Technical Notices

As you may be aware, Paris MOU is already implementing New Inspection Regime (NIR) as of January 1, 2011, and relevant information may be obtained from the INSB Circulars “I.N.S.B./001E/PCH/10” dated 24/03/2010 and “I.N.S.B./002E/PCH/10” dated 30/03/2010.

Within the frames of the new NIR, new procedures/guidelines are used by the PSCO for the handling of the ISM Code deficiencies. The scope of the present circular is to brief you regarding these new guidelines enabling the more effective handling of the PSC inspections where ISM Code deficiencies have been raised.

It worth’s to be reminded regarding the company performance criteria for the calculation of the Ship Risk Profile which is a new parameter in the Paris MOU. The Paris MOU has established a formula which takes into consideration the deficiencies and detentions in the last 36 months of the company’s fleet, based on the IMO company number and compares it to the average of all vessels inspected in the Paris MOU to determine the performance level. The companies will be ranked into very low, low, medium and high. Any Refusal of Access (Ban) will have a negative impact on the ranking of the company.

1. General

1.1   PSCO conducts an inspection of the ship which is a sampling process and gives a snapshot of the vessel on a particular day. The documentation of the SMS is required to be in the working language of the ship which the PSCO may not be able to understand. Therefore, the PSCO neither can perform a SMS audit nor is a member of an RO to perform a SMS audit.

1.2   The new guidelines provide to the PSCO guidance for the harmonized application by relating technical or operational deficiencies found, with the failure or lack of SMS effectiveness.

2. Reporting of ISM Code deficiencies

2.1       All the posed technical and/or operational deficiencies found during the PSC inspection shall be recorded in the PSC inspection report as usual.

2.2       Where the PSCO has considered that some of these deficiencies provide objective evidence of a SMS (serious) failure, or lack of its effectiveness an individual ISM related deficiency shall be recorded in the PSC inspection report.

2.3       Furthermore for the technical and/or operational deficiencies which are ISM related, the PSCO shall add at the end of the additional comment the word (ISM).

2.4       So, there will be three different categories for the PSC raised technical and/or operational deficiencies in relation with the ISM Code, according to the PSCO professional judgment:

1. These which do not show failure or lack of SMS effectiveness therefore no ISM related deficiency shall be reported by the PSCO
2. These which do not warrant the detention of the ship but indicate failure or lack of SMS effectiveness. In this case the PSCO shall report an individual ISM related deficiency with the requirement of an internal ISM audit and corrective actions within 3 months (action code 18)
3. These which lead to the detention of the ship and indicate a serious failure or lack of SMS effectiveness. In this case the PSCO shall report an individual ISM related deficiency with the requirement of an external ISM audit by the Administration or the RO before the release from the detention (action code 19)

2.5       An ISM related deficiency in the PSC inspection report should be reported as follows:

Code: 15100
Defective item: ISM
Nature of defect: Not as required
Convention reference: SOLAS CIX R3/ISM 1.2
Action taken: 18 or 19

18 – an internal ISM audit and corrective actions within 3 months

19 – an external ISM audit by the Administration or the RO before the release from the detention

Additional comments:

(18) – Deficiency (ies) marked (ISM) is (are) objective evidence of a failure, or lack of SMS effectiveness

(19) – Deficiency(ies) marked (ISM) is (are) objective evidence of a serious failure, or lack of SMS effectiveness

2.6       After a satisfactory examination, the sequence of action taken codes should be:

Action taken code 19 – 18 – 10, or 18 – 10 (depending on which action taken code was initially issued)

2.7       If the examination of the areas in relation to an action taken code 18 was not satisfactory, the action taken code 18 should be followed by 19 (detention)

2.8       Where PSCO considers a technical and/or operational deficiency(s) as ISM related only one ISM related deficiency can be recorded. 

3. Inspection of ship

3.1.         Pre boarding preparation

The PSCO shall consult Paris MOU database (THETIS) to gain an overview of the previous inspection history of the ship including any outstanding deficiencies and the performance of the company.

EQUASIS database may also be consulted for more information on the performance history.

3.2.         Initial inspection

3.2.1      The PSCO shall verify that the ship carries the ISM certificates and the following points are to be examined:

1. Copy of DOC is onboard with required endorsements. The copy is not required to be authenticated or certified.
2. SMC indicates ship type which included in the DOC and the company’s particulars are the same on both DOC and SMC.
3. The validity of an interim DOC should not exceed a period of 12 months. The validity of an interim SMC should not exceed a period of 6 months. Only in special cases interim DOC/SMC may be extended by the flag administration.
4. ROs may issue short term DOC/SMC not exceeding 5 months, while full term certificates are being prepared according to their internal procedures.
5. If a renewal verification has been completed and a new SMC cannot be issued or placed on board the ship before the expiry date of the existing certificate, the Administration or the RO may endorse the existing certificate and such a certificate should be accepted as valid for a further period which should not exceed five months from the expiry date.
6. If a ship at the time when a SMC expires is not in a port in which it is to be verified, the Administration may extend the period of validity of the SMC but this extension should be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be verified, and then only in cases where it appears proper and reasonable to do so. No SMC should be extended for a period of longer than three months, and the ship to which an extension is granted should not, on its arrival in the port in which it is to be verified, be entitled by virtue of such extension to leave that port without having a new SMC. When the renewal verification is completed, the new SMC should be valid to a date not exceeding five years from the expiry date of the existing SMC before the extension was granted.

3.2.2      When no technical and or operational deficiency found during the initial inspection, there is no need to consider the ISM aspect. 

3.3.         More detailed inspection

Any technical and/or operational deficiency found, shall be related to the ISM Code by the PSCO, using his professional judgment, as follows:

1. Deficiencies which do not indicate a failure or lack of SMS effectiveness No ISM related deficiency shall be recorded
2. Deficiencies which individually or collectively do not warrant ship detention but indicate a failure or lack of SMS effectiveness ISM related deficiency shall be recorded with the requirement of an internal audit and corrective actions within 3 months
3. Deficiencies which individually or collectively lead to ship detention and indicate a serious failure or lack of SMS effectiveness ISM related deficiency shall be recorded with the requirement of an external audit before release from the detention

3.4          Expanded inspection

Any technical and/or operational deficiency found by the PSCO during the expanded inspection, shall be considered as these found during the more detailed inspections (see above). 

3.5          Follow up

3.5.1      The follow up by the company of the required internal audit (action taken code 18) or external audit (action code 19) shall not be limited to rectification only of the posed technical and or operational deficiency(s).

3.5.2      The company should investigate and analyze the outcome of the internal or external audit and ensure that proper corrective actions taken, including the implementation of measures intended to prevent reoccurrence, for at least every PSC technical and or operational deficiency(s).

3.5.3      If an outstanding ISM related deficiency (action taken code 18) from a previous PSC inspection exists and the current PSC inspection is more than 3 months later, the PSCO will verify that an internal audit has been performed. The content of the internal audit report will not be evaluated by the PSCO, however the PSCO will verify the effectiveness of any corrective action, examining the areas of the technical/operational deficiencies (marked with ISM) of the previous PSC inspection

3.5.4      If the PSCO finds no objective evidence that an internal audit performed and corrective actions taken the following (new) deficiency will be recorded:

• “No objective evidence of the required internal audit from the previous PSC inspection is available”
• An ISM related deficiency with action taken code 19 will be recorded and the vessel will be detained.                               

Companies and INSB Auditors are kindly requested to study present circular and prepare themselves for the proper handling of the PARIS MoU PSC Inspections in relation with the ISM related deficiencies, as these are expected to be very often inside the PSC inspection reports, bearing also in mind that the ship and companies assessment from the MoU has been changed and affects significantly the smooth ship operation as well as the image of the ship and of the company.