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2006/0336 On the implementation of the International Safety Management Code within the Community and repealing Council Regulation (EC) No 3051/95
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REGULATION(EC)No336/2006OFTHEEUROPEANPARLIAMENTANDOFTHECOUNCIL

 

of15February2006

 

ontheimplementationoftheInternationalSafetyManagementCodewithintheCommunityandrepealingCouncilRegulation(EC)No3051/95

 

(TextwithEEArelevance)

 

 


 

THE   EUROPEAN   PARLIAMENT  AND   THE   COUNCIL   OF   THE

EUROPEANUNION,

 

 

Having   regard   to   the   Treaty   establishing   the   European

Community, and in particular Article 80(2) thereof,

 

 

HavingregardtotheproposalfromtheCommission,

 

 

HavingregardtotheopinionoftheEuropeanEconomicand

Social Committee (1),

 

 

AfterconsultingtheCommitteeoftheRegions,

 

 

Acting   in   accordance   with   the   procedure   laid   down   in

Article 251 of the Treaty (2),

 

 

Whereas:

 

 

(1)     The   International   Management   Code   for   the   SafeOperation of Ships and for Pollution Prevention, here-inafterreferredtoas`theISMCode’,wasadoptedbytheInternationalMaritimeOrganisation(IMO)in1993.ThisCodegraduallybecamemandatoryformostshipssailingoninternationalvoyageswiththeadoptioninMay1994of Chapter IX `Management for the Safe Operation ofShips’of theInternationalConventionfor theSafetyofLifeatSea(SOLAS),1974.

 

 

(2)     TheISMCodewasamendedbytheIMObyResolution

MSC.104(73), adopted on 5 December 2000.


(3)     Guidelines   on   Implementation   of   the  ISM   Code   by

Administrations   were   adopted   by   IMO   ResolutionA.788(19) on 23 November 1995. These Guidelineswere amended by Resolution A.913(22), adopted on

29 November 2001.

 

 

(4)     Council Regulation (EC)  No  3051/95  of  8  December

1995   on   the   safety   management   of   roll-on/roll-offpassenger ferries (ro-ro ferries)(3) made the ISM Codemandatory at Community level with effect from 1 July

1996forallro-ropassengerferriesoperatingonaregularservicetoandfromportsoftheMemberStates,onbothdomestic and international voyages and regardless oftheirflag.Thiswasafirststeptowardsensuringuniformand coherent implementation  of the ISM  Code in all

Member States.

 

 

(5)     On1July1998theISMCodebecamemandatoryunderthe provisions of Chapter IX of SOLAS for companiesoperatingpassengerships,including high-speedpassen-gercraft,oiltankers,chemicaltankers,gascarriers,bulkcarriersandcargohigh-speedcraftof500grosstonnageandupwards,oninternationalvoyages.

 

 

(6)     On 1 July 2002 the ISM Code became mandatory forcompanies   operating   other   cargo   ships   and   mobileoffshore   drilling   units   of   500   gross   tonnage   andupwards,oninternationalvoyages.

 

 

(7)     Thesafetyofhumanlifeatseaandtheprotectionoftheenvironment may be effectively enhanced by applyingtheISMCodestrictlyandonamandatorybasis.

 

 

(8)     It is desirable to apply directly the ISM Code to ships

flying the flag of a Member State as well as to ships,regardlessoftheirflag,engagedexclusivelyondomesticvoyagesoronaregularshippingserviceoperatingtoorfromportsoftheMemberStates.

(1)     OJ C 302, 7.12.2004, p. 20.

(2)     Opinion   of   the   European   Parliament   of   10   March   2004

(OJC102E,28.4.2004,p.565),CouncilCommonPositionof

18July2005(OJC264E,25.10.2005,p.28)andPositionofthe   European   Parliament   of   13   December   2005   (not   yetpublishedintheOfficialJournal).


 

 

(3)     OJ L 320, 30.12.1995, p.14. Regulation as last amended byRegulation(EC)No2099/2002oftheEuropeanParliamentandoftheCouncil(OJL324,29.11.2002,p.1).

(9)     The  adoption  of  a  new  Regulation  with  direct  applic-

ability should ensure the enforcementof the ISM CodeontheunderstandingthatitislefttotheMemberStatesto decide whether to implement the Code for ships,regardless of their flag, operating exclusively in portareas.

 

 

 

(10)   Consequently, Regulation (EC) No 3051/95 should berepealed.

 

 

 

(11)   If a Member State considers it difficult in practice forcompaniestocomplywithspecificprovisionsofPartAoftheISMCodeforcertainshipsorcategoriesofshipsexclusivelyengagedondomesticvoyagesinthatMemberState, it may derogate wholly or   partly from thoseprovisions by imposing measures ensuring equivalentachievement of the objectives of the Code. It may, forsuchshipsandcompanies,establishalternativecertifica-tionandverificationprocedures.

 

 

 

(12)   It is necessary to take into account Council Directive

95/21/EC of 19 June 1995 on port State control ofshipping(1).

 

 

(13)   ItisalsonecessarytotakeintoaccountCouncilDirective

94/57/ECof22November1994oncommonrulesandstandards for ship inspection and survey organisationsand for the relevant activities of maritime administra-tions(2),inordertodefinetherecognisedorganisationsforthepurposeofthisRegulation,andCouncilDirective

98/18/EC   of   17   March   1998   on   safety   rules   andstandards for passenger ships(3), for the purpose ofestablishingthescopeofapplicationofthisRegulationasregardspassengershipsengagedondomesticvoyages.

 

 

 

(14)   ThemeasuresnecessaryforamendingAnnexIIshouldbeadoptedinaccordancewithCouncilDecision1999/468/ECof28June1999layingdowntheproceduresfortheexercise   of   implementing   powers   conferred   on   theCommission(4).

 

 

 

(15)   Since   the   objectives   of   this   Regulation,   namely   toenhance the safety management and safe operation ofshipsaswellasthepreventionofpollutionfromships,cannotbesufficientlyachievedbytheMemberStatesandcanthereforebebetterachievedatCommunitylevel,theCommunitymayadoptmeasures,inaccordancewiththe

 

 

 

(1)     OJL157,7.7.1995,p.1.DirectiveaslastamendedbyDirective

2002/84/ECoftheEuropeanParliamentandoftheCouncil(OJ

L324,29.11.2002,p.53).

(2)     OJ L 319, 12.12.1994, p.  20. Directive  as last  amended by

Directive2002/84/EC.

(3)     OJ L 144, 15.5.1998, p. 1. Directive as last amended by

CommissionDirective2003/75/EC(OJL190,30.7.2003,p.6).

Article 1 Objective

 

The objective of this Regulation is to enhance the safetymanagement and safe operation of ships as well as thepreventionofpollutionfromships,referredtoinArticle3(1),by  ensuring that companies operating those ships complywiththeISMCodebymeansof:

 

 

(a)    the establishment, implementation and proper main-tenancebycompaniesoftheshipboardandshore-basedsafetymanagementsystems;and

 

 

(b)    the control thereof by flag and port State administra-tions.

 

Article 10 Reporting

1.    MemberStatesshallreporttotheCommissioneverytwoyearsontheimplementationofthisRegulation.

 

 

2.     TheCommissionshall,inaccordancewiththeprocedurereferredtoinArticle12(2),establishaharmonisedspecimenformforsuchreports.

 

 

3.     The   Commission   shall,   with   the   assistance   of   theEuropeanMaritime SafetyAgency andwithin sixmonthsofreceiving   the   reports   from   Member   States,   prepare   aconsolidated report concerning the implementation of  thisRegulation,withanyproposedmeasures,ifappropriate.ThisreportshallbeaddressedtotheEuropeanParliamentandtheCouncil.

 

Article 11 Amendments

1.    AmendmentstotheISMCodemaybeexcludedfromthescopeof thisRegulationpursuanttoArticle5ofRegulation

(EC) No 2099/2002 of the European Parliament and of theCouncil of 5 November 2002 establishing a Committee onSafe   Seas   and   the   Prevention   of   Pollution   from   Ships

(COSS) (1).

 

 

2.     AnyamendmenttoAnnexIIshallbemadeinaccordancewiththeprocedurereferredtoinArticle12(2).

 

Article 12 Committee

1.    The Commission shallbe assistedbytheCommittee onSafeSeasandthePreventionofPollutionfromShips(COSS)setupunderArticle3ofRegulation(EC)No2099/2002.

2.     Where reference is made to this paragraph, Articles 5 and

7ofDecision1999/468/ECshallapply,havingregardtotheprovisionsofArticle8thereof.

 

 

TheperiodlaiddowninArticle5(6)ofDecision1999/468/EC

shall be set at two months.

 

 

3.     TheCommitteeshalladoptitsRulesofProcedure.

 

 

Article 13 Repeal

  1. Regulation (EC) No 3051/95 shall be repealed with effect from 24 March 2006.

  2. Interim Documents of Compliance, Interim Safety Management Certificates, Documents of Compliance and Safety Management Certificates issued before 24 March 2006 shall remain valid until their expiry or until their next endorsement.

 

Article 14 Entry into force

This   Regulation   shall   enter   into   force   on   the  20th   dayfollowingitspublicationintheOfficialJournaloftheEuropeanUnion.

 

 

 

Asconcernscargoandpassengerships,whicharenotalreadyrequiredtocomplywiththeISMCode,thisRegulationshallapplyasfrom24March2008.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

 

 

DoneatStrasbourg,15February2006.

 


 

For the European Parliament

 

ThePresident

 

J.BORRELLFONTELLES


For the Council

 

ThePresident

 

H.WINKLER


 

 

 

 

 

 

Article 2 Definitions

For the purpose of this Regulation the following definitionsshallapply:

 

 

(1)    `the ISM Code’ means the International ManagementCode for theSafeOperation ofShipsand for PollutionPrevention   adopted   by   the   International   MaritimeOrganisation   by   Assembly   Resolution   A.741(18)   of

4  November  1993,  as  amended  by  Maritime  Safety

Committee   Resolution   MSC.104(73)   of   5   December

2000 and set out in Annex I to this Regulation, in itsup-to-dateversion;

 

 

(2)    `recognised organisation’ means a body recognised inaccordancewithDirective94/57/EC;

 

 

(3)    `company’ means the owner of the ship or any otherorganisation or person, such as the manager or thebareboat charterer, who has assumed responsibility fortheoperationoftheshipfromtheshipownerandwho,onassumingsuchresponsibility,hasagreedtotakeoverall the duties and responsibilities imposed by the ISMCode;

 

 

(4)    `passenger ship’ means  a ship,  including a high-speedcraft,carryingmorethan12passengers,orapassengersubmersiblecraft;

(5)    `passenger’ means every person other than:

 

 

(a)    themasterand themembers of thecrewor otherpersons employed or engaged in any capacity onboardashiponthebusinessofthatship;and

 

 

(b)    achildunderoneyearofage;

 

 

(6)    `high-speedcraft’meansahigh-speedcraftasdefinedinRegulationX-1/2ofSOLAS,initsup-to-dateversion.Forhigh-speed passenger craft, the limitations indicated inArticle2(f)ofDirective98/18/ECshallapply;

 

 

(7)    `cargo ship’ means a ship, including a high-speed craft,whichisnotapassengership;

 

 

(8)    `internationalvoyage’meansavoyagebyseafromaportofaMemberStateoranyotherStatetoaportoutsidethatState,orviceversa;

 

 

(9)    `domestic voyage’ means a voyage in sea areas from aport of a Member State to the same or another portwithinthatMemberState;

 

 

(10) `regularshippingservice’meansaseriesofshipcrossingsoperatedsoastoservetrafficbetweenthesametwoormorepoints,either:

 

 

(a)    accordingtoapublishedtimetable;or

 

 

(b)    with crossings so regular or frequent that theyconstitutearecognisablesystematicseries;

 

 

(11) `ro-ropassengerferry’meansaseagoingpassengervesselas defined in Chapter II-1 of SOLAS, in its up-to-dateversion;

 

 

(12) `passengersubmersiblecraft’meansapassenger-carryingmobilevesselwhichprimarilyoperatesunderwaterandreliesonsurfacesupport,suchasasurfaceshiporshore-based facilities, for monitoringand for one or more ofthefollowing:

 

 

(a)    rechargingofpowersupply;

 

 

(b)    recharginghighpressureair;

 

 

(c)     recharginglife-support;

 

 

(13) `mobileoffshoredrillingunit’meansavesselcapableofengagingindrillingoperationsfortheexplorationfororexploitation of resources beneath the seabed such asliquidorgaseoushydrocarbons,sulphurorsalt;

 

(14) `gross   tonnage’   means   the   gross   tonnage of a   shipdetermined in accordance with the International Con-ventiononTonnageMeasurementofShips,1969or,inthe   case   of   ships   engaged   exclusively   on   domesticvoyages and not measured in accordance with the saidConvention,thegrosstonnageoftheshipdeterminedinaccordance with national tonnage measurement regula-tions.

 

 

 

Article 3 Scope

1.    ThisRegulationshallapplytothefollowingtypesofshipsandtocompaniesoperatingthem:

 

 

 

(a)    cargo ships and passenger  ships, flying the flag of a

Member State, engaged on international voyages;

 

 

 

(b)    cargoshipsandpassengershipsengagedexclusivelyondomesticvoyages,regardlessoftheirflag;

 

 

 

(c)     cargo ships and passenger ships operating to or fromportsoftheMemberStates,onaregularshippingservice,regardlessoftheirflag;

 

 

 

(d)    mobile   offshore   drilling   units   operating   under   theauthorityofaMemberState.

 

 

 

2.     ThisRegulationshallnotapplytothefollowingtypesofshipsortothecompaniesoperatingthem:

 

 

 

(a)    ships of war and troopships and other ships owned oroperated   by   a   Member   State   and   used   only   ongovernmentnon-commercialservice;

 

 

 

(b)    shipsnotpropelledbymechanicalmeans,woodenshipsof  primitive build,  pleasure yachts  and pleasure craft,unlesstheyareorwillbecrewedandcarryingmorethan

12 passengers for commercial purposes;

 

 

 

(c)     fishingvessels;

 

 

 

(d)    cargo ships and mobile offshore drilling units of lessthan500grosstonnage;

 

 

 

(e)     passengerships,otherthanro-ropassengerferries,inseaareasofClassCandDasdefinedinArticle4ofDirective

98/18/EC.

 

Article 4 Compliance

MemberStatesshallensurethatallcompaniesoperatingshipsfalling within the scope of this Regulation comply with theprovisionsofthisRegulation.

 

Article 5 Safety management requiremenst

The ships referred to in Article 3(1) and the companiesoperatingthemshallcomplywiththerequirementsofPartAoftheISMCode.

Article 6 Certification and verification

For the purposes of certification and verification,  MemberStatesshallcomplywiththeprovisionsofPartBof theISMCode.

Article 7 Derogation

1.    AMemberStatemay,ifitconsidersitdifficultinpracticeforcompaniestocomplywithparagraphs6,7,9,11and12ofPartAoftheISMCodeforcertainshipsorcategoriesofshipsexclusively engaged on domestic voyages in that MemberState, derogate  wholly or partly from those provisions byimposing measures ensuring equivalent achievement of theobjectivesoftheCode.

 

 

2.    AMemberStatemay,forshipsandcompaniesforwhich

aderogationhasbeenadoptedbyvirtueofparagraph1,ifitconsidersitdifficultinpracticetoapplytherequirementslaid

down   in   Article   6,   establish   alternative   certification   andverificationprocedures.

 

 

3.    In the circumstances set out in paragraph 1 and, ifapplicable,paragraph2,thefollowingprocedureshallapply:

 

 

(a)    theMemberStateconcernedshallnotifytheCommissionofthederogationandofthemeasureswhichitintendstoadopt;

 

 

(b)    if,withinsixmonthsofthenotification,itisdecided,inaccordance with the procedure referred to in Article

12(2),  that  the  proposed  derogation  is  not  justified  or

that   the   proposed   measures   are   not   sufficient,   theMember State shall be required to amend or refrainfromadoptingtheproposedprovisions;

(c)     the  Member  State  shall  make  any  adopted  measures

public with a  direct reference to paragraph 1  and, ifapplicable,paragraph2.

 

 

 

4.     Following   a   derogation   under   paragraph   1   and,   ifapplicable, paragraph 2, the Member State concerned shallissueacertificateinaccordancewiththesecondsubparagraphof Annex II, Part B, Section 5, indicating the applicableoperationallimitations.

 

Article 8 Validity, acceptance and recognition of certificates

1.    TheDocumentofComplianceshallremainvalidforuptofiveyearsfromthedateofitsissue.TheSafetyManagementCertificateshallremainvalidforuptofiveyearsfromthedateofitsissue.

 

 

 

2.     IncasesofrenewaloftheDocumentofComplianceandtheSafetyManagementCertificate,therelevantprovisionsofPartBoftheISMCodeshallapply.

 

 

 

3.     Member States shall accept Documents of Compliance,Interim   Documents   of   Compliance,   Safety   ManagementCertificatesandInterimSafetyManagementCertificatesissuedbytheadministrationofanyotherMemberStateoronbehalfofthisadministrationbyarecognisedorganisation.

 

 

 

4.     Member States shall accept Documents of Compliance,Interim   Documents   of   Compliance,   Safety   ManagementCertificatesandInterimSafetyManagementCertificatesissuedby,oronbehalfof,theadministrationsofthirdcountries.

 

 

 

However, for  ships engaged  on a regular  shipping  service,compliance   with   the   ISM   Code   by   the   Documents   ofCompliance,   Interim   Documents   of   Compliance,   SafetyManagement   Certificates   and   Interim   Safety   ManagementCertificates   issued   on   behalf   of   administrations   of   thirdcountriesshallbeverified,byanyappropriatemeans,byoronbehalf of the Member State(s) concerned, unless they wereissued by the administration of a Member State or by arecognisedorganisation.

 

Article 9 Penalties

MemberStatesshalllaydowntherulesonpenaltiesapplicableto infringements of this Regulation and shall take all themeasuresnecessarytoensurethattheyareimplemented.Thepenalties provided for must be effective, proportionate anddissuasive.

Annex I

InternationalManagementCodefortheSafeOperationofShipsandforPollutionPrevention(International

SafetyManagement(ISM)Code)

 

Appendix

FormsoftheDocumentofCompliance,theSafetyManagementCertificate,theInterimDocumentof

ComplianceandtheInterimSafetyManagementCertificate

 

 

DOCUMENTOFCOMPLIANCE

 

(Officialseal)/(State)

 

 

CertificateNo

 

 

Issuedundertheprovisionsofthe

 

 

INTERNATIONALCONVENTIONFORTHESAFETYOFLIFEATSEA,1974,asamended

 

 

UndertheauthorityoftheGovernmentof   ..........................................................................

 

(nameoftheState)

 

 

by.....................................................................................................................

 

(personororganisationauthorised)Nameandaddressofthecompany:

........................................................................................................................

 

 

........................................................................................................................

 

(seeparagraph1.1.2oftheISMCode)

 

 

THISISTOCERTIFY THATthesafetymanagementsystemofthecompanyhasbeenauditedandthatitcomplieswith the requirements of the International Management Code for the Safe Operation of Ships and for PollutionPrevention(ISMCode)forthetypesofshipslistedbelow(deleteasappropriate):

 

 

Passengership

 

 

Passengerhigh-speedcraftCargohigh-speedcraftBulkcarrier

OiltankerChemicaltankerGascarrier

Mobile offshore drilling unit

 

 

Othercargoship


 

 

 

This Document of Compliance is valid until ........., subject to periodical verification.

 

 

Issuedat ..............................................................................................................

 

 

(placeofissueofthedocument)Dateofissue..........................................................................................................

 

........................................................................................................................

 

(Signatureofthedulyauthorisedofficialissuingthedocument)

 

(Sealorstampofissuingauthority,asappropriate)


 

 

 

Certificate No

 

 

 

ENDORSEMENT FOR ANNUAL VERIFICATION

 

THISISTOCERTIFYTHAT,attheperiodicalverificationinaccordancewithRegulationIX/6.1oftheConventionandparagraph13.4oftheISMCode,thesafetymanagementsystemwasfoundtocomplywiththerequirementsoftheISMCode.

 

 

 

 

1stANNUALVERIFICATION                               Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

2ndANNUALVERIFICATION                             Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

3rdANNUALVERIFICATION                             Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

4thANNUALVERIFICATION                             Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................


 

 

 

SAFETY MANAGEMENT CERTIFICATE

 

 

(Official seal)/(State)

 

 

 

CertificateNo

 

 

 

Issuedundertheprovisionsofthe

 

 

 

INTERNATIONALCONVENTIONFORTHESAFETYOFLIFEATSEA,1974,asamended

 

 

 

UndertheauthorityoftheGovernmentof   ..........................................................................

 

 

(nameoftheState)

 

 

 

by.....................................................................................................................

 

 

(personororganisationauthorised)Nameofship:   ........................................................................................................Distinctivenumberorletters:.........................................................................................Portofregistry: .......................................................................................................Typeofship(*):.......................................................................................................Grosstonnage:........................................................................................................IMOnumber: .........................................................................................................

Name and address of company:  ...................................................................................... 

 

 

(seeparagraph1.1.2oftheISMCode)

 

 

 

THISISTOCERTIFYTHATthesafetymanagementsystemoftheshiphasbeenauditedandthatitcomplieswiththerequirementsof theInternationalManagementCodefor theSafeOperationofShipsandforPollutionPrevention

(ISMCode),followingverificationthattheDocumentofCompliancefor thecompanyisapplicabletothistypeofship.

 

 

 

 

 

(*)     Insert the type of ship from among the following: passenger ship; passenger high-speed craft; cargo high-speed craft; bulk

carrier;oiltanker;chemicaltanker;gascarrier;mobileoffshoredrillingunit;othercargoship.


 

 

 

This  Safety  Management  Certificate  is  valid  until  .........,  subject  to  periodical  verification  and  the  Document  of

Compliance remaining valid.

 

 

Issuedat ..............................................................................................................

 

(placeofissueofthedocument)

 

 

Dateofissue..........................................................................................................

 

(Signatureofthedulyauthorisedofficialissuingthecertificate)

 

(Sealorstampofissuingauthority,asappropriate)


 

 

 

Certificate No

 

 

ENDORSEMENTFORINTERMEDIATEVERIFICATIONANDADDITIONALVERIFICATION(IFREQUIRED)

 

THISISTOCERTIFYTHAT,attheperiodicalverificationinaccordancewithRegulationIX/6.1oftheConventionandparagraph13.8oftheISMCode,thesafetymanagementsystemwasfoundtocomplywiththerequirementsoftheISMCode.

 

 

 


 

INTERMEDIATE VERIFICATION (to be

completedbetweenthesecondandthirdanniversarydate)


Signed:  . . .............................................................. 

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................


 

ADDITIONALVERIFICATION(*)                        Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

ADDITIONALVERIFICATION(*)                        Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

ADDITIONALVERIFICATION(*)                        Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(*)     If  applicable.  Reference  is  made  to  paragraph  3.4.1  of  the  Guidelines  on  Implementation  of  the  International  Safety

Management(ISM)CodebyAdministrations(ResolutionA.913(22)).


 

 

 

INTERIM DOCUMENT OF COMPLIANCE

 

 

(Official seal)/(State)

 

 

 

CertificateNo

 

 

 

Issuedundertheprovisionsofthe

 

 

 

INTERNATIONALCONVENTIONFORTHESAFETYOFLIFEATSEA,1974,asamended

 

 

 

UndertheauthorityoftheGovernmentof   ..........................................................................

 

 

(nameoftheState)

 

 

 

by.....................................................................................................................

 

 

(personororganisationauthorised)

 

 

 

Nameandaddressofthecompany: ..................................................................................

 

 

(seeparagraph1.1.2oftheISMCode)

 

 

 

THIS IS TO CERTIFY THAT the safety management system of the company has been recognised as meeting theobjectivesofparagraph1.2.3oftheInternationalManagementCodefortheSafeOperationofShipsandforPollutionPrevention(ISMCode),forthetype(s)ofshipslistedbelow(deleteasappropriate):

 

 

 

Passengership

 

 

 

Passengerhigh-speedcraftCargohigh-speedcraftBulkcarrier

OiltankerChemicaltankerGascarrier

Mobileoffshoredrillingunit

 

 

 

Othercargoship


 

 

 

This Interim Document of Compliance is valid until:

 

 

Issuedat:   .............................................................................................................

 

(Placeofissueofthedocument)

 

 

Dateofissue: .........................................................................................................

 

(Signatureofthedulyauthorisedofficialissuingthedocument)

 

(Sealorstampofissuingauthority,asappropriate)


 

 

 

INTERIM SAFETY MANAGEMENT CERTIFICATE

 

 

(Official seal)/(State)

 

 

CertificateNo

 

 

Issuedundertheprovisionsofthe

 

 

INTERNATIONALCONVENTIONFORTHESAFETYOFLIFEATSEA,1974,asamended

Under the authority of the Government of   . ......................................................................... 

 

(nameoftheState)

 

 

by.....................................................................................................................

 

(personororganisationauthorised)Nameofship:   ........................................................................................................Distinctivenumberorletters:.........................................................................................Portofregistry: .......................................................................................................Typeofship(*):.......................................................................................................Grosstonnage:........................................................................................................IMOnumber: .........................................................................................................Nameandaddressofcompany: ......................................................................................

........................................................................................................................

 

(seeparagraph1.1.2oftheISMCode)

 

 

THIS IS TO CERTIFY THAT the requirements of paragraph 14.4 of the ISM Code have been met and that the

DocumentofCompliance/InterimDocumentofCompliance(**)ofthecompanyisrelevanttothisship.

 

 

ThisInterimSafetyManagementCertificateisvaliduntil ............................................................subjecttotheDocumentofCompliance/InterimDocumentofCompliance(**)remainingvalid.

 

 

(*)     Insert the type of ship from among the following: passenger ship; passenger high-speed craft; cargo high-speed craft; bulk

carrier;oiltanker;chemicaltanker;gascarrier;mobileoffshoredrillingunit;othercargoship.

(**)     Deleteasappropriate.


 

 

 

Issued at  .............................................................................................................. 

 

(placeofissueofthedocument)

 

 

Dateofissue: .........................................................................................................

 

(Signatureofthedulyauthorisedofficialissuingthecertificate)

 

(Sealorstampofissuingauthority,asappropriate)CertificateNo

The validity of this Interim Safety Management Certificate is extended to: . . ......................................... 

 

 

Dateofextension: ....................................................................................................

 

(Signatureofthedulyauthorisedofficialextendingthevalidity)

 

(Sealorstampofissuingauthority,asappropriate)

 

Part A Implementation

1.      General

 

 

1.1.    Definitions

 

 

1.2.    Objectives

 

 

1.3.    Application

 

 

1.4.    Functionalrequirementsforasafetymanagementsystem(SMS)

 

 

2.      Safetyandenvironmentalprotectionpolicy

 

 

3.      Companyresponsibilitiesandauthority

 

 

4.      Designatedperson(s)

 

 

5.      Master'sresponsibilityandauthority

 

 

6.      Resourcesandpersonnel

 

 

7.      Developmentofplansforshipboardoperations

 

 

8.      Emergencypreparedness

 

 

9.      Reportsandanalysisofnon-conformities,accidentsandhazardousoccurrences

 

 

10.    Maintenanceoftheshipandequipment

 

 

11.    Documentation

 

 

12.    Companyverification,reviewandevaluation

 

 

PartB:Certificationandverification

 

 

13.    Certificationandperiodicalverification

 

 

14.    Interimcertification

 

 

15.    Verification

 

 

16.    Formsofcertificates


 

 

INTERNATIONAL MANAGEMENT CODE FOR THE SAFE OPERATION OF SHIPS AND FOR POLLUTION

PREVENTION

 

(INTERNATIONALSAFETYMANAGEMENT(ISM)CODE)

 

 

PARTA:IMPLEMENTATION

 

 

1.           General

 

 

1.1.         Definitions

 

 

ThefollowingdefinitionsapplytoPartsAandBofthisCode.

 

 

1.1.1.       `International Safety Management (ISM) Code’ means the International Management Code for the SafeOperationofShipsandforPollutionPreventionasadoptedbytheAssembly,asmaybeamendedbytheorganisation.

 

 

1.1.2.      `Company’meanstheowneroftheshiporanyotherorganisationorpersonsuchasthemanageror thebareboatcharterer,whohasassumedtheresponsibilityfortheoperationoftheshipfromtheshipownerandwhoonassumingsuchresponsibilityhasagreedtotakeoverallthedutiesandresponsibilityimposedbytheCode.

 

 

1.1.3.      `Administration’meansthegovernmentoftheStatewhoseflagtheshipisentitledtofly.

 

 

1.1.4.      `Safetymanagement system’meansastructured anddocumentedsystemenablingcompanypersonneltoimplementeffectivelythecompanysafetyandenvironmentalprotectionpolicy.

 

 

1.1.5.      `DocumentofCompliance’meansadocumentissuedtoacompanywhichcomplieswiththerequirementsofthisCode.

 

 

1.1.6.      `SafetyManagementCertificate’meansadocumentissuedtoashipwhichsignifiesthatthecompanyanditsshipboardmanagementoperateinaccordancewiththeapprovedsafetymanagementsystem.

 

 

1.1.7.       `Objectiveevidence’meansquantitativeorqualitativeinformation,recordsorstatementsoffactpertainingtosafetyortotheexistenceandimplementationofasafetymanagementsystemelement,whichisbasedonobservation,measurementortestandwhichcanbeverified.

 

 

1.1.8.      `Observation’ means a statement of fact made during a safety management audit and substantiated byobjectiveevidence.

 

 

1.1.9.      `Non-conformity’meansanobservedsituationwhereobjectiveevidence indicatesthenon-fulfilmentofaspecifiedrequirement.

 

 

1.1.10.    `Majornon-conformity’meansanidentifiabledeviationthatposesaseriousthreattothesafetyofpersonnel

ortheshiporaseriousrisktotheenvironmentthatrequiresimmediatecorrectiveactionandincludesthelackofeffectiveandsystematicimplementationofarequirementofthisCode.

 

 

1.1.11.    `Anniversary date’ means the day and month of eachyear that corresponds to the date of expiryof therelevantdocumentorcertificate.

 

 

1.1.12.    `Convention’meanstheInternationalConventionfortheSafetyofLifeatSea,1974asamended.


 

 

1.2.        Objectives

 

 

1.2.1.      The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, andavoidanceofdamagetotheenvironment,inparticular,tothemarineenvironment,andtoproperty.

 

 

1.2.2.      Safetymanagementobjectivesofthecompanyshould,interalia:

 

 

1.2.2.1. provideforsafepracticesinshipoperationandasafeworkingenvironment;

 

 

1.2.2.2. establishsafeguardsagainstallidentifiedrisks;and

 

 

1.2.2.3. continuouslyimprovesafetymanagementskillsofpersonnelashoreandaboardships,includingpreparingforemergenciesrelatedbothtosafetyandenvironmentalprotection.

 

 

1.2.3.      Thesafetymanagementsystemshouldensure:

 

 

1.2.3.1. compliancewithmandatoryrulesandregulations;and

 

 

1.2.3.2. that   applicable   codes,   guidelines   and   standards   recommended   by the   organisation, administrations,classificationsocietiesandmaritimeindustryorganisationsaretakenintoaccount.

 

 

1.3.        Application

 

 

TherequirementsofthisCodemaybeappliedtoallships.

 

 

1.4.        Functionalrequirementsforasafetymanagementsystem(SMS)

 

 

Everycompanyshoulddevelop,implementandmaintainasafetymanagementsystem(SMS)whichincludesthefollowingfunctionalrequirements:

 

 

1.4.1.      asafetyandenvironmentalprotectionpolicy;

 

 

1.4.2.      instructions and procedures to ensure safe  operation of ships and protection of the environment incompliancewithrelevantinternationalandflagStatelegislation;

 

 

1.4.3.      defined levels of  authority and lines of communication between, and amongst, shore and shipboardpersonnel;

 

 

1.4.4.      proceduresforreportingaccidentsandnon-conformitieswiththeprovisionsofthisCode;

 

 

1.4.5.      procedurestoprepareforandrespondtoemergencysituations;and

 

 

1.4.6.      proceduresforinternalauditsandmanagementreviews.

 

 

2.           Safetyandenvironmentalprotectionpolicy

 

 

2.1.        The company should establish a safety and environmental protection policy which describes how theobjectives,giveninparagraph1.2,willbeachieved.

 

 

2.2.         Thecompanyshouldensurethatthepolicyisimplementedandmaintainedatalllevelsoftheorganisationbothship-basedaswellasshore-based.


 

 

3.           Company responsibilities and authority

 

 

3.1.         Iftheentitywhoisresponsiblefortheoperationoftheshipisotherthantheowner,theownermustreportthefullnameanddetailsofsuchentitytotheadministration.

 

 

3.2.         Thecompanyshoulddefineanddocumenttheresponsibility,authorityandinterrelationofallpersonnelwhomanage,performandverifyworkrelatingtoandaffectingsafetyandpollutionprevention.

 

 

3.3.         Thecompanyisresponsibleforensuringthatadequateresourcesandshore-basedsupportareprovidedtoenablethedesignatedpersonorpersonstocarryouttheirfunctions.

 

 

4.           Designatedperson(s)

 

 

Toensurethesafeoperationofeachshipandtoprovidealinkbetweenthecompanyandthoseonboard,every company, as appropriate, should designate a person or persons ashore having direct access to thehighestlevelofmanagement.Theresponsibilityandauthorityofthedesignatedpersonorpersonsshouldincludemonitoringthesafetyandpollutionpreventionaspectsoftheoperationofeachshipandtoensurethatadequateresourcesandshore-basedsupportareapplied,asrequired.

 

 

5.           Master'sresponsibilityandauthority

 

 

5.1.         Thecompanyshouldclearlydefineanddocumentthemaster'sresponsibilitywithregardto:

 

 

5.1.1.      implementingthesafetyandenvironmentalprotectionpolicyofthecompany;

 

 

5.1.2.      motivatingthecrewintheobservanceofthatpolicy;

 

 

5.1.3.      issuingappropriateordersandinstructionsinaclearandsimplemanner;

 

 

5.1.4.      verifyingthatspecifiedrequirementsareobserved;and

 

 

5.1.5.      reviewingtheSMSandreportingitsdeficienciestotheshore-basedmanagement.

 

 

5.2.         The company should ensure that the SMS operating on board the ship contains a clear statementemphasising the master's authority. The company should establish in the SMS that the master has theoverridingauthorityandtheresponsibilitytomakedecisionswithrespecttosafetyandpollutionpreventionandtorequestthecompany'sassistanceasmaybenecessary.

 

 

6.           Resourcesandpersonnel

 

 

6.1.         Thecompanyshouldensurethatthemasteris:

 

 

6.1.1.      properlyqualifiedforcommand;

 

 

6.1.2.      fullyconversantwiththecompany'sSMS;and

 

 

6.1.3.      giventhenecessarysupportsothatthemaster'sdutiescanbesafelyperformed.

 

 

6.2.         Thecompanyshouldensurethateachshipismannedwithqualified,certificatedandmedicallyfitseafarers

inaccordancewithnationalandinternationalrequirements.


 

 

6.3.         The company should establish procedures to ensure that new personnel and personnel transferred to new

assignmentsrelatedtosafetyandprotectionoftheenvironmentaregivenproperfamiliarisationwiththeirduties.

 

 

Instructionswhichmustbeprovidedpriortosailingshouldbeidentified,documentedandgiven.

 

 

6.4.         The company should ensure that all personnel involved in the company's SMS have an adequateunderstandingofrelevantrules,regulations,codesandguidelines.

 

 

6.5.         Thecompanyshouldestablishandmaintainproceduresforidentifyinganytrainingwhichmayberequired

insupportoftheSMSandensurethatsuchtrainingisprovidedforallpersonnelconcerned.

 

 

6.6.         Thecompanyshouldestablishproceduresbywhichtheship'spersonnelreceiverelevantinformationonthe

SMSinaworkinglanguageorlanguagesunderstoodbythem.

 

 

6.7.        Thecompanyshouldensurethattheship'spersonnelareabletocommunicateeffectivelyintheexecutionoftheirdutiesrelatedtotheSMS.

 

 

7.           Developmentofplansforshipboardoperations

 

 

Thecompanyshouldestablishproceduresforthepreparationofplansandinstructions,includingchecklists

as appropriate, for key shipboard operations concerning the safety of the ship and the prevention ofpollution.Thevarioustasksinvolvedshouldbedefinedandassignedtoqualifiedpersonnel.

 

 

8.           Emergencypreparedness

 

 

8.1.        The company should establish procedures to identify, describe and respond to potential emergencyshipboardsituations.

 

 

8.2.         Thecompanyshouldestablishprogrammesfordrillsandexercisestoprepareforemergencyactions.

 

 

8.3.         TheSMSshouldprovideformeasuresensuringthatthecompany'sorganisationcanrespondatanytimetohazards,accidentsandemergencysituationsinvolvingitsships.

 

 

9.           Reportsandanalysisofnon-conformities,accidentsandhazardousoccurrences

 

 

9.1.        TheSMSshouldincludeproceduresensuringthatnon-conformities,accidentsandhazardoussituationsarereportedtothecompany,investigated and analysedwith theobjective of improving safetyandpollutionprevention.

 

 

9.2.         Thecompanyshouldestablishproceduresfortheimplementationofcorrectiveaction.

 

 

10.         Maintenanceoftheshipandequipment

 

 

10.1.      The company should establish procedures to ensure that the ship is maintained in conformity with theprovisions of the relevant  rules  and regulations and with any additional  requirements  which may beestablishedbythecompany.

 

 

10.2.       Inmeetingtheserequirementsthecompanyshouldensurethat:

 

 

10.2.1.   inspectionsareheldatappropriateintervals;

 

 

10.2.2.   anynon-conformityisreportedwithitspossiblecause,ifknown;


 

 

10.2.3.   appropriate corrective action is taken; and

 

 

10.2.4.   recordsoftheseactivitiesaremaintained.

 

 

10.3.       The company should establish procedures in the SMS to identify equipment and technical systems thesuddenoperationalfailureofwhichmayresultinhazardoussituations.TheSMSshouldprovideforspecificmeasuresaimedatpromotingthereliabilityofsuchequipmentorsystems.Thesemeasuresshouldincludetheregulartestingofstand-byarrangementsandequipmentortechnicalsystemsthatarenotincontinuoususe.

 

 

10.4.       Theinspectionsmentionedin10.2aswellasthemeasuresreferredtoin10.3shouldbeintegratedintheship'soperationalmaintenance/routine.

 

 

 

11.         Documentation

 

 

11.1.       The company should establish and maintain procedures to control all documents and data, which arerelevanttotheSMS.

 

 

11.2.       Thecompanyshouldensurethat:

 

 

11.2.1.    validdocumentsareavailableatallrelevantlocations;

 

 

11.2.2.   changestodocumentsarereviewedandapprovedbyauthorisedpersonnel;and

 

 

11.2.3.   obsoletedocumentsarepromptlyremoved.

 

 

11.3.       The documents used to describe and implement the SMS may be referred to as the `safety managementmanual’. Documentation should be keptin a form that thecompanyconsiders mosteffective. Eachshipshouldcarryonboardalldocumentationrelevanttothatship.

 

 

 

12.         Companyverification,reviewandevaluation

 

 

12.1.      The company should carry out internal safety audits to verify whether safety and pollution preventionactivitiescomplywiththeSMS.

 

 

12.2.       ThecompanyshouldperiodicallyevaluatetheefficiencyandwhenneededreviewtheSMSinaccordancewithproceduresestablishedbythecompany.

 

 

12.3.       Theauditsandpossiblecorrectiveactionsshouldbecarriedoutinaccordancewithdocumentedprocedures.

 

 

12.4.       Personnelcarryingoutauditsshouldbeindependentoftheareasbeingauditedunlessthisisimpracticableduetothesizeandthenatureofthecompany.

 

 

12.5.       Theresultsoftheauditsandreviewsshouldbebroughttotheattentionofallpersonnelhavingresponsibility

intheareainvolved.

 

 

12.6.       The management personnel responsible for the area involved should take timely corrective action ondeficienciesfound.

Part B Certification and verification

13.         Certificationandperiodicalverification

 

 

13.1.      TheshipshouldbeoperatedbyacompanywhichhasbeenissuedwithaDocumentofComplianceorwith

anInterimDocumentofComplianceinaccordancewithparagraph14.1,relevanttothatship.

 

 

13.2.       TheDocumentofComplianceshouldbeissuedbytheadministration,byanorganisationrecognisedbytheadministration or, at the request of the administration, by another contracting government to theConventiontoanycompanycomplyingwiththerequirementsof thisCodeforaperiodspecifiedbytheadministrationwhichshouldnotexceedfiveyears.SuchadocumentshouldbeacceptedasevidencethatthecompanyiscapableofcomplyingwiththerequirementsofthisCode.

 

 

13.3.       TheDocumentofComplianceisonlyvalidfor theshiptypesexplicitlyindicatedinthedocument.Suchindicationshouldbebasedonthetypesofshipsonwhichtheinitialverificationwasbased.Othershiptypesshouldonlybeaddedafterverificationofthecompany'scapabilitytocomplywiththerequirementsofthisCodeapplicabletosuchshiptypes.Inthiscontext,shiptypesarethosereferredtoinRegulationIX/1oftheConvention.

 

 

13.4.       ThevalidityofaDocumentofComplianceshouldbesubjecttoannualverificationbytheadministrationor

by an organisation recognised by the administration or, at the request of the administration by anothercontractinggovernmentwithinthreemonthsbeforeoraftertheanniversarydate.

 

 

13.5.       The Document of Compliance should be withdrawn by the administration or, at its request, by thecontracting government which issued the document, when the annual verification required inparagraph

13.4isnotrequestedorifthereisevidenceofmajornon-conformitieswiththisCode.

 

 

13.5.1.   AllassociatedSafetyManagementCertificatesand/orInterimSafetyManagementCertificatesshouldalsobewithdrawniftheDocumentofComplianceiswithdrawn.

 

 

13.6.       AcopyoftheDocumentofComplianceshouldbeplacedonboardinorderthatthemasteroftheship,ifsorequested, may produceit for verification bytheadministration or by anorganisationrecognised bytheadministrationorforthepurposesofthecontrolreferredtoinRegulationIX/6.2oftheConvention.Thecopyofthedocumentisnotrequiredtobeauthenticatedorcertified.

 

 

13.7.      TheSafetyManagementCertificateshouldbeissuedtoashipforaperiodwhichshouldnotexceedfiveyears

by the administration or an organisation recognised by the administration or, at the request of theadministration, by another contracting government. The Safety Management Certificate should be issuedafterverifyingthatthecompanyanditsshipboardmanagementoperateinaccordancewiththeapprovedsafetymanagementsystem.SuchacertificateshouldbeacceptedasevidencethattheshipiscomplyingwiththerequirementsofthisCode.

 

 

13.8.       ThevalidityoftheSafetyManagementCertificateshouldbesubjecttoatleastoneintermediateverification

by the administration or an organisation recognised by the administration or, at the request of theadministration,byanothercontractinggovernment.IfonlyoneintermediateverificationistobecarriedoutandtheperiodofvalidityoftheSafetyManagementCertificateisfiveyears,itshouldtakeplacebetweenthesecondandthirdanniversarydateoftheSafetyManagementCertificate.

 

 

13.9.       Inadditiontotherequirementsofparagraph13.5.1,theSafetyManagementCertificateshouldbewithdrawn

bytheadministration or, at the requestof theadministration, bythe contracting government whichhasissueditwhentheintermediateverificationrequiredinparagraph13.8isnotrequestedorifthereisevidence

of major non-conformity with this Code.

 

 

13.10.    Notwithstandingtherequirementsofparagraphs13.2and13.7,whentherenewalverificationiscompletedwithinthreemonthsbeforetheexpirydateoftheexistingDocumentofComplianceorSafetyManagementCertificate,thenewDocumentofComplianceor thenewSafetyManagementCertificateshouldbevalidfromthedateofcompletionoftherenewalverificationforaperiodnotexceedingfiveyearsfromthedateofexpiryoftheexistingDocumentofComplianceorSafetyManagementCertificate.

 

13.11.     When the renewal verification is completed more than three months before the expiry date of the existing

DocumentofComplianceorSafetyManagementCertificate,thenewDocumentofComplianceorthenewSafetyManagementCertificateshouldbevalidfromthedateofcompletionoftherenewalverificationforaperiodnotexceedingfiveyearsfromthedateofcompletionoftherenewalverification.

 

 

14.         Interimcertification

 

 

14.1.       AnInterimDocumentofCompliancemaybeissuedtofacilitateinitialimplementationofthisCodewhen:

 

 

1.      acompanyisnewlyestablished;or

 

 

2.      newshiptypesaretobeaddedtoanexistingDocumentofCompliance,followingverificationthatthecompanyhasasafetymanagementsystemthatmeetstheobjectivesofparagraph1.2.3ofthisCode,providedthecompanydemonstratesplanstoimplementasafetymanagementsystemmeetingthefullrequirementsofthisCodewithintheperiodofvalidityoftheInterimDocumentofCompliance.Such

anInterimDocumentofComplianceshouldbeissuedforaperiodnotexceeding12monthsbytheadministration  or by an organisation recognised by the administration  or, at the request of theadministration,byanothercontractinggovernment.AcopyoftheInterimDocumentofComplianceshouldbeplacedonboardinorder thatthemasterof theship,ifsorequested,mayproduceitfor

verificationbytheadministrationorbyanorganisationrecognisedbytheadministrationorfor thepurposesofthecontrolreferredtoinRegulationIX/6.2oftheConvention.Thecopyofthedocument

is not required to be authenticated or certified.

 

 

14.2.       AnInterimSafetyManagementCertificatemaybeissued:

 

 

1.      tonewshipsondelivery;

 

 

2.      whenacompanytakesonresponsibilityfortheoperationofashipwhichisnewtothecompany;or

 

 

3.      whenashipchangesflag.

 

 

SuchanInterimSafetyManagementCertificateshouldbeissuedforaperiodnotexceedingsixmonthsbythe   administration   or   an   organisation recognised   by the   administration   or,   at   the   request of   theadministration,byanothercontractinggovernment.

 

 

14.3.       Anadministrationor,attherequestoftheadministration,anothercontractinggovernmentmay,inspecialcases,extendthevalidityofanInterimSafetyManagementCertificateforafurtherperiodwhichshouldnotexceedsixmonthsfromthedateofexpiry.

 

 

14.4.       AnInterimSafetyManagementCertificatemaybeissuedfollowingverificationthat:

 

 

1.      the Document of Compliance, or the Interim Document of Compliance, is relevant to the shipconcerned;

 

 

2.      theSafetymanagementsystemprovidedbythecompanyfortheshipconcernedincludeskeyelements

ofthisCodeandhasbeenassessedduringtheauditforissuanceoftheDocumentofComplianceordemonstratedforissuanceoftheInterimDocumentofCompliance;

 

 

3.      thecompanyhasplannedtheauditoftheshipwithinthreemonths;

 

 

4.      themasterandofficersarefamiliarwiththesafetymanagementsystemandtheplannedarrangementsforitsimplementation;

 

 

5.      instructions,whichhavebeenidentifiedasbeingessential,areprovidedpriortosailing;and

 

 

6.      relevant information on the safety management system has been given in a working language orlanguagesunderstoodbytheship'spersonnel.

 

15.         Verification

 

 

15.1.      AllverificationsrequiredbytheprovisionsofthisCodeshouldbecarriedoutinaccordancewithproceduresacceptabletotheadministration,takingintoaccounttheguidelinesdevelopedbytheorganisation(1).

 

 

16.         Formsofcertificates

 

 

16.1.      TheDocumentofCompliance,theSafetyManagementCertificate,theInterimDocumentofComplianceandtheInterimSafetyManagementCertificateshouldbedrawnupinaformcorrespondingtothemodelsgiven

intheappendixtothisCode.IfthelanguageusedisneitherEnglishnorFrench,thetextshouldincludeatranslationintooneoftheselanguages.

 

 

16.2.       Inadditiontotherequirementsofparagraph13.3theshiptypesindicatedontheDocumentofComplianceandtheInterimDocumentofCompliancemaybeendorsedtoreflectanylimitationsintheoperationsoftheshipsdescribedinthesafetymanagementsystem.

 

 

 

 

 

(1)     Refer to the Revised Guidelines on Implementation of the International Safety Management (ISM) Code by Administrations

adoptedbytheorganisationbyResolutionA.913(22).

 

Annex II

PROVISIONSFORTHEADMINISTRATIONCONCERNINGTHEIMPLEMENTATIONOFTHEINTERNATIONALSAFETYMANAGEMENT(ISM)CODE

 

 

 

PartA    Generalprovisions

 

 

 

PartB    Certificationandstandards

 

 

 

2.      Certificationprocess

 

 

 

3.      Standardofmanagement

 

 

 

4.      Standardsofcompetence

 

 

 

5.      FormofDocumentofComplianceandSafetyManagementCertificate

 

Part A General provisions

1.1.      WhencarryingoutverificationsandcertificationtasksrequiredbytheprovisionsoftheISMCodeforshipsfallingwithinthescopeofthisRegulation,MemberStatesshallcomplywiththerequirementsandstandardslaiddowninPartBofthisTitle.

 

 

 

1.2.      In addition Member States shall take  due  account  of the provisions of the Revised Guidelines on theImplementationoftheInternationalSafetyManagement(ISM)CodebyAdministrations,adoptedbytheIMOthroughResolutionA.913(22)of29November2001,asfarastheyarenotcoveredunderPartBofthisTitle.

Part B Certification and standards

2.         Certificationprocess

 

 

 

2.1.      Thecertificationprocessrelevantfortheissuanceofadocumentofcomplianceforacompanyandasafetymanagementcertificatetoeachshipshallbeperformedtakingaccountoftheprovisionssetoutbelow.

 

 

 

2.2.      Thecertificationprocessshallnormallyinvolvethefollowingsteps:

 

 

 

1.      initialverification;

 

 

 

2.      annualorintermediateverification;

 

 

 

3.      renewalverification;and

 

 

 

4.      additionalverification.

 

 

 

Theseverificationsarecarriedoutattherequestofthecompanytotheadministrationortotherecognisedorganisationwhenactingonbehalfoftheadministration.


 

 

 

2.3.       The verifications shall include a safety management audit.

 

 

2.4.       Aleadauditorand,ifrelevant,anauditteam,shallbenominatedtoperformtheaudit.

 

 

2.5.       Thenominatedleadauditorshallliaisewiththecompanyandproduceanauditplan.

 

 

2.6.       Anauditreportshallbepreparedunderthedirectionoftheleadauditor,whoisresponsibleforitsaccuracyandcompleteness.

 

 

2.7.      Theauditreportshallincludetheauditplan,identificationofauditteammembers,datesandidentificationofthecompany,recordsofanyobservationsandnon-conformitiesandobservationsontheeffectivenessofthesafetymanagementsysteminmeetingthespecifiedobjectives.

 

 

3.         Standardofmanagement

 

 

3.1.      AuditorsortheauditteammanagingverificationofcompliancewiththeISMCodeshallhavecompetenceinrelationto:

 

 

1.      ensuringcompliancewiththerulesandregulationsincludingcertificationofseafarers,foreachtypeofshipoperatedbythecompany;

 

 

2.      approval,surveyandcertificationactivitiesrelevantforthemaritimecertificates;

 

 

3.      thetermsofreferencethatmustbetakenintoaccountunderthesafetymanagementsystemasrequiredbytheISMCode;and

 

 

4.      practicalexperienceofshipoperation.

 

 

3.2.       In performing verification of compliance with the provisions of the ISM Code it shall be ensured thatindependence exists between the personnel providing consultancy services and those involved in thecertificationprocedure.

 

 

4.         Standardsofcompetence

 

 

4.1.      Basiccompetenceforperformingverification

 

 

4.1.1.   PersonnelwhoaretoparticipateintheverificationofcompliancewiththerequirementsoftheISMCodeshallfulfiltheminimumcriteriaforinspectorsaslaiddowninSection2ofAnnexVIItoDirective95/21/EC.

 

 

4.1.2.   TheyshallhaveundergonetrainingtoensureadequatecompetenceandskillsforperformingverificationofcompliancewiththerequirementsoftheISMCode,particularlywithregardto:

 

 

(a)     knowledgeandunderstandingoftheISMCode;

 

 

(b)     mandatoryrulesandregulations;

 

 

(c)     thetermsofreferencewhichtheISMCoderequiresthatcompaniesshouldtakeintoaccount;

 

 

(d)     assessmenttechniquesofexamining,questioning,evaluatingandreporting;

 

 

(e)     technicaloroperationalaspectsofsafetymanagement;

 

 

(f)      basicknowledgeofshippingandshipboardoperations;and


 

 

 

(g)     participation in at least one marine related management system audit.

 

 

4.2.      Competenceforinitialverificationandrenewalverification

 

 

4.2.1.   InordertoassessfullywhetherthecompanyoreachtypeofshipcomplieswiththerequirementsoftheISMCode,inadditiontothebasiccompetencestatedabove,personnelwhoaretoperforminitialverificationsorrenewalverifications foradocumentofcomplianceandasafetymanagementcertificate,mustpossessthecompetenceto:

 

 

(a)     determinewhetherornottheelementsofthesafetymanagementsystem(SMS)conformwiththeISMCode;

 

 

(b)     determinetheeffectivenessofthecompany'sSMS,orthatofeachtypeofship,toensurecompliancewithrulesandregulationsasevidencedbythestatutoryandclassificationsurveyrecords;

 

 

(c)     assesstheeffectivenessoftheSMSinensuringcompliancewithotherrulesandregulationswhicharenotcoveredbystatutoryandclassificationsurveysandenablingverificationofcompliancewiththeserulesandregulations;and

 

 

(d)     assesswhetherthesafepracticesrecommendedbytheIMO,administrations,classificationsocietiesandmaritimeindustryorganisationshavebeentakenintoaccount.

 

 

4.2.2. Thiscompetencecanbeaccomplishedbyteams,whichtogetherpossessthetotalcompetencerequired.

 

 

5.         Formofdocumentsofcomplianceandsafetymanagementcertificates

 

 

WhenshipsoperateonlyinaMemberState,MemberStatesshalleitherusetheformsattachedtotheISMCode or the Document of Compliance, the Safety Management Certificate, the Interim Document ofComplianceandtheInterimSafetyManagementCertificatedrawnupintheformsetoutbelow.

 

 

IntheeventofaderogationunderArticle7(1)and,ifapplicable,Article7(2),thecertificateissuedshallbedifferentfromtheonereferredtoaboveandclearlyindicatethataderogationinaccordancewithArticle7(1)and,ifapplicable,Article7(2)ofthisRegulation,hasbeengrantedandshallincludetheapplicableoperationallimitations.


 

 

 

DOCUMENT OF COMPLIANCE

 

 

(Official seal)/(State)

 

 

CertificateNo

 

 

Issuedundertheprovisions[oftheINTERNATIONALCONVENTIONFORTHESAFETYOFLIFEATSEA,1974,asamendedand](*)ofRegulation(EC)No336/2006ontheimplementationoftheISMCodewithintheCommunity

 

 

UndertheauthorityoftheGovernmentof   ..........................................................................

 

(NameoftheState)

 

 

by.....................................................................................................................

 

(personororganisationauthorised)

 

 

Nameandaddressofthecompany   ..................................................................................

 

(seeparagraph1.1.2ofPartAofAnnexItoRegulation(EC)No336/2006)

 

 

THISISTOCERTIFY THATthesafetymanagementsystemofthecompanyhasbeenauditedandthatitcomplieswith the requirements of the International Management Code for the Safe Operation of Ships and for PollutionPrevention(ISMCode)forthetypesofshipslistedbelow(deleteasappropriate):

 

 

Passengership

 

 

Passengerhigh-speedcraftCargohigh-speedcraftBulkcarrier

OiltankerChemicaltankerGascarrier

Mobileoffshoredrillingunit

 

 

Othercargoship

 

 

Ro-ropassengerferry

 

 

 

 

 

(*)     May be deleted for ships engaged only on voyages within one Member State.


 

 

 

This Document of Compliance is valid until ........., subject to periodical verification.

 

 

Issuedat ..............................................................................................................

 

(placeofissueofthedocument)

 

 

Dateofissue..........................................................................................................

 

(Signatureofthedulyauthorisedofficialissuingthedocument)

 

(Sealorstampofissuingauthority,asappropriate)


 

 

 

Certificate No

 

 

 

ENDORSEMENT FOR ANNUAL VERIFICATION

 

THISISTOCERTIFYTHAT,attheperiodicalverificationinaccordancewith[RegulationIX/6.1oftheConventionandparagraph13.4oftheISMCodeand](*)Article6ofRegulation(EC)No336/2006ontheimplementationoftheISMCodewithintheCommunity,thesafetymanagementsystemwasfoundtocomplywiththerequirementsoftheISMCode.

 

 

 

1stANNUALVERIFICATION                               Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

2ndANNUALVERIFICATION                             Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

3rdANNUALVERIFICATION                              Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

4thANNUALVERIFICATION                              Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(*)     May be deleted for ships engaged only on voyages within one Member State.


 

 

 

SAFETY MANAGEMENT CERTIFICATE

 

 

(Official seal)/(State)

 

 

CertificateNo

 

 

Issuedundertheprovisions[oftheINTERNATIONALCONVENTIONFORTHESAFETYOFLIFEATSEA,1974,asamendedand](*)ofRegulation(EC)No336/2006ontheimplementationoftheISMCodewithintheCommunity

 

 

UndertheauthorityoftheGovernmentof   ..........................................................................

 

(nameoftheState)

 

 

by.....................................................................................................................

 

(personororganisationauthorised)Nameofship:   ........................................................................................................Distinctivenumberorletters:.........................................................................................Portofregistry: .......................................................................................................Typeofship(**):......................................................................................................Grosstonnage:........................................................................................................IMOnumber: .........................................................................................................

Nameandaddressofcompany: ......................................................................................

 

(seeparagraph1.1.2ofPartAofAnnexItoRegulation(EC)No336/2006)

 

 

THISISTOCERTIFYTHATthesafetymanagementsystemoftheshiphasbeenauditedandthatitcomplieswiththerequirementsof theInternationalManagementCodefor theSafeOperationofShipsandforPollutionPrevention

(ISMCode),followingverificationthattheDocumentofCompliancefortheCompanyisapplicabletothistypeofship.

 

 

This Safety Management Certificate is valid until ........., subject to periodical verification and the Document of

Compliance remaining valid.

 

 

Issuedat ..............................................................................................................

 

(placeofissueofthedocument)

 

 

Dateofissue..........................................................................................................

 

(Signatureofthedulyauthorisedofficialissuingthecertificate)

 

(Sealorstampofissuingauthority,asappropriate)

 

 

 

 

 

 

(*)     May be deleted for ships engaged only on voyages within one Member State.

(**)     Insertthetypeofshipfromamongthefollowing:passengership,passengerhigh-speedcraft,cargohigh-speedcraft,bulkcarrier,oiltanker,chemicaltanker,gascarrier,mobileoffshoredrillingunit,othercargoship,ro-ropassengerferry.


 

 

 

Certificate No

 

 

ENDORSEMENTFORINTERMEDIATEVERIFICATIONANDADDITIONALVERIFICATION(IFREQUIRED)

 

THISISTOCERTIFYTHAT,attheperiodicalverificationinaccordancewith[RegulationIX/6.1oftheConventionandparagraph13.8oftheISMCodeand](*)Article6ofRegulation(EC)No336/2006ontheimplementationoftheISMCodewithintheCommunity,thesafetymanagementsystemwasfoundtocomplywiththerequirementsoftheISMCode.

 

 

 

 


 

INTERMEDIATE VERIFICATION (to be

completedbetweenthesecondandthirdanniversarydate)


Signed:  . . .............................................................. 

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................


 

ADDITIONALVERIFICATION(**)                       Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

ADDITIONALVERIFICATION(**)                       Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

ADDITIONALVERIFICATION(**)                       Signed: ................................................................

 

 

(Signatureofauthorisedofficial)

 

 

Place:   .................................................................Date: ..................................................................

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(*)     May be deleted for ships engaged only on voyages within one Member State.

(**)     Ifapplicable.Referenceismadetoparagraph13.8oftheISMCodeandparagraph3.4.1oftheGuidelinesonImplementation

oftheInternationalSafetyManagement(ISM)CodebyAdministrations(ResolutionA.913(22)).


 

 

 

INTERIM DOCUMENT OF COMPLIANCE

 

 

(Official seal)/(State)

 

 

CertificateNo

 

 

Issuedundertheprovisionsof[oftheINTERNATIONALCONVENTIONFORTHESAFETYOFLIFEATSEA,1974,asamendedand](*)ofRegulation(EC)No336/2006ontheimplementationoftheISMCodewithintheCommunity

 

 

UndertheauthorityoftheGovernmentof   ..........................................................................

 

(nameoftheState)

 

 

by.....................................................................................................................

 

(personororganisationauthorised)

 

 

Nameandaddressofthecompany   ..................................................................................

 

(seeparagraph1.1.2ofPartAofAnnexItoRegulation(EC)No336/2006)

 

 

THIS IS TO CERTIFY THAT the safety management system of the company has been recognised as meeting theobjectivesofparagraph1.2.3ofPartAofAnnexItoRegulation(EC)No336/2006for thetype(s)ofshipslistedbelow(deleteasappropriate):

 

 

Passengership

 

 

Passengerhigh-speedcraftCargohigh-speedcraftBulkcarrier

OiltankerChemicaltankerGascarrier

Mobileoffshoredrillingunit

 

 

Othercargoship

 

 

Ro-ropassengerferry

 

 

 

 

 

(*)     May be deleted for ships engaged only on voyages within one Member State.


 

 

 

This Interim Document of Compliance is valid until  . . . .............................................................. 

 

 

Issuedat:   .............................................................................................................

 

(placeofissueofthedocument)

 

 

Dateofissue: .........................................................................................................

 

(Signatureofthedulyauthorisedofficialissuingthedocument)

 

(Sealorstampofissuingauthority,asappropriate)


 

 

 

INTERIM SAFETY MANAGEMENT CERTIFICATE

 

 

(Official seal)/(State)

 

 

CertificateNo

 

 

Issuedundertheprovisionsof[oftheINTERNATIONALCONVENTIONFORTHESAFETYOFLIFEATSEA,1974,asamendedand](*)ofRegulation(EC)No336/2006ontheimplementationoftheISMCodewithintheCommunity

 

 

UndertheauthorityoftheGovernmentof   ..........................................................................

 

(nameoftheState)

 

 

by.....................................................................................................................

 

(personororganisationauthorised)Nameofship:   ........................................................................................................Distinctivenumberorletters:.........................................................................................Portofregistry: .......................................................................................................Typeofship(**):......................................................................................................Grosstonnage:........................................................................................................IMOnumber: .........................................................................................................

Nameandaddressofcompany: ......................................................................................

 

(seeparagraph1.1.2ofPartAofAnnexItoRegulation(EC)No336/2006)

 

 

THIS IS TO CERTIFY THAT the requirements of paragraph 14.4 of Part A of Annex I to Regulation (EC)No336/2006havebeenmetandthattheDocumentofCompliance/InterimDocumentofCompliance(***)ofthecompanyisrelevanttothisship.

 

 

ThisInterimSafetyManagementCertificateisvaliduntil................,subjecttotheDocumentofCompliance/Interim

Document of Compliance (***) remaining valid.

 

 

Issuedat:....

 

(placeofissueofthedocument)

 

 

Dateofissue: .........................................................................................................

 

(Signatureofthedulyauthorisedofficialissuingthecertificate)

 

(Sealorstampofissuingauthority,asappropriate)

 

 

 

 

 

(*)     May be deleted for ships engaged only on voyages within one Member State.

(**)     Insertthetypeofshipfromamongthefollowing:passengership,passengerhigh-speedcraft,cargohigh-speedcraft,bulkcarrier,oiltanker,chemicaltanker,gascarrier,mobileoffshoredrillingunit,othercargoship,ro-ropassengerferry.

(***)   Deleteasappropriate.


 

 

 

Certificate No

 

 

ThevalidityofthisInterimSafetyManagementCertificateisextendedto:

 

 

Dateofextension: ....................................................................................................

 

(Signatureofthedulyauthorisedofficialextendingthevalidity)

 

(Sealorstampofissuingauthority,asappropriate)

 

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