PRS S.A. offers to domestic and foreign shipping Companies the Safety Management System (SMS) certification in accordance with the International Management Code for the Safe Operation of Ships and for Pollution Prevention (ISM Code).
Application for certification
A documented (prepared in a written form) and implemented Safety Management System, complying with the requirements of the ISM Code, in operation at Company’s shore offices and onboard ships, can be presented for certification.
An implemented SMS means that:
- there is sufficient objective evidence documenting the functioning of the system,
- internal audits have been carried out,
- management review of the System has been conducted.
A Company interested in certification should submit an application for carrying out certification of Safety Management System on the application form (office (79kB), ship (90kB)) available on the Internet or provided by PRS S.A. Head/Branch Office.
For the Systems not completely implemented, the same application principles apply, however audits are performed according to the provisions given in paragraph: “Audit carried out for the Issue of Interim Documents”. After application review, PRS S.A. prepares a certification offer and sends it to the Company.
Fees for certification process are charged according to work time consumed (number of mandays needed for audit performance) and depend on Company size (number of employees directly associated with the SMS) and types and number of operated ships.
Fees for certification of Safety Management System are charged on the basis of PRS S.A. Tariff of Fees. Discounts pertaining to relevant Company and country of service performance, may be applied to the tariff fees.
The fee covers:
- documentation review and evaluation,
- audit performance at Company’s office/onboard ship,
- issue of appropriate certificate.
The Company confirms acceptance of the offer by sending back signed Order Confirmation. In the case the Company applies for certification of its office together with a greater number of vessels, Contract for Certification and Surveillance of Safety Management System is prepared.
For audits carried out at Company’s request on Saturdays, Sundays, holidays and in overtime, PRS S.A. may charge 50% surplus to the specified base fee. Auditors’ travel and accommodation costs, which are not covered by the submitted offer, are added to the fees specified in the Tariff.
Preparation for the audit
The Company submits to PRS S.A. the Safety Management Manual which is assessed for completeness and compliance with the requirements of the ISM Code.
PRS S.A. appoints the members of audit team to perform audit and appoints the lead auditor. Appointed auditors should have appropriate qualifications and experience and be included in the ISM Auditors List. Where it is necessary, the team may comprise experts and training auditors. The auditors, appointed to perform audit, are not to be engaged in the consulting to audited Company.
Appointed lead auditor assesses the Safety Management System documentation as regards its completeness and compliance with the requirements of the ISM Code. Initial assessment of the documentation may also be performed in the PRS Head Office, ISM & ISPS Department. In the case the submitted documents are incomplete or do not comply fully with the requirements of the ISM Code, the Company is to complete the documentation and send it for reassessment.
In order to clear any doubts concerning the assessed documentation, a visit by the Company may be necessary. Certification process is continued upon positive assessment of the Safety Management System documents. The lead auditor, in agreement with the Company, prepares audit plan and settles audit date.
Initial audit at Company’s office
At the agreed date, the auditor/audit team carries out audit of the Company’s Safety Management System taking into account types of operated ships and the Flag State Administration requirements.
If the Company manages Branch Offices conducting different activities under the same SMS, PRS S.A. reserves itself the right to decide on Branch Offices auditing frequency. As a rule, during a period of Document of Compliance validity, each Branch Office is to be audited at least once.
The audit starts with an opening meeting, when the lead auditor presents the audit team members to Company’s management and informs about audit performance principles as well as settles necessary details.
The initial audit consists in verification of the effective functioning of the SMS and in collecting the objective evidence that the Company’s system has been in operation for at least three months in the Company’s offices and onboard of at least one ship of each type operated by the Company.
During the audit samples of documentation are taken. Even if nonconformities have not been disclosed, it does not mean that they do not exist and it does not dispense the Company’s management from verifiction that the requirements of the ISM Code and national and international law regulations related to safety and environment protection are complied with.
The objective evidence should, inter alia, include records from the internal audits performed by the Company, ashore and onboard ships, as well as records on examining and verifying the correctness of the statutory and classification documents presented for at least one ship of each type to which the DOC applies.
The nonconformities/observations disclosed during audit are documented, and Company’s representative confirms with his/her signature that the nonconformities/observations are understood and accepted.
During the closing meeting with the participation of Company’s management, the lead auditor informs whether the System complies with the ISM Code requirements and discusses the found nonconformities/observations. He/she also informs on the own condition or non-condition concerning the certificate issue.
The audit report, together with Nonconformity Records, are transferred to the Company immediately after audit completion or within fifteen days after submitting proposal of corrective actions.
Issue of Document of Compliance
Document of Compliance is issued upon verification of the SMS compliance with the requirements of the ISM Code. DOC shall not be issued, confirmed or renewed unless any major nonconformity is cleared and additional audit is carried out.
DOC may be issued, confirmed or renewed before nonconformities are closed out, provided that corrective actions are agreed and accepted and their schedule is agreed between the Company and auditor.
DOC is valid for a period of five years from the day of initial audit completion and its validity is to be obligatorily confirmed during annual audit within three months before or after the DOC anniversary date. The Company is obliged to send copies of DOC to every Branch Office and every ship it operates. The copy of the document is not required to be authenticated or certified.
Initial vessel audit
Initial audit onboard a ship is carried out in order to give evidence that the Company and ship management proceed according to the approved Safety Management System. The audit performance is conditioned by possession of valid full-term DOC for a given ship’s type.
The audit commences with an opening meeting and includes:
- tour of ship/an occasional survey in scope of technical matters,
- checking that the DOC is valid and relevant for the given type of the ship,
- checking that appropriate documents: Safety Management Manual, statutory and classification certificates and other mandatory documents, are kept onboard,
- verification of the effective functioning of the SMS, including objective evidence that the System has been in operation for at least three months. Records from internal audits carried out by the Company should also include such objective evidence.
The nonconformities/observations disclosed during audit are documented, and Company’s representative confirms with his/her signature that the nonconformities/observations are understood and accepted.
During the closing meeting with the participation of ship’s management, the lead auditor informs whether the System complies with the ISM Code requirements and discusses the found nonconformities/observations. He/she also informs on the own condition or non-condition concerning the certificate issue.
The audit report, together with Nonconformity Records, are transferred to the Shipmaster/Company’s representative immediately after shipboard audit completion.
If the Company already holds a valid DOC issued by Flag State Administration or Recognised Organization, this Document shall be accepted as evidence of compliance with the requirements of the ISM Code unless there is evidence indicating otherwise.
As a rule, audits onboard the ship are to be carried out in port. In exceptional cases, in agreement with the Company, PRS S.A. shall carry out audit at anchorage or during a short voyage. The audit cannot be conducted on a laid-up or a docked ship, or when the ship is not fully manned.
Issue of Safety Management Certificate
Safety Management Certificate is issued upon verification of SMS compliance with the requirements of the ISM Code. SMC may be issued, provided that:
- valid full-term DOC is granted for the given type of ship,
- conformity with the requirements of classification society is maintained,
- the requirements of Flag State Administration are complied with.
SMC shall not be issued, confirmed or renewed unless any major nonconformity is cleared and repeated verification within the scope of initial audit is carried out.
SMC may be issued, confirmed or renewed before nonconformities have been closed out, provided that corrective actions have been agreed and accepted and their schedule has been agreed between the Company and auditor.
SMC is valid for a period of five years from the day of initial audit completion and its validity is subject to at least one confirmation during intermediate audit, carried out between the second and the third SMC anniversary date. A copy of the certificate should be available at the Company’s Head Office.
Audit carried out for the Issue of Interim Documents
Company’s office audit is carried out in order to facilitate initial implementation of the ISM Code:
- to a new established Company, or
- when the Company wishes to add new types of ships to the existing DOC,
- when the Company’s structure has been modified.
Interim DOC is valid for a period not exceeding twelve months and may be issued to a Company which can demonstrate the achievement of objectives, stated in para.1.2.3 of the ISM Code and present a plan for implementation of the System meeting fully the ISM Code requirements within the Interim DOC validity.
Ship board audit is carried out:
- for a new ship at the time of its delivery,
- when a Company takes under management a ship which is new to the Company, or
- when the ship changes its flag.
The audit for the issue of Interim SMC may be carried out in non-standard conditions, provided that the ship is fully manned in accordance with Safe Manning Certificate.
Before issuing Interim SMC, it should be verified by an onboard audit that:
- the DOC or Interim DOC is relevant to that ship,
- the SMS provided by the Company for the ship includes key elements of the ISM Code and has been assessed during the audit for issuance of the DOC or Interim DOC,
- the Master and Officers are familiar with the SMS and the planned arrangements for its implementation,
- instructions which have been identified as essential have been provided prior to sailing, including those for performing ship abandon alarm and fire alarm,
- there exist plans for conducting the Company’s audit of the ship within three months,
- the relevant information on the SMS is given in a working language or languages understood by the ship’s personnel.
Interim SMC is issued for a period not exceeding six months. In special cases, at Company’s request, the Flag State Administration may prolong certificate validity period for further six months.
Issue of short-term certificates
Upon completion of audit at Company’s office/onboard ship, the lead auditor may issue a short-term certificate, valid until issuance of a full-term DOC/SMC by PRS S.A. Head Office.
Issuance of short-term certificate is conditioned upon completion of audit with positive result, lack of major nonconformities and issuance of condition to issue a full-term DOC/SMC by PRS S.A. Head Office. Validity of short-term DOC/SMC may not exceed five months counting from the audit date.
Definitions used
Administration – the Government of the State whose flag the ship is entitled to fly.
Additional audit – the assessment of the effectiveness of the corrective actions carried out by the Company with respect to major nonconformities, nonconformities or changes introduced in the Safety Management System. The audit may also be aimed at more thorough reviewing selected fragments or the entire Safety Management System operation and establishing corrective actions.
Anniversary date – the day and month of each year that corresponds to an expiry date of a relevant document or certificate.
Annual/intermediate audit – a periodical assessment aimed at ascertaining that the effective functioning of the Safety Management System of Company’s office/ship is maintained and the modifications introduced are effective. The aim of the audit is to confirm validity of possessed certificate.
Company – owner of the ship or any other organization or person such as the manager, or the bare boat charterer, who has assumed the responsibility for operation of the ship from the owner and who on assuming such responsibility has agreed to take over all the duties and responsibility imposed by the ISM Code.
Document of Compliance (DOC) – a document issued to the Company, meaning that the Company’s SMS has been audited and complies with the requirements of the ISM Code for the ship types covered by SMS.
Initial audit – a complete assessment of the Company’s and/or ships’ Safety Management System in order to establish whether the relevant requirements of the ISM Code are met. The audit is aimed at issue of a relevant certificate.
International Safety Management Code (ISM Code) – the International Management Code for the Safe Operation of Ships and for Pollution Prevention, as adopted by the 18th Assembly of the International Maritime Organization (IMO), as may be amended by the Organization.
Major nonconformity – an identifiable deviation, which may pose a serious threat to personnel or ship safety or a serious risk to the environment and requires immediate corrective action; in addition, the lack of effective and systematic implementation of a requirement of the ISM Code is also considered as a major nonconformity.
Nonconformity – a deviation where objective evidence indicates the non-fulfilment of a specified requirement of the ISM Code.
Observation – 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 the SMS elements which, if not corrected, may lead to a nonconformity in the future.
Objective Evidence – qualitative or quantitative information, records or statements of fact pertaining to the existence and implementation of a SMS element, which is based on observation, measurement or test and which can be verified.
Safety Management System (SMS) – organizational structure, responsibilities and authorities, procedures and resources enabling safety management.
Safety Management Manual – the documentation used to define safety and pollution prevention policy and to describe the Company’s Safety Management System.
Safety Management Certificate (SMC) – a document issued to the Company meaning that his ship’s SMS, upon verification that the Company’s DOC is relevant to the ship’s type, has been audited and complies with the requirements of the ISM Code.
Renewal Audit – a repeated complete assessment of the Safety Management System which leads to the issue of a new certificate.
Recognised Organization (RO) – an organization recognised by the Administration to issue Documents of Compliance (DOC) and Safety Management Certificates (SMC) on the basis of the IMO Resolution A.739 (18) – ”Guidelines for the Authorisation of Recognised Organizations acting on behalf of Administration”.
Technical Deficiency – damage to ship structure or a defect in the operation of a part or the whole of machinery, equipment or fittings.
For details see also:
Supervision of Safety Management System
Use of the PRS S.A. ISM Code Certification Mark