address remain essentially unchanged. address (expiry date
- Ensure that necessary as previous
changes have been made to certificate)
SMS documentation.
(the DOC-related
- Verify that changes have
SMCs are reissued
been reported to flag(s) to
concurrently)
update the CSR for each vessel.
2 Change to RS Initial audit - Audit to address all elements Auditor Full-term DOC
from a of the ISM Code. valid 5 years from
Classification - All corrective action to be the date of audit
Society not verified and previous NCNs to be
holding a QSCS closed out by the gaining
certificate society.
3 Additional ship Interim audit on site - Review changes to SMS to Auditor Interim DOC for new
type on DOC accommodate new ship type. ship type
- Review plans to implement
changes (minimum of 1 ship
required).
DOC
4 Change from Additional audit on - Verify additional requirements Auditor
(expiry date as for
Interim DOC to site for ship type have been
existing ship type)
full DOC in implemented.
Scenario 3
- Review results of internal audit.
5 Minor change to Verify at next audit - Assess potential impact on Auditor No action
SMS SMS when advised and decide
whether visit is required.
6 Major change to Audit on site - Verify changes are Auditor No action
SMS appropriate and adequate for
new circumstances.
7 Additional flag Verify at next audit - Verify availability of flag state Auditor If accepted by Flag,
instructions and their issue DOC (expiry
incorporation into the date as other Flags)
management system.
Note: The above shall apply in the absence of any instructions to the contrary from the Flag
Administration.
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Issue: 2015
4.12 Annex 6. SHIP CERTIFICATION SCENARIOS
Carried out
by
1 Change of Verification on Verify correct name on all Auditor or Change name on

Name board Certificates and Documents. Surveyor existing SMC OR
change name and
Note: Must be amended by
subsequently issue
issuing RO or by special
replacement
arrangement.
certificate
2 Change of Flag Verification on - Valid DOC for new flag Issuing Issue replacement
board sighted. Classification SMC (expiry date as
- Evidence of Owners Society previous certificate).
information to new Flag Auditor or
sighted. Surveyor
- Valid statutory
certificates, safe manning
certificate and Flag
endorsement.
- Verification of crew
certification compliance with
Flag requirements.
- Masters awareness of,
and availability of any
relevant Flag Regulations.
3 Change of ship Interim audit on - Review documentation Auditor Interim SMC
type with new board and plans for implementation
shipboard of procedures relating to
operations operation of new ship type.
- Check valid statutory
certificates and crew
qualifications comply with
STCW.
Interim SMC (in
4 Adding IMO ship Interim audit on - Review documentation Auditor
addition to existing
Type (e.g. from board and plans for implementation
SMC)
bulk carrier to of procedures relating to
OBO) operation of new ship type.
- Check valid statutory
certificates and crew’s
qualifications.
5 Change to RS Initial audit Audit to address all elements Auditor Issue SMC
from a of the ISM Code. (maximum 5 years
Classification from date of audit)
Society not
holding a QSCS
certificate
6 Change of ship Audit on board Evidence of surrender of Auditor or Amend SMC to
Type, dual to SOLAS or MARPOL related Surveyor reflect new ship type
single (e.g. OBO certificates for the original (Auditor or
to oil tanker) ship type. (e.g. surrender of Surveyor), and
IOPP Supp B when going subsequently issue
from OBO to bulk on replacement
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Issue: 2015
Carried out
by
permanent basis). certificate (RHO
MMS Division) (same
expiry date)
7 Ship more than Interim verification - Interim verification Auditor Issue Interim SMC
6 months out of
service
Intermediate
8 Intermediate audit - Scope extended to that Auditor The reinstated SMC
audits requested
of initial to be endorsed as
after the end of
- Major NC raised that may "Validity reinstated
the audit time
be downgraded based on with scope as initial5"
window
completion of audit
- Additional audit within 3
months required
Note: The above shall apply in the absence of any instructions to the contrary from the Flag
Administration.
4.13 Annex 7. Notification of Invalidation of ISM Certification
4.13.1 Based on the example given in Annex 7 to PR No.9, the MMS Division has developed the form 8.1.22 –
''Notification of Invalidation of ISSC Certification'' (created using the ISM/ISPS Software System).
4.14 Annex 8. VERIFICATION OF COMPLIANCE WITH FLAG ADMINISTRATION
REQUIREMENTS
4.14.1 Unless otherwise instructed by the administration, auditors will verify compliance with particular flag state
requirements by sampling in the same way that compliance with other mandatory requirements is verified.
4.14.2 The same approach will be adopted when a ship changes flag. Compliance with any special requirements
that are imposed by the new flag will be verified by sample at the next scheduled audit. An audit for the issue of an
interim certificate in relation to any additional flag state requirements, followed by verification of full implementation,
will be carried out only when specifically requested by the administration concerned.
4.14.3 Where flag administrations require routine verification of compliance with specific flag state requirements
at every scheduled audit, either on board or ashore, the classification societies will make an estimation of, and reach
agreement on, the additional time that will need to be added to the usual audit duration. The flag administration will
then be informed of the outcome and the fact that the audit duration will be increased accordingly.
4.14.4 For SMS audit checklists considering requirements of the appropriate Flag Administrations, see the List
of Electronic Forms of RS Documents.
5 RS responses to SMS possible non-conformities registered

according to IACS PR No. 17
5.1 ND No. 2-030101-009-E – ''Guidelines on Technical Supervision of Ships in Service'' (see para 4.2.4),
Part III contains the requirements of the Procedure for Reporting by Surveyors of Deficiencies Relating to Possible
Safety Management System Non-Conformities as per IACS Procedural Requirement No. 17 (hereinafter referred to
as the PR No. 17).
5Entry should be made on the SMC second page, in the field intended for intermediate verification. The entry is
necessary only for the ships entitled to fly the Russian flag.
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Issue: 2015
Subject to these provisions, the RS surveyors, if applicable, shall issue reports on SMS potential non-
conformity. Additionally, the RS may also receive the report on SMS potential non-conformity from ACS.
5.2 The RS surveyors shall issue the report on SMS potential non-conformity as per form 6.3.65.
5.3 The RS's actions to be taken with regard to the received reports on SMS potential non-conformity are
aimed at the following:
1) Estimating the nature and extent of the SMS possible non-conformity;
2) Determining the causes for the SMS possible non-conformity;
3) Prescribing the methods to prevent the SMS possible non-conformity;
4) Prescribing the remedy for a possibly actual SMS non-conformity that has been on fact registered in
accordance with PR No.17.
5.4 The RHO MMS Division shall record and review the information on SMS possible non-conformities
concerning those ships that are under the RS technical supervision and/or have the onboard documents prescribed
by the regulations of the ISM Code issued by the RS or upon results of an audit performed by the RS, MA, IACS or
ACS.
5.5 Upon review results of the received report on SMS possible non-conformity, if necessary, the RHO MMS
Division requests the Company to provide the explanation and/or corrective action plan as per the form established
by the Company.
5.6 Information on SMS possible non-conformities and documents related to further RS actions shall be
registered in the corresponding RHO database.
5.7 The received information shall be reviewed with respect to necessity of an additional ISM Code audit for
the ship subject to the received report on a possible non-conformity, and/or an additional ISM Code audit of the shore-
based division(s) of a managing Company.
In this case the following is taken into account:
- Nature and number of possible non-conformities specified in the report;
- Their causes, if definable;
- If applicable, detention history for the ship and/or ships of the Company;
- Recommendations of the RS / IACS surveyor(s) who issued the report.
5.8 The information on possible non-conformities shall be reviewed and generalized by the RHO MMS
Division on a regular basis. The review results, if necessary, shall be brought to notice of the RS Branch Offices.
5.9 Where such data is available in relation to the ship, for which SMS audit the Authorization is drawn up in
the MMS Division, the appropriate entry, for example, ''PR--17: DD.MM.YYYY'' shall be inserted into the Authorization
being issued. This record indicates that the last report on SMS possible failures for this ship was dated in format
DD.MM.YYYY (DD – day, MM – month, YYYY – year designated in Arabic figures). This information shall be taken
into account when preparing the ship SMS audit (see, for example, para 4.3.5.5).
5.10 In the course of audit when checking information specified in the report(s) the RS auditor shall make sure
that the Company / ship SMS actually contains non-conformity(ies) corresponding to the situations described in the
report(s) on SMS possible non-conformity. In case of non-conformity(ies), the RS auditor shall do the following:
- Define the system causes of technical or other deficiencies specified in the Report(s) Not limited to the
following, examples of such causes may be the following: Absence of the Company's SMS procedure(s),
their non-fulfillment or formal fulfillment, lack of Company's control, insufficient crew qualification, absence
of certain crew members motivation in execution of SMS procedure(s), etc.;
- Define the SMS procedures, which absence, non-fulfillment or formal fulfillment resulted in the situation
described in the Report(s) by indicating them in non-conformity / observation note(s).
5.11 In cases when the document(s) prescribed by the ISM Code for a ship subject to the report on SMS
possible non-conformity has(have) been issued by the Flag Administration, upon agreement with the RHO Department
342, a copy of this report form 6.3.65 shall be directed to the Maritime Administration.
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5.12 In cases when the document(s) prescribed by the ISM Code for a ship subject to the report on SMS
possible non-conformity has(have) been issued by other authorized Flag Administration Authority, upon agreement
with the RHO Department 342, a copy of this report form 6.3.65 shall be directed to the said Authority, if relevant
contact information is known.
6 Procedural Requirements for ISPS Code Certification

Unless otherwise provided in the text, in the present Section of this Guidelines the provisions of IACS
Procedural Requirement No. 24 for ISPS Code Certification are printed in italics and framed. The terms used in the
IACS Procedural Requirement No. 24 such as ''This document'', ''Classification Societies'' and ''Verification'' are
replaced with the terms ''PR No. 24'', ''RS'' and ''Audit'', respectively, for clarity.
Introduction
The PR No.24 provides the RS with the methods and criteria for carrying out Ship Security Plan (SSP)
approvals and for issuing International Ship Security Certificates (ISSCs) to ships following verification by audit that
their security systems and any associated security equipment comply with the requirements of the ISPS Code and the
provisions of the corresponding approved SSPs.
The RS may conduct approvals of SSPs or amendments thereto and verification of SSPs necessary for
issuing an ISSC on behalf of an Administration. Certificates will comply with the format required by the flag
Administration.
6.1 Scope and application
6.1.1 The present Section of the Guidelines establishes the procedures for:
1) review and approval of SSPs;
2) verification of compliance with the requirements of the ISPS Code;
3) issue of interim, full-term ISSCs and renewal of ISSCs;
4) intermediate verification;
5) additional verification;
6) withdrawal of certification.
6.1.2 The present Section of the Guidelines is to be applied by RS when acting as RSO on behalf of
Administrations in the conduct of SSP approvals, audits and the issue of certificates in accordance with the ISPS
Code.
6.1.3 The scopes of the verifications carried out in accordance with this procedure shall be restricted to the
Requirements of SOLAS Chapter IX-2 and the ISPS Code Part A taking into account ISPS Code part B/8.1 to 13.8.
6.1.4 For minimum requirements relating to non-routine ISPS Code certification scenarios, please refer to
Annex 1 (see 6.14 of this Guidelines. ).
6.2 Definitions
6.2.1 Auditor means a person duly qualified and authorized for SSP approval and ISPS Code audit in
accordance with PR No. 10.
6.2.2 Convention means the International Convention for the Safety of Life at Sea, 1974 as amended.
6.2.3 ISPS Code means the International Ship and Port Facility Security Code, (consisting of Part A and
Part B), as adopted by the IMO.
6.2.4 Ship Security Assessment (SSA) means an exercise carried out to identify possible threats to key ship
board operations and the likelihood of their occurrence and an evaluation of existing security measures and
weaknesses in the infrastructure, policies and procedures.
6.2.5 Ship security plan (SSP) means a plan developed to ensure the application of measures on board the
ship designed to protect persons on board, cargo, cargo transport units, ship’s stores or the ship from the risks of a
security incident.
6.2.6 Security System means the system in place on board the ship, which implements the procedures,
documentation and required records that are examined to verify compliance with the requirements of the ISPS Code.
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6.2.7 Security Equipment means equipment used in the implementation of the security measures specified in
the SSP.
6.2.8 Company Security Officer (CSO) means the person designated by the company for ensuring that a ship
security assessment is carried out; that a ship security plan is developed, submitted for approval and thereafter
implemented and maintained, and for liaison with the Port Facility Security Officer (PFSO) and the Ship Security Officer
(SSO).
6.2.9 Ship Security Officer (SSO) means the person on board the ship, accountable to the Master, designated
by the Company responsible for ensuring the ship security, as responsible for the security of the ship, including
implementation and maintenance of the ship security plan, and for the liaison with the Company Security Officer
responsible for security, as well as with the Port Facility Security Officer (PFSO) responsible for security
6.2.10 Security incident means any suspicious act or circumstance threatening the security of a ship, including
a motive offshore drilling unit and high-speed craft, or a port facility or of any ship / port interface or any ship-to-ship
activity.
6.2.11 Security Level means the qualification of the degree of risk that a security incident will be attempted or
will occur.
6.2.12 Security Level 1 means the level, for which minimum appropriate protective security measures shall be
maintained at all times.
6.2.13 Security Level 2 means the level, for which appropriate additional protective security measures shall be
maintained for a period of time as a result of heightened risk of a security incident.
6.2.14 Security Level 3 means the level, for which further specific protective security measures shall be
maintained for a limited period of time when a security incident is probable or immanent, although may not be possible
to identify the specific target.
6.2.15 Regulation means a regulation of the Convention SOLAS, 1974.
6.2.16 Chapter means a chapter of Convention SOLAS, 1974.
6.2.17 Section means a section of the ISPS Code Part A.
6.2.18 Paragraph means a paragraph of the ISPS Code Part B.
6.2.19 Ship when used in the ISPS Code, includes self-propelled mobile offshore drilling units (MODU) and high-
speed craft as defined in regulation XI-2/1 SOLAS-74.
6.2.20 Failure means the non-fulfillment of a specified requirement that does not compromise the ship’s ability
to operate at security levels 1, 2 and 3. It may also be referred to as a Non-conformity.
6.2.21 Major Failure means the non-fulfillment of a specified requirement that compromises the ship's ability to
operate at security levels 1, 2 or 3. It may also be referred to as a Major Non-conformity.
6.2.22 Observation means a statement of fact made during an audit and substantiated by objective evidence. It
may also be a statement made by the auditor referring to the SSP which, if not corrected, may lead to a Failure in the
future.
6.2.23 Verification is confirmation through the evaluation of objective evidence that specified requirements have
been fulfilled (See also paragraph 6.26 in this section).
6.2.24 Recognized Security Organization (RSO) means an organization authorized by a Contracting
Government in accordance with SOLAS Chapter X1-2/1.166. When "Classification Society" is used in this Procedural
Requirement, it is always intended as "Classification Society acting as RSO".
6 The following definition is given in SOLAS-74, Chapter XI-2, Regulation 1.16:

"Recognized Security Organization means an organization with appropriate expertise in security matters and with
appropriate knowledge of ship and port operations authorized to carry out an assessment, or a verification, or an
approval or a certification activity, required by this charter or by part A of the ISPS Code."
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6.2.25 Ship Security Alert System (SSAS) means a system installed on board either interfaced with another
onboard radio and/or navigational installation, or self-contained (abbreviated to SSAS-SC in this document) that
complies with the functional requirements of SOLAS XI-2/6.2 - 6.4, and the performance criterion of specified of IMO
MSC.147(77).
6.2.26 Audit means a process of systematic and independent verification by obtaining objective evidence to
determine whether the ship security related activities comply with the ISPS-Code and the planned arrangements of
the SSP and whether these arrangements are implemented effectively to achieve the objectives of the ISPS-Code.
Any capitalized terms used in this Procedure, which are not defined above, have the meanings given
them in the Convention SOLAS-74.
6.3 Criteria for verification
6.3.1 Criteria for verification of compliance with the requirements of the ISPS Code shall be in accordance with
the applicable sections of the SOLAS XI-2 and the ISPS Code Part A.
6.3.2 The RS performing verification of compliance with the requirements of the ISPS Code shall meet the
requirements of MSC/Circ.1074 Appendix 1, paragraphs 3 to 5.
6.3.3 If RS has been involved in either the conduct of the SSA or the development of the SSP or any
amendments for a specific ship, that RS shall not, due to potential conflict of interest, approve the SSP or conduct
verifications for the certification of the ship.
6.3.4 The RS that approves a SSP or issues an ISSC shall have implemented a documented system for the
qualification and continuous updating of the knowledge and competence of auditors who perform such approvals or
verifications in compliance with PR No. 10.
6.3.5 Only auditors who are qualified as required by PR No.10 shall carry out approvals and verifications.
6.3.6 The RS that approves a SSP or issues an ISSC shall have implemented a documented system for the
performance of the processes involved in accordance with this Procedural Requirement. This system shall, inter alia,
include procedures and instructions for the following:
1) the establishment of contract agreements with Companies in respect of their ships;
2) the scheduling and performance of SSP approvals and verifications;
3) the reporting of the results of SSP approvals and verifications;
4) the issue of interim and full term ISSC certificates.
6.3.7 The entire SSP approval and implementation audit process shall verify:
1) that the SSP and any amendments are appropriate to the three security levels defined by the ISPS
Code;
2) that the SSP is complaint with the ISPS Code;
3) that the SSP is being effectively implemented on board.
6.4 Obligations of the Company
6.4.1 Where the verification of an SSP is to be carried out by a RSO which did not carry out the SSP approval,
the Company shall provide, if requested by the RSO, a copy of the SSA report and the SSP prior to the verification
audit on board.
6.4.2 The Company shall carry out internal audits and reviews of security activities at least once every 12
months on board each ship.
6.4.3 The Company and the ship are to maintain records of external security verifications for a minimum period
of five (5) years.
6.4.4 Any amendments made to the security system, the security equipment or the SSP and that are related to
the requirements of ISPS Code A/9.4.1 to A/9.4.18, must be submitted to the Classification Society for review and
approval.
6.4.5 At the initial installation of the SSAS, the Company shall take the appropriate measures to allow the
approved Radio Technician to test and issue a report on the equipment’s compliance with the requirements of
SOLAS-74, Regulation XI-2/6, paragraphs 2 to 4. A SSAS-SC may be tested and reported on by the SSO.
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6.4.6 Following the initial installation of the SSAS, the Company is responsible for:
- testing and maintaining the SSAS to satisfy operational requirements according to the approved SSP;
and;
- maintaining on board the SSAS records specified in ISPS Code A/10.1.10.
6.4.7 The RS in its activity uses the following forms of application for ISPS Code audit:
- Form 8.4.5 – Request for ISPS Code Audit;
- Form 8.4.6 – Questionnaire on conformity between SSP and ISPS Code requirements (to be enclosed to
the Request where SSPs or amendments thereto are to be approved).
The request to be sent shall be drawn up with the use of effective forms.
6.4.8 The further actions of the RS employees in relation to the ISPS Code audit requests are similar to those
mentioned in para 4.2.3.1 to 4.2.3.9 of this Guidelines.
6.4.9 The ISPS Code request identification number is as follows: No.15.0010.041 where:
- 15 – last two figures of the year (2015) when the request was registered;
- 0010 – serial number of the request according to the record book (each request is assigned with a unique
identification number);
- 041 – code indicating that the request relates to ISPS audit activities;
- In case when the RHO decides that the RS Branch Office's employees shall be engaged in activities, the
Authorization is prepared as per form 8.4.23 (to be created using the ISM/ISPS Software System). The
Authorization has the same registration number as the request, for which execution it is prepared.
6.5 Ship Security Plan Approval
6.5.1 The Company is to prepare and submit to the RS a SSP for each ship. This SSP is to be reviewed and
approved on behalf of the Flag Administration.
6.5.2 Unless otherwise specified by the Administration, all changes to an approved SSP related to the
requirements of ISPS-Code A/9.4.1 to A/9.4.18 should be reviewed and approved before implementation by the RSO
that approved the SSP. The SSP and the amendments are to be accompanied by the SSA from which they were
developed.
6.5.3 The SSP shall be developed in accordance with the requirements of ISPS Code Part A taking into account
ISPS Code B/8.1 to 13.8, and shall be written in the working language, or working languages, of the ship. If the
language, or languages, used is not English, French or Spanish, a translation into one of these languages shall be
included. The RS undertaking the approval shall only consider the version of the SSP written in English.
6.5.4 When reviewing and approving a SSP, the auditor shall verify that the Company has taken into account
relevant security-related guidance and best management practices, including the latest IMO Circulars concerning
piracy, hijacking and armed robbery.
6.5.5 When the Classification Society approves the SSP and any amendments it should retain, as a minimum,
a copy of the:
1) Letter of SSP Approval;
2) SSP title page;
3) SSP index;
4) Revision history of the SSP.
The title page shall be stamped as APPROVED. All other pages of the SSP should be marked to indicate
review. The approved SSP shall be held on the ship.
6.5.5.1 The APPROVED stamp is additionally certified by the RS auditor's signature and seal. All other pages of
the approved SSP / amendments thereto may be certified only with the RS auditor's seal. Except for copies of the
pages mentioned in para 6.5.5, no other pages of the approved SSP and/or amendments thereto are kept in the RS.
6.5.6 The RS that approves an amendment to an SSP shall determine whether any additional verification is
required relating to its implementation.
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6.5.7 Where a Company has its SSP in electronic format, the RS may issue a Letter of Approval and retain a
printed copy of the pages noted in 6.5.5 (2) to (4) of this Guidelines which shall be marked to indicate approval.
6.5.7.1 The RS approves the SSP only if the SSP is provided in a hard copy.
During this process, the RS uses the checklist on the analysis of the ship security assessment report,
SSP review and approval for compliance with the requirements of the ISPS Code, form 8.4.6-5.
6.5.8 During the certification period, the RS shall not approve amendments to a SSP approved by another RSO
or an Administration.
6.5.9 Evidence should be sought that the Company Security Officer (CSO) has received training in accordance
with ISPS Code A/13.1. If evidence is not provided by the Company or if there is objective evidence that the CSO has
not received such training, the auditor should inform the Company and the relevant Classification Society. When
applicable, the information should then be passed to the Classification Society (or Societies) that issues the ISSCs to
the Company’s ships for consideration at the shipboard audit.
6.5.9.1 Upon satisfactory results of the SSP review, the RS issues the Letter of the Ship Security Plan Approval
(form 8.4.7). The records in the issued PAL shall be legible. The fields of the specified form may be filled in by hand.
6.5.9.2 Durind the verification of ships flying the flag of the Russian Federation, the PAL is drawn up both in
Russian and English. For ships flying other flags - only in English.
6.5.9.3 The Letter of the Ship Security Plan Approval is assigned an appropriate registration number, for
example, “15.001.041”, in which first two figures (15) designate a year of issue, the following three figures (001) mean
a serial number as per the relevant record book, and the last three figures are the code of the RHO Department / RS
Branch Office issuing the document. If the SSP review was carried out by a specialist of the RHO MMS Division, the
code "041" is used for the third part of the number. Different numbers are assigned to different documents.
In other respects, the procedure of filling-in fields of form 8.4.7 is similar to that described in para 4.3.1.2.8.
The PAL is certified by the signature and seal of the RS auditor who reviewed the plan.
6.6 Audit of ships
6.6.1 Audits for the issue or renewal of ISSCs shall consist of the following steps:
1) Verification that an approved SSP is on board;
2) Verification through a representative sample that the security system is being implemented effectively;
3) Verification that all security equipment specified in the SSP complies with applicable requirements;
4) Verification that all security equipment specified in the SSP, including the ship security alert system
(SSAS), is operational.
6.6.1.1 Initial, intermediate and/or renewal audits of the ship security are conducted by the RS with the use of
ship security audit checklist (form 8.4.6-2).
6.6.2 Initial, Intermediate and Renewal audits shall be performed only under normal operating conditions and
when the ship is fully manned in accordance with the Safe Manning Certificate.
6.6.3 The auditor shall verify the effective implementation of the approved SSP and its documented procedures
based on objective evidence obtained by interviews, inspections, review of documents and examination of records.
6.6.4 Following the initial installation of the SSAS, the Classification Society may approve the related provisions
in the SSP and verify, by audit and the witnessing of a complete security alert test, the effective implementation of
those provisions. Confirmation that the SSAS complies with the requirements of paragraphs 2 to 4 of SOLAS XI-2/6
will be found in the Radio Technician’s report (or the SSO’s report, in the case of a SSAS-SC).
6.6.5 At each subsequent scheduled audit the auditor shall examine the records of the testing of the SSAS,
identify the SSAS activation points and verify the effective implementation of the procedures, instructions and guidance
relating to the SSAS as specified in A/9.4.18.
6.6.6 Intermediate and renewal audits shall include a review of Failures reported following previous audits. The
auditor shall select a sample of the reported Failures and verify that the company is investigating, analyzing and
resolving them effectively and in a timely manner.
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6.6.6.1 If applicable, during verification of the ship security with a valid ISSC on board, the auditor shall, inter alia:
1) Examine the objective evidence to make sure that the actions taken are effective, and confirm that the
non-conformities identified during the previous audit have been corrected by signing part III of each
verified original Failure Note (FN), form 8.4.8 with completed parts I and II, and by certifying his signature
with the seal of the RS auditor and indicating the confirmation date;
2) Confirm elimination of the failure by filling in the appropriate field of the ISPS Code report, form 8.4.9
page ''Review results of SSP / amendments'' and/or '''Ship security audit results'');
3) Enclose a copy of each confirmed FN to the ship security verification report.
6.6.7 The auditor has the authority to ask for information from any other RSO or, if relevant the Administration,
in order to check the accuracy of the information provided by the Company.
6.6.8 Where the audit of a ship is to be carried out by a Classification Society that did not carry out the SSP
approval, the RS may review the SSP either at, or prior to, the audit on board.
6.7 Failures and corrective action follow-up
6.7.1 Audit findings shall be reviewed by the auditor(s) in order to determine whether they should be reported
as Major Failures, Failures or Observations.
6.7.2 At the end of the Audit, the auditor(s) shall hold a meeting with the senior management of the ship and
those responsible for the functions concerned. The purpose is to present Major Failures, Failures and Observations
to the ship’s management in such a manner that they are clearly understood.
6.7.3 Failures shall be raised against the corresponding requirement of the ISPS Code, the relevant sections
or paragraphs of the SSP and any specific Flag State requirements.
6.7.4 An ISSC is not to be issued or renewed if a Major Failure exists. Immediate action is required to restore
compliance. The auditor shall verify the implementation of these measures before the ship sails and a schedule for
the implementation of corrective action shall be agreed between the Company and the auditor to prevent recurrence.
At least one additional audit shall be carried out within the period agreed for the corrective action.
6.7.5 An ISSC shall not be issued or renewed until all identified Failures have been resolved and compliance
has been restored. In addition, depending on the nature and seriousness of the Failure identified, a schedule for the
implementation of preventative action may need to be agreed between the Company and the auditor to prevent
recurrence. Additional audits may be carried out as necessary.
6.7.6 An ISSC shall not to be endorsed if a Major Failure exists. Immediate action is required to restore
compliance, thereby permitting the Major Failure to be down-graded. The auditor shall verify the implementation of
these measures before the ship sails and a schedule for the implementation of corrective action shall be agreed
between the Company and the auditor to prevent recurrence. At least one additional audit shall be carried out within
the period agreed for the corrective action.
6.7.7 An ISSC may be endorsed following identification of a Failure, provided that a schedule has been agreed
between the Company and the auditor for the completion of corrective action to restore compliance and to prevent
recurrence. Additional audits may be carried out as necessary.
6.7.8 Any failure and/or observation contributing to improvement of the ship security identified in the course of
audit is drawn up in the RS as a separate failure / observation note.
6.7.9 Any failure / observation note, form 8.4.8 shall be identified through assignment of a unique number made
up of three parts separated by the point, for example, “15.00101.041”, which first part (15) is made of two figures
coinciding with the last two digits of the calendar year. The second part of the number (00101) is made of five figures,
where the first three figures (001ХХ) coincide with the first three figures of the second part of the Report on the Ship
Security Plan (SSP) Approval (see para 6.10.9), while the last two figures (ХХХ01) mean the through serial number
of failure / observation found in the course of this audit. The third part of the number means three-digit code of the
RHO Department or RS Branch Office, which has performed this audit. If the ship security audit was carried out by a
specialist of the RHO MMS Division, code "041" is used for the third part of the number. Different numbers are assigned
to different failure / observation note.
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In this case:
- For registration of both the failure and the observation the through numeration of drawn up reports may
be used;
- In the field “the wording of finding (objective evidence)” the specific identified fact(s) which form grounds
for identification of failure are indicated;
- The wording of failure / observation shall be clear and explicit and written in such a way as to be
understandable for the other party reviewing the report. Additionally, the drawn up FN shall contain
references to the applicable ISPS Code paragraphs, sections or paragraphs of Ship Security Plan and
specific requirements of Flag Administration which provisions are found not fulfilled;
- Non-conformities shall be identified as regards deficiencies in security system operation but not to specific
persons, positions and divisions of the Company.
6.7.10 If feasible, it is recommended to specify references to applicable paragraphs of the ISPS Code, the
relevant sections or paragraphs of the SSP and any specific Flag State requirements when drawing up observation
note.
As to this observation, it shall be duly noted that failure may occur in the SMS. To avoid such a situation,
it is expedient that the Company / ship shall develop and undertake preventive actions based on documented
observations.
6.7.11 If applicable, in the relevant field of the failure report, if applicable, the measures taken by the
Company / ship for downgrading the major failure shall be indicated.
6.7.12 When wording the failure, it shall be taken into consideration what actions for correction and corrective
actions the Company is capable of implementing to remedy and also to prevent its recurrence. Therefore, prior to
recording the failure in the relevant field of the FN, it shall be discussed at least with the ship management.
6.7.13 During the verification of ships flying the flag of the Russian Federation, the finding as well as failure /
observation are recorded in Russian. Where necessary, allowed the use of two languages (English and Russian). For
ships flying any other flag, in English. At the Company's / ship's request the English text of the wordings may be
accompanied with the translation into Russian.
6.7.14 Part I of the failure / observation note (corrective plan action) is filled in and signed by the Company /
Ship Representative and RS Lead Auditor, who certifies his signature with the RS Auditor's seal.
The Company shall review reasons of failure(s), correct the failure and develop corrective actions. In this
case, the Company shall fill in part II (corrective action plan) of the FN.
In case of signing the FN during the audit, the Company Representative shall fill in part II of the FN.
6.7.15 Part II of FN shall be signed by the authorized Company / Ship Representative.
6.7.16 The FN with completed parts I and II (corrective action plan) shall be submitted to the auditors of the RHO
MMS Division (e-mail: ism.dept@rs-class.org, fax: (+7 (812) 380-19-58)) after eliminating failures (correction or
corrective actions), but not later than three months from the FN date.
The Company is entitled to attach the additional materials and/or documents to the plan for confirming
the effectiveness of the corrective actions and measures taken to prevent recurrence of failure(s).
6.7.17 The RHO may forward the request relating to the contents of the received FN(s) with the completed part
II (corrective action plan).
6.7.18 The records in the submitted FN with the completed part II (corrective action plan) shall be legible. The
wordings of corrective actions shall correspond to those of failure and finding.
6.7.19 The time frames for implementation of corrective actions, including, if applicable, additional audit of the
ship security system, shall not exceed three months from the date of the relevant FN.
Implementation of corrective actions within the period exceeding 3 (three) months shall be agreed in
writing with the RHO MMS Division.
6.7.20 If the FN with completed parts I and II (corrective action plan) is sent to the RS Branch Office, this plan
shall be forwarded to the RHO MMS Division by operative communication means.
6.7.21 The FN shall be considered agreed, when no objections and/or inquiry on additional materials are
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submitted from RS to the Company within 10 (ten) working days after its receipt by the RHO MMS Division. The agreed
FN is forwarded to the corresponding ship file.
The effectiveness of the corrective actions is assessed during a subsequent (additional or scheduled)
audit of the ship security system. The Lead Auditor shall sign part III of each verified original FN with completed parts
I and II, certify his signature with the RS auditor's seal and indicate the confirmation date.
6.7.22 Depending on the nature and essence of failure as well as corrective actions suggested by the Company,
effectiveness of their implementation may be assessed during an additional ship security system audit. If this decision
is taken by the Lead Auditor, it shall be drawn up by entering the following:
- Appropriate record to the FN being drawn up;
- Number(s) of FN(s) on which the additional audit is required, in the relevant field of the ISPS Code report,
form 8.4.9.
6.7.23 Failure / observation note(s) are recorded to the ISM/ISPS Code Software System.
After the failure report with completed part II (corrective action plan) prepared using the ISM/ISPS
Software System is approved by the RHO, the appropriate notes are made.
In cases when the additional audit is assigned to evaluate the corrective actions for remedy of failure(s),
monitoring of such failure(s) may be sustained provided that the results of the required additional audit are satisfactory.
6.8 Issuance and endorsement of the International Ship Security Certificate (ISSC)
6.8.1 The ISSC shall be issued after an initial or renewal audit in accordance with para 6.6.1 of this Guidelines.
Upon the results of the audit the RS may issue one of the following ISSC forms:
- 8.4.3 – International Ship Security Certificate;
- 8.4.3-1 – Short-Term International Ship Security Certificate;
- 8.4.3-2 – Ship Security Certificate for ships not covered by SOLAS-74;
- 8.4.4 – Interim International Ship Security Certificate.
6.8.1.1 In case the Flag Administration has established the ISSC form other than mentioned above and
authorized the RS to issue it on its behalf, the RS will issue the ISSC on blank forms relevant to the Administration,
designating the form used as 8.4.3-А or 8.4.4-А, respectively.
6.8.1.2 A registration number is assigned to the ISSC being issued, for example, “15.0001.041”, in which first
two figures (15) designate a year of issue, following three figures (0001) are serial number as per the relevant record
book, last three figures are the code of the RHO department or RS Branch Office issuing the document. If the ship
security audit was carried out by a specialist of the RHO MMS Division, code "041" is used for the third part of the
number. Different numbers are assigned to different documents.
6.8.1.3 In the field Date of the initial / renewal audit on the basis of which International Ship Security
Certificate is issued the date of the closing meeting / initial / renewal audit is indicated (see ship security audit report,
form 8.4.9).
In other respects, the procedure of filling-in of each form is similar to that described in para 4.3.1.2.8.
The MMS Division is in charge of checking terms of validity / endorsement of ISSCs.
6.8.2 The “type of ship” to be entered on the ISSC shall be those as defined in SOLAS Chapter IX Regulation 2.
6.8.3 The ISSC shall be endorsed at the Intermediate audit and at any additional audit required by the
Administration.
6.8.4 On completion of the audit, to facilitate the review of the auditor’s report prior to the issue of the full-term
certificate, an ISSC with validity not exceeding five (5) months may be issued by the auditor.
6.8.4.1 Such ISSC is referred to as the "short-term" document. The short-term ISSC is to be issued as per
form 8.4.3-1.
For preparing an SMC under voluntary ship certification for 5 months, the Authorization shall be supplemented with
the first page of Form 8.4.3-2 – Safety Management Certificate for ships not covered by the requirements of the
SOLAS-74 (this form to be created using the ISM/ISPS Software System). The procedure of filling-in these forms is
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similar to that described in para 4.3.1.2.9.

6.8.4.2 Upon satisfactory results of the renewal audit, the Lead Auditor may endorse the validity of the ISSC
available on board in compliance with para 19.3.4, Part A of the ISPS Code.
In case of no page for notes to confirm ISSC, and terminated renewal audit after the expiry date of the
existing ISSC, the short-term ISSC is to be issued by the Lead Auditor (see also para 6.8.4).
6.8.5 If, at the time when its ISSC expires, a ship is not in a port in which it is possible to carry out a renewal
audit, the Administration may extend the period of validity of the certificate, but this extension shall be granted only for
the purpose of allowing the ship to complete its voyage to a port in which the audit may take place. No certificate shall
be extended more than three months. Documentary evidence of the granting of the extension by the Administration
shall be reviewed by the RS before the extension is endorsed.
6.8.6 At the request of the Company, the expiry date of ISSC may be aligned with the expiry date on the Safety
Management Certificate (SMC) provided that this does not exceed the five (5) year period specified in ISPS Code
A/19.3.
6.9 Opening and closing meetings
6.9.1 Shipboard verification audits shall start with an opening meeting, the purpose of which is to:
1) Introduce the auditor to the ships management;
2) Explain the scope and purpose of the audit;
3) Provide a short summary of the methods and procedures to be used;
4) Establish the official communication line between the auditor and the shipboard management;
5) Confirm that the necessary resources, documentation and facilities are available;
6) Confirm the time and date of the closing meeting and any possible interim meetings.
6.9.2 On completion of each audit, the auditor shall hold a closing meeting with the shipboard management,
as appropriate, to present the findings so that they are fully understood.
6.10 Reporting plan approvals and shipboard audits
6.10.1 A report is to be produced after every SSP approval and audit.
6.10.2 In the case of a SSP approval, the Letter of Approval shall include the following wording: “In the
development of the Ship Security Plan, in accordance with ISPS Code A/9.4, the provisions of ISPS Code B/8.1 to
13.8 have been duly taken into account and applied as appropriate for the ship”.
6.10.3 The Letter of Approval shall be given to the company and retained on board the ship, together with a
copy of the audit report.
6.10.4 In the case of an audit, the report must include the following:
1) the date and time of completion of the audit;
2) the status of the implementation of the SSP;
3) confirmation of the operational status of all security equipment and systems on board;
4) reports of any Failures found during the audit.
6.10.5 Based on the results of the conducted audit, the RS shall draw up the following:
- Ship Security Audit Report (form 8.4.9);
- SSP Letter of Approval (form 8.4.7);
- Failure / Observation Note (form 8.4.8), if applicable.
The failure / observation note / notes prepared based on results of the previous ship security audit with
effectiveness of corrective actions taken based on those reports confirmed by the Lead Auditor (see para 6.6.6) shall
be also enclosed to the report, if applicable.
6.10.6 It is recommended to attach to the report the Authorization on which basis the SSP approval / ship security
audit was performed.
6.10.7 When the ship security has been audited, the valid crew list shall be enclosed to the report.
6.10.8 When the period between the completion of the SSP review and commencement of the ship security
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audit does not exceed five working days, and both procedures are executed by the same specialists, a single report
may be issued, see form 8.4.9.
6.10.9 Each report on the ship security plan (SSP) approval / on the ship security audit shall be identified through
assignment of a unique number made up of three parts separated by the point, for example, “15.00100.041”. The first
part of the report number (15) consists of two figures and means two last figures of the calendar year. The second
part of the number (00100) consists of five figures, where the first three figures are formed from the beginning of the
calendar year and must begin with "001" and then on the basis of the sequence number of the audit performed by the
corresponding record book, and the last two figures – “00”. The third part of the number means the three digit code of
the RHO Department / RS Branch Office which has performed the plan approval / audit.
If the ship security plan approval / ship security audit was carried out by a specialist of the RHO MMS
Division, the code "041" is used for the third part of the number.
Different numbers are assigned to different reports.
6.10.10 The data on effective SSP and ISSC should be specified on the first page of the report on the ship security
plan approval / ship security audit in the Sections "Ship Security Plan" and "International Ship Security Certificate".
6.10.11 Each report on the ship security plan approval / ship security audit shall be signed by the Lead Auditor.
The signature shall be certified by the RS auditor's seal. It is not necessary to include the sheets with blank fields of
form 8.4.9 in the report.
6.10.12 During the verification of ships flying the flag of the Russian Federation, the fields in the forms specified
in para 6.10.5 shall be filled in Russian. Where necessary, allowed the use of two languages (English and Russian).
6.10.13 During the verification of ships flying any other flag, the fields in the forms specified in para 6.10.5 shall
be filled in English. The fact of using Russian for filling in the forms shall be agreed between the Lead Auditor and the
ship management.
6.10.14 The documents issued / confirmed based on ship security audit / SSP approval results shall be verified
as per ND No.2-060203-028-E ''Procedure for Control of Report Documents'' and ND No.2-080204-001-E –
''Procedure for Reviewing Requests, Reports and Plans on ISM and ISPS Code Corrective Actions''.
6.10.15 The original report documents except for the checklists of the ship security audit / SSP approval shall be
submitted to the Company's management or the Master of the ship, or their authorized representative.
6.10.16 Report documents prepared based on ship security audit / SSP approval results as specified in the
Authorization shall be submitted to the MMS Division within 10 working days from the date of appropriate audit
completion by means of DMS ''THESIS'' unless otherwise provided in RHO additional guidelines.
6.10.17 When creating the internal outgoing document with report documents in the DMS ''THESIS'', the field
''Full Description'' shall be filled in as per para 4.3.7.15.
6.10.18 All report documents based on ship security audit / SSP approval results are to be recorded to the
ISM/ISPS software system (see ND No. 2-080204-001-E - Procedure for Reviewing Requests, Reports and Plans on
ISM and ISPS Code Corrective Actions.
6.11 Responsibilities pertaining to audits
6.11.1 The RS is responsible for performing the audit and ISPS Code certification process in accordance with
this Guidelines and relevant Administration requirements, if any.
6.11.2 Responsibilities of the Auditor
6.11.2.1 The auditor is responsible for:
1) Carrying out the audit effectively and efficiently;
2) Complying with the applicable procedural and regulatory requirements;
3) Noting in the report any obstacles to the effective conduct of the audit;
4) Organizing any special technical assistance required to verify compliance;
5) Reporting the audit results clearly, concisely and without undue delay.
6.11.2.2 Auditors shall treat all the information to which they have access during the course of SSP approvals and
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shipboard verification audits in the strictest confidence.

6.12 Withdrawal of Certification
6.12.1 An interim ISSC shall not be issued to a ship from which a full-term ISSC has been withdrawn.
6.12.2 When an ISSC has been withdrawn, a new certificate may be issued only after the successful completion
of an initial audit.
6.12.3 The new certificate shall have the same expiry date as the certificate that was withdrawn.
6.13 Actions following port state control detentions
6.13.1 When a ship is detained and deficiencies relating to the ISPS Code are given as reasons for the detention,
the RSO that issued the ISSC shall carry out an additional audit.
6.13.2 Any Failures shall be dealt with in accordance with the relevant requirements of paragraph 6.7 of this
Guidelines.
6.13.3 If the auditor disagrees with the conclusions of the Duly Authorized Officer, the reasons for the
disagreement shall be documented in the audit report. The Duly Authorized Officer, the Company and the
Administration must be made aware of the auditor’s comments in this respect.
6.13.4 One of the objectives of the additional ship security audit conducted by the RS auditor associated with
the detention of the ship shall be identification of an (the) essential cause(s) of this detention. The identified cause(s)
for detention shall be recorded in the field ADDITIONAL INFORMATION of the ISPS audit report form 8.4.9, for
example:
- The essential cause of detention is insufficient allotment of resources for supporting / maintaining the ship
security on the required level;
- The essential cause of detention is the ISPS inadequate training of the ship crew members;
- The essential cause of detention is Master's incompetence in questions of the ship security;
- The essential cause of detention is DAO's inadequate competence.
6.13.5 Disagreements with the DAO are recorded in the same field. In this case, objective evidence of the
disagreement / essential cause(s) of the detention is (are) recorded.
6.13.6 When the text necessary for explanation of the subject of the disagreement and/or the essential cause(s)
of the detention cannot be fitted into the available field, the appendix to the ISPS report may be provided. This fact
shall be recorded in the available field indicating the number of pages of the issued appendix.
6.13.7 For ships detained in Russian port(s) and flying the RF flag, both the disagreement with the actions of
the Port State Control and the essential cause(s) of the detention are documented in Russian. In all other cases, in
English. At the Company's / ship's request the English text of the wordings may be accompanied with the translation
into Russian.
For other matters related to the ship detention, see paras 4.7 to 4.9 of this Guidelines.
6.14 Annex 1. ISPS Code Certification Scenarios – Minimum Requirements
Type of Scope of audit and

No. Scenario Condition Ship Security Plan
audit certification
1 Change of If conducted by Verification 1. Verify correct name 1. Amend ISSC with new
ship’s name a surveyor on board on all certificates and in name.
the title page, index page
2. Send copy of amended
and revision page of SSP.
certificate to the RHO MMS
2. Change name on Division
SSP Approval Letter
3. RHO issues
(PAL).
replacement ISSC with
3. Send copy of same expiry date as the
amended PAL to the RHO original certificate if
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audit certification
MMS Division if appropriate.
appropriate.
Note: One RSO cannot
Note: A surveyor is not amend or endorse the
authorized to issue a PAL. ISSC of another.
If conducted by Verification 1. Review and approve 1. Issue replacement

an auditor on board amendments to the SSP ISSC with same expiry
as prescribed in PR No. date as previous one if
24, para 6.6.4. appropriate.
2. Issue replacement
PAL if appropriate. A PAL
should only be issued, if
changes to the SSP
apply, which go beyond
the change of vessel's
name.
2 Change of When SSP has Additional 1 Carry out SSP 1 Verify compliance with
ship’s flag not yet been audit approval. the requirements of the
approved and SSP.
2 Issue a PAL on behalf
when
of the new Administration. 2 Issue a replacement
authorized to
certificate with the same
approve SSPs
expiry date as the original
certificate.
1 Interim verification as
When SSP has Interim 1 Check that the SSP is
required by ISPS Code
not yet been Audit on board.
A/19.4.2.
approved and
2 Check that SSP
when not 2 Issue Interim ISSC.
addresses ISPS Code
authorized to
A/9.4.1 to 9.4.18.
approve SSPs
3 Check that a copy of
the SSP has been
submitted to the
Administration or its RSO
for approval.
When SSP has Additional --- 1 Verify compliance with

already been audit the requirements of the
approved SSP.
2 Issue a replacement
certificate with the same
expiry date as the original
certificate.
3 Ship more than ISSC is not Interim 1 Carry out a SSP 1 Interim verification as
6 months out of valid Audit approval (if required) and required by ISPS Code
service issue a PAL. A/19.4.2.
2 If not authorized by 2 Issue Interim ISSC.
the flag Administration to
carry out SSP approval on
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audit certification
its behalf, check that the
SSP is on board, that
ISPS Code A/9.4.1 to
A/9.4.18 has been
addressed and that a
copy has been submitted
to the flag Administration
for approval.
4 Change from --- Additional 1 Approve SSP and 1 Issue replacement

non-convention audit issue PAL on behalf of the ISSC with same expiry
to convention flag administration. date as non-convention
ISSC.
5 Change --- --- 1 Request Company to 1 Issue replacement

Company name confirm that SSP contains ISSC with same expiry
and address no amendments. Issue date as previous ISSC.
replacement PAL.
2 If SSP does contain
amendments, request a
Company to submit SSP
for approval. Issue
replacement PAL.
Note 1. The above instructions apply in the absence of any flag administration requirements to the
contrary.
Note 2. The instructions relating to re-activation following lay-up do not apply to ships for which seasonal
lay-ups are a normal part of their operational routine.
6.15 Annex 2. Application of the ISPS Code to FPSOs and FSUs
See MSC-MEPC.2/Circ.9 dated 25 May 2010 “Guidance for the Application of Safety, Security and
Environmental Protection Provisions to FPSOs and FSUs”.
6.16 Annex 3. Notification of Invalidation of ISPS Certification (ISSC)
6.16.1 Based on the example given in Annex 3 to PR No.24, the MMS Division has developed the form 8.4.22
''Notification of Invalidation of ISSC Certification'' (created using the ISM/ISPS DB).
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7 Guidance on the role of the Recognized Security Organization in

Relation to the Employment of Armed Guards and the Installation of
Citadels on Board Ships Threatened by Piracy in the Indian Ocean
In the present Section of the Guidelines the provisions of IACS Recommendation No. 124 '' Guidance on
the role of the Recognized Security Organization in relation to the employment of armed guards and the installation of
citadels on board ships threatened by piracy in the Indian Ocean'' are printed in italics.
It is for the Company to decide what security measures should be adopted on board its ships
based on the results of the ship security assessments. If, after assessing the risks to which a ship is exposed and after
identifying its vulnerabilities, it is decided that armed guards or citadels have a part to play in the mix of deterrents and
responses, then that is a matter for the Company’s managers.
IMO Guidelines prohibit a Recognized Security Organisation (RSO) from approving, certifying or verifying
processes and procedures that it has wholly or partially developed. The RSO and its auditors should not become
involved in the detailed assessment of security risks or the selection of specific measures in relation to ships on which
the society acts as an RSO. They shall have no involvement in Company's decisions as to whether armed guards are
to be employed or whether a citadel is to be constructed. Additionally, they shall not be involved in other security-
related decisions such as which areas are to be restricted, how many CCTV cameras are to be installed, where the
SSAS activation points are to be located or when additional deck patrols are required. No advice should be offered by
RSOs and their auditors in relation to specific procedures and operations and no opinions should be expressed
concerning the effectiveness or desirability of armed guards or whether citadels should be constructed in general.
The RSO’s role is to verify that such decisions taken by the Company arise genuinely and rationally from
the ship security assessment and that appropriate controls have been established and effectively implemented. For
example, in relation to armed guards, auditors should verify that:
- the Company has taken steps to satisfy itself that the contractor is fit to provide the service;
- the Company has taken steps to satisfy itself that the guards employed are adequately trained, qualified
and experienced;
- the Company has taken steps to ensure that the presence of armed guards and the corresponding
procedures do not contravene any flag state requirements;
- the Company has established procedures for ensuring that the measures adopted do not contravene the
laws of States at whose ports the ship may call or through whose territorial waters it may pass;
- adequate procedures are in place to control the storage and deployment of weapons;
- procedures governing the planning, coordination and execution of actions of the armed guards and of the
crew in response to a security threat have been developed;
- those involved understand what is required of them in the different threat scenarios;
- all reasonably anticipated threat scenarios have been exercised and that any lessons learned have been
applied to the response plans.
In accordance with para 1.2.3.2 of ISM Code and para 5.4 of PR No.24 (see para 6.5.4 of this Guidelines),
auditors shall make sure that Companies have taken into account the latest revision of guidance contained in the
following IMO circulars:
Circular MSC.1/Circ.1405"Revised Interim Guidance to Shipowners, Ship Operators, and Shipmasters
on the use of Privately Contracted Armed Security Personnel on Board Ships in the High-risk Area".
Circular MSC.1/Circ.1406 "Revised Interim Recommendations for Flag States Regarding the Use of
Privately Contracted Armed Security Personnel on Board Ships in the High-risk Area"
In particular, Paragraph 5 of the Annex to MSC.1/Circ.1406 states:
“Flag States should have in place a policy on whether or not the use of PCASP (privately contracted
armed security personnel) will be authorized and, if so, under which conditions”.
Furthermore, paragraph 1.2 of the Annex to Circular MSC.1/Circ.1405 states:
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“Shipowners should ensure that the Flag State is consulted at an early stage in their consideration of the
decision to place PCASP on board to ensure that any statutory requirements are met”.
In view of these recommendations, auditors should expect the Company to have consulted the
Administration on its applicable requirements and policy and to have taken the necessary steps to ensure that
applicable laws and guidelines are observed.
The Company shall also take into account the best management practices given in Circular
MSC.1/Circ.1339 “Best Management Practices to Deter Piracy and Armed Robbery off the Coast of Somalia” and be
aware of the contents of Circular MSC.1/Circ.1408 which contains guidance for port and coastal states.
As with any other IMO guidance, if a Company has chosen not to follow the advice in certain respects, it
shall be able to show that it has good reasons for doing so and that it has implemented measures that it believes will
provide an equivalent level of control.
Where citadels are concerned, auditors should verify, for example, that:
- industry guidance, especially the latest version of industry best management practices, has been taken
into account;
- guidance provided by the Maritime Security Centre – Horn of Africa (MSCHOA) and the NATO Shipping
Centre has been taken into account;
- the Company has taken steps to ensure that any modifications to the ship or its equipment do not
contravene class and statutory requirements or are the subjects of appropriate exemptions;
- adequate procedures are in place governing the activation, occupation and evacuation of the citadel;
- measures are in place to provide sufficient food and water;
- measures are in place so that adequate ventilation is provided and communications and system controls
are established;
- appropriate exercises have been carried out.
This Section of the Guidance relates to the role and responsibilities of the classification societies when
acting as RSOs for flag States. However it does not prevent them from offering, in their capacity as classification
societies, technical support to a Company on associated issues relating to the maintenance of the vessel’s class,
provided that such support does not amount to advice on which measures to adopt, involvement in the development
of specific operations and procedures or the expression of opinions concerning the usefulness and effectiveness of
employing armed guards or constructing citadels.
Any such services provided in addition to the delegated audit and certification activities shall not give rise
to conflicts with a classification society’s role as a RSO.
8 Recommendations for ISM Code and ISPS Code aligned audits

and SMC and ISSC expiration dates alignment
In the present Section of the Guidelines the provisions of IACS Recommendation No. 92 on alignment of
ISM Code and ISPS Code audits and SMC and ISSC expiration dates are printed in italics.
8.1 Introduction
The present Section of the Guidelines contain the recommendations applicable when a Company
requests alignment of ISM Code and ISPS Code audits or alignment of the expiry dates of the Safety Management
Certificate and the International Ship Security Certificate.
8.2 Definitions
8.2.1 Aligned audits means ISM and ISPS audits conducted in conjunction with each other as stated in 6.8.6
of this Guidelines.
8.2.2 Alignment means aligning the expiry dates of certificates, SMC and ISSC, as stated in 6.8.6 of this
Guidelines.
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Issue: 2015
8.2.3 Adjusted Certificate is the certificate or certificates, either SMC and/or ISSC, which will have its expiration
date adjusted so as to achieve alignment.
8.3 Conducting aligned ISM Code & ISPS Code Shipboard Audits
8.3.1 When the Company selects a single Society (RS) to provide aligned audits:
1) The lead auditor must be qualified for both ISM Code and ISPS Code certifications, in accordance with
the requirements of PR No.10;
2) The RS must be authorized to conduct both the ISM Code audit and ISPS Code audit by the Flag
Administration;
3) Procedures for transfer of ISM Code and/or ISPS Code certification apply as appropriate in accordance
with PR No.18 (see section 9 of this Guidelines);
4) All elements of the ISM Code and/or ISPS Code shall be covered in the aligned audits relative to the
adjusted certificate(s);
5) Results of the aligned audits shall be documented and reported separately and in accordance with
PR No.9 and 24.
8.3.2 Any change in the expiration date of the adjusted certificate (SMC and/or ISSC) requires a full renewal
verification to be carried out, unless the expiration date of the adjusted certificate(s) is(are) moved backwards and
provided that the adjustment does not circumvent any audit due or coming due at the time that the harmonization is
completed.
8.4 Aligned SMC and ISSC through aligned audits
8.4.1 Upon successful completion of the alignment, the new certificate(s) is(are) to be issued or the existing
certificate(s) replaced as needed to achieve alignment.
8.4.2 Provisions of PR No.10 are taken into account in ND No.2-080501-008-E ''Procedure for Selection,
Training, Certification and Authorization of Marine Management Systems Auditors''.
8.4.3 For authorization(a) on ISM and ISPS Code audits from the Flag Administration, see Table of MA
Authorizations.
9 Transfer of Safety and Security Management Systems Certification

In the present Section of the Guidelines the provisions of the IACS Procedural Requirement No. 18
''Transfer of Safety and Security Management Systems Certification'' are printed in italics and framed.
Introduction
This Procedural Requirement governs the transfer of ISM and ISPS Code certification from one Society
(the losing Society) to another Society (the gaining Society), and is applicable irrespective whether the Certification is
mandatory or voluntary.
Application
This PR shall apply to all cases of transfer of ISM and ISPS Code certification between Classification
Societies who implement PR No.9 / PR No.24 (see Sections 4 and 6 of the present Guidelines, respectively), except
as noted below in para 9.2.
Classification societies shall follow this Procedural Requirement when a request from a Company is
received for the transfer of ISM and / or ISPS Code Certification from one Society to another Society.
9.1 Definitions
9.1.1 Gaining Society (GS) means a Society that receives a request for a transfer of ISM Code certification
for a Company or ship; or, the transfer of ISPS Code certification for a ship from another Society.
9.1.2 Losing Society (LS) means a Society from which ISM Code certification or ISPS Code certification is
being transferred.
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Issue: 2015
9.2 General
9.2.1 The present Section of the Guidelines shall not apply in cases involving a change of management
company.
9.3 Gaining Society’s Obligations and Reporting
9.3.1 On receiving a request from a Company to take over its ISM and / or ISPS Code certification from another
Society, the GS must inform the Company, in writing, that an application for such certification can only be accepted
by the GS after it has received confirmation (with supporting documentation) that:
1) The existing certificate has not been withdrawn or otherwise invalidated by the LS or the Flag;
2) All verifications initiated by the LS have been satisfactorily completed by the LS, unless otherwise agreed
between the gaining and losing Societies; and;
3) Any major non-conformities have been closed out or down-graded by the LS.
9.3.2 Where a written request for transfer of certification has been received from the Company, the GS shall
notify the LS of the Company’s request by using Step 1 of Form TC.
9.3.2.1 When documenting Step 1 of Form TC, in the fields “Responsible Person” and “Position”, last name,
initials and position of the authorized employee of the RHO MMS Division shall be indicated.
9.3.3 If evidence of the certification status listed in Step 2 of Form TC is not received from the LS within three
(3) working days from notification, the GS may utilize the evidence and certification information provided by the
Company. In such cases, a statement reminding the Company that the conditions of 3.1 (see para 9.3.1 of this
Guidelines) are still applicable shall be given when the GS requests this information from the Company.
9.3.4 An audit is required for the issue of a new certificate. If the certificate has been issued by the flag, the
auditor may endorse the certificate on behalf of the administration if authorized to do so.
9.3.5 The audit by the GS shall address all elements of the ISM (ISPS) Code, to the extent that the RO (RSO)
is so authorized by the Administration, any flag Administration requirements and any matters arising out of the last
audit carried out by the LS. Where the transfer of certification occurs within the annual, intermediate or renewal due
date window, the corresponding audit may serve as the audit required in 9.3.4 of this Guidelines.
9.3.5.1 If applicable, having regard to the materials received during the Step 2 of this procedure, from the Losing
Society or from the Company, the Lead Auditor shall do the following:
1) Plan the time required for evaluation of effectiveness of corrective actions to be taken to rectify non-
conformity(ies) / failure(s) identified by the Losing Society. Reflect these actions with regard to applicable
points, in form 8.1.10 ''SMS Audit Plan'' and/or form 8.4.9 ''ISPS Report'';
2) During the audit, check effectiveness of corrective actions taken by the Company / ship relating to
previous non-conformities / disadvantages identified by the LS by making the appropriate entry to the
used checklist, appropriate ISM audit report form 8.1.9 and/or ISPS audit report.
9.3.6 If the audit is successful and a new certificate is issued by the GS, the GS must inform the LS, within one
(1) month of the date of issue, by completing Step 3 of Form TC.
9.3.7 When the audit is not successful and, as a result, the transfer of certification is not accepted, the GS shall
inform the LS, within two (2) working days of the date of the audit, by completing Step 3 of Form TC and attaching the
audit report in which the reason for the rejection should be fully explained.
9.4 Losing Society’s Obligations and Reporting
9.4.1 The RS shall co-operate by providing the information specified in Step 2 of Form TC within three (3)
working days upon the receipt of the completed Step 1. The documentation to be attached to the form by the RS
includes the following:
1) The last external audit report, including any non-conformities and failures identified;
2) In the case of ISM non-conformities this should include the corrective action plan and the time period(s)
proposed for implementation;
3) In the case of ISPS failures, evidence that corrective action has been proposed and the failure has
been properly addressed; and;
4) Any other information that may be relevant to the decision to accept or reject the transfer of certification.
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Issue: 2015
9.4.2 Upon receipt of information that a new certificate has been issued by the GS, the LS shall issue a
"Notification of Invalidation of Certification" in accordance with PR No.9 or 24, as applicable, ensuring that the GS is
included in its circulation.
9.4.3 Upon receipt of information that the audit is not successful because of an unresolved major non-
conformity and / or failure raised by the GS, the LS shall review the findings and take action as appropriate.
9.5 Other Requirements
Any differences arising in relation to the implementation of this PR that cannot be settled privately
between the gaining and losing societies are to be solved under the IACS Procedures, Volume 3, Annex 4 “IACS
Procedure for Handling Complaints”.
9.5.1 ND No.1-0201-006-Е – IACS Procedures, Volume 3 The Quality Management System Certification
Scheme is included in the list of RS external normative documents.
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Issue: 2015
9.6 Annex 1. Process Flow Chart for Transfer of Certification
Company Gaining Society Losing Society
Submit request for transfer Review current certification

of Certification details
Be informed of reasons Is review

for refusal of transfer of No satisfactory?
certification
Yes
Complete Step 1 of Complete Step 2 of

Relevant Form Relevant Form and provide
information
Review Form and

attachments
Be informed of reasons Is review Be informed of reasons

for refusal of transfer of No satisfactory? No for refusal of transfer of
certification certification
Yes
Proceed with Audit
Is review Be informed of reasons

Be issued with a new No No for refusal of transfer of
satisfactory?
Certificate certification
Yes
Be informed of reasons for

Complete Step 3 of Issue “Notification of
refusal
Relevant Form invalidation of certification”
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Issue: 2015
9.7 Annex 2. Link to Contact Points

The contact details can now be found on the IACS website: www.iacs.org.uk located under Procedural
requirements:
- PR17 and PR18 (ISM and ISPS Matters) POINT OF CONTACT DETAILS.
ND No. 2-080101-012-E Page 56 of 56

Russian Maritime Register of Shipping: Approved Chief Executive Officer S.N. Sedov 29.09.2015

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3 Terms. Definitions. Abbreviations

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4 Procedural Requirements for ISM Code Certification

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4.2 VERIFYING COMPLIANCE WITH THE ISM CODE

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- Confirming the authorization for audit;

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4.3.2 Interim and initial verification

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During the opening meeting it is recommended to additionally confirm the following:

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4.3.7 Audit report

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4.3.9 Company responsibilities pertaining to safety management audits

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Number of the Company's ships up to from 6 to from 11 to from 21 to 41 ships

Number of detentions of the

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4.11 Annex 5. COMPANY CERTIFICATION SCENARIOS

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4.12 Annex 6. SHIP CERTIFICATION SCENARIOS

1 Change of Verification on Verify correct name on all Auditor or Change name on

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5 RS responses to SMS possible non-conformities registered

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6 Procedural Requirements for ISPS Code Certification

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6 The following definition is given in SOLAS-74, Chapter XI-2, Regulation 1.16:

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similar to that described in para 4.3.1.2.9.