Proposal for a Regulation of the European Parliament and of the Council on the implementation of the International Safety Management Code within the Community
Date: 2003-12-11
Institutions: European Commission
Subjects: EU law, code of conduct, international instrument, maritime safety, pollution control measures

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 11.12.2003
COM(2003) 767 final

2003/0291 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the implementation of the International Safety Management Code within the
Community

(presented by the Commission)

EN

  EN

EXPLANATORY MEMORANDUM

1.

Background

The International Management Code for the Safe Operation of Ships and Pollution Prevention
(International  Safety  management  (ISM)  Code)  was  adopted  by  the  International  Maritime
Organization  (IMO)  10  years  ago1  to  provide  a  blueprint  for  the  way  shipping  companies
should  manage  and  operate  their  fleets  and  to  promote  the  development  of  a  widespread
safety  culture  and  environmental  conscience  in  shipping.  By  defining  the  company’s
responsibility  for  safety  and  ensuring  that  senior  management  could  more  easily  be  held
accountable, the code seeks to ensure that safety should be given top priority.

At  the  time  of  its  adoption  it  was  not  mandatory;  nevertheless  Governments  were  strongly
urged to implement the ISM Code on a national basis, as soon as possible but not later than
1 June 1998. Due to a low response to this request the IMO decided in May 1994 to make the
Code mandatory. Compliance with the Code became mandatory for tankers, passenger ships
and  bulk  carriers  on  1  July1998,  under  the  first  phase  of  ISM  implementation.  Since
1 July 2002 all other vessels covered by the SOLAS Convention, which  includes  all but the
smallest internationally-trading vessels, must comply.

The ISM Code is part of Chapter IX of the International Convention on the Safety of Life at
Sea (SOLAS). The ISM Code is mandatory for all types of ships for all the contracting parties
to the SOLAS Convention, thus for all Member States and acceding countries, as well as for
Norway and Iceland under the EEA Agreement.

In  response  to  the  Estonia  tragedy  it  was  decided  at  Community  level  to  anticipate  the
implementation  of  the  ISM  Code  for  ro-ro  passenger  ferries  engaged  on  international  and
domestic voyages within the Community. Consequently the Council adopted Regulation (EC)
No 3051/95 of 8 December 1995 on the Safety Management of ro-ro passenger ferries (ISM
Code), which entered into force on 1 July 1996.

The  purpose  of  Regulation  (EC)  No  3051/95  is  to  enhance  the  safe  management,  safe
operation and pollution prevention of all ro-ro passenger ferries operating to or from ports of
the  Member  States  of  the  Community  on  a  regular  service  by  ensuring  that  companies
operating ro-ro ferries comply with the  ISM  Code, regardless  of whether  the  ferries operate
on domestic journeys or on international voyages.

This Regulation has been amended twice through comitology:

-  By  Commission  Regulation  (EC)  No  179/98  of  23  January  1998  to  introduce  rules
concerning the issuance of interim documents and certificates and the IMO forms of the ISM
documents and certificates. At the same time relevant guidelines for the Administrations have
been inserted  on the basis of the  IMO Guidelines,  adopted  by  Assembly  Resolution  A.  788
(19) of 23 November 1995. These amendments were introduced in order to ensure a uniform
implementation of the ISM Code rules for ferries operating in Europe, coherent with the ISM
rules applicable at worldwide level.

1

Adopted on 4 November 1993 by IMO Resolution A.741(18)

2

 
                                                
to 

the  Code 

- By Commission Regulation (EC) No1970/2002 to update the provisions of the Regulation,
taking  account  of  the  amendments  to  the  Code  adopted  at  IMO  level.  On  the  one  hand
amendments 
(73)  on
5 December 2000  by  the  Maritime  Safety  Committee  (MSC),  and  on  the  other  hand
amendments to the IMO Guidelines adopted through Assembly Resolution A.913 (22) of 29
November 2001. Following these amendments all the ISM certificates have been inserted in
the  Code,  together  with  some  parts  of  the  IMO  Guidelines.  These  amendments  came  into
force on 1 July 2002. The Commission Regulation entered into force on 26 November 2002.

through  Resolution  MSC.104 

itself,  adopted 

2.

Justification of the new proposal

The  ISM  Code  philosophy  is  based  on  a  global  approach  and  is  applicable  to  all  types  of
ships. The restriction to ro-ro passenger ferries in the EU legislation was justified by historical
reasons which are now outdated. It is therefore considered appropriate to expand the scope of
Regulation (EC) No 3051/95 through the adoption of a new Regulation and to cover in that
Regulation at least the same companies and ships as are covered by Chapter IX of the SOLAS
Convention.

As contracting parties to the SOLAS  Convention all Member States  have  accepted the  ISM
Code and are bound to apply this Code to their ships sailing on international voyages. There
are  however  no  justified  reasons  not  to  appply  the  ISM  philosophy  to  ships  and  companies
operating on domestic voyages within the Community.

General  guidance  to  flag  States’  administrations  on  the  implementation  of  the  ISM  Code  is
provided through Resolution A.788 (19), which has already been incorporated in Regulation
(EC) No 3051/95.

Whilst the application of the main part of the ISM Guidelines is mandatory within the EU, for
ferries  operating  on  a  regular  service  to  and  from  European  ports,  the  application  of  the
Guidelines  to  all  other  ships  has  entirely  been  left  to  the  discretion  of  the  national
administrations.  In  addition,  for  several  types  of  ships,  in  particular  cargo  vessels,
administrations to a large extent rely upon organisations which they have recognized for the
ISM  certification.  In  those  cases  national  administrations  seldom  check  themselves  the
compliance of their companies and ships with the rules.

When Regulation (EC) No 3051/95 was adopted Member States and the European Parliament
stated that the application of the ISM Code to ro-ro passenger ferries was a priority, but also
that it was the first of a series of continuing initiatives to improve safety at sea.

One of the main initiatives  to be undertaken in this  context  is  the  harmonised  and  effective
implementation in the Community of agreed international requirements.

To ensure this, the Commission proposes to adopt a new Regulation of a more general nature,
replacing  Regulation  (EC)  No  3051/95.  In  this  context,  it  is  also  important  to  render  the
relevant IMO guidelines for administration mandatory for all ships flying a flag of a Member
State.

A  number  of  advantages  flow  from  including  the  full  ISM  Code  and  a  coherent  set  of
provisions related to the certification process in the Community's maritime safety legislation:

- Through the incorporation of the ISM Code in Community legislation a legal basis is created
for the monitoring of its implementation.

3

 
-  In  the  context  of  the  Paris  Memorandum  of  Understanding  on  Port  State  Control  (Paris
MoU) some  importance  is  placed  on  implementation  of  the  ISM  Code  The  Paris  MOU  has
carried  out  a  substantial  Concentrated  Inspection  Campaign  (CIC)  to  monitor  the
implementation of the Code  on  board ships.  Its conclusions  underlined  the  need to  improve
the correct implementation of the ISM Code2.

- Through its direct reference to the ISM Code, this proposal strengthens the implementation
of  the  ISM  Code  in  the  framework  of  inspections  carried  out  under  Council  Directive
95/21/EC related to Port State Control, as amended.

- Directive 94/57/EC dealing with the EU recognition of Classification Societies is applicable
for  all  ISM  certification  tasks  undertaken  on  behalf  of  flag  States.  A  reference  is  made
directly to this Directive for the purpose of defining the “recognised organisation” and for the
criteria  which  such  organisations  have  to  fulfil  to  carry  out  ISM  audits  and  certification  on
behalf of Member States.

The proposed Regulation facilitates the correct, strict and harmonised implementation of the
Code in all Member States and acceding countries.

Finally,  the  proposed  Regulation  will  facilitate  the  European  Maritime  Safety  Agency’s
position to undertake technical co-operation activities related to ISM tasks when this Code is
part of Community Law.

3.

Content of the proposal

The  purpose  of  this  Regulation  is  to  enhance  the  safe  management,  safe  operation  and
pollution prevention of:

-  Cargo  ships,  flying  the  flag  of  a  Member  State,  engaged  on  international  and  domestic
voyages;

- Passenger ships, flying the flag of a Member State, engaged on international voyages;

- Passenger ships engaged on domestic voyages in sea areas of Class A and B, as defined in
article 4 of Directive 98/18/EC, regardless of their flag;

- Ro-Ro passenger ferries operating to or from ports of the Member States of the Community
on a regular ro-ro passenger ferry service, regardless of their flag.

-  Cargo  ships,  operating  to  or  from  ports  of  the  Member  States  of  the  Community  on  a
cabotage feeder service, regardless of their flag;

The purpose of this Regulation is to maintain in parallel the existing EU ISM rules applicable
to ro-ro ferries, irrespective of their flag and sailing on a regular service to and from European
ports.

The scope of the  proposed  Regulation is based  on  the provisions  of Chapter IX of  SOLAS,
and applies, with restriction concerning the gross tonnage of the ships concerned, to all ships
falling under the scope of the SOLAS Convention and flying the flag of a Member State, even

2

Statistics  from  Paris  MOU  and  preliminary  results  of  the  Concentrated  Inspection  Campaign  on  ISM
carried out between 1st July 2002 and 30 September 2002 indicate that there is a clear need for stricter
implementation and enforcement of the Code.

4

 
                                                
if they operate on domestic voyages. Nevertheless for passenger ships operating on domestic
voyages the provisions will only apply to passenger ships operating more than 5 miles from
the coastline, but these rules will apply to all flags.

Any  Companies  operating  one  or  more  of  the  above  mentioned  ships  will  have  to  comply
with the Regulation.

For  ships  flying  the  flag  of  a  third  country,  in  so  far  as  they  do  not  operate  on  domestic
voyages within the Community  and  for the  Companies  operating  them  which  already  apply
the requirements of Chapter IX of SOLAS, compliance with SOLAS will be checked through
the port State control regime set up under Directive 95/21/EC, as amended.

4.

Specific considerations

The articles follow the same logic as Chapter IX of the SOLAS Convention. The ISM Code is
reproduced in extenso in Title I of the Annex to the Regulation, whilst for the Guidelines for
Administrations  the  strucure  introduced  through  Regulation  (EC)  No  3051/95,  as  amended,
has been kept and reproduced in Title II of the Annex. At the date of entry into force of this
Regulation, Council Regulation (EC) No 3051/95, as amended, will be repealed.

Article 1

This Article clarifies the objective of the Regulation between the management of safety at sea
and the control related to this aim.

Article 2

This Article contains the definitions of the key terms used in the Regulation. The definitions
are  based  on  the  IMO  SOLAS  Convention  (Convention  for  the  Safety  of  Life  at  Sea),  on
Regulation (EC) No 3051/95 as amended and on Directive 97/54/EC, as amended.

Article 3

Article 3 defines the application of the Regulation and the exceptions, in particular, passenger
ships (with reference to Directive 98/18/EC as amended) and cargo ships.

Article 4

This  Article  introduces  the  obligation  of  the  companies  concerning  the  safety  management
requirements.

Article 5

This Article refers to obligations imposed on the Member States, addressing in particular the
certification  process  (Documents  of  Compliance,  Safety  Management  Certificate)  and  the
possible reliance on recognised organisations’ obligations, by reference to specific ISM Code
mandatory  provisions  (Title  II  of  the  Annex  referring  to  Part  B  of  the  ISM  Code).

Article 6

This Article introduces a process of verification by the Administration.

5

 
Article 7

This  Article  refers  to  the  already  existing  safeguard  procedure  concerning  ro-ro  passenger
ferry services  (Council  Regulation (EC) No 3051/EC). This  Article  introduces  a  suspension
procedure when there is a risk to safety, including that of the environment.

Article 8

This article deals with monitoring the implementation of this Regulation and to the obligation
for Member States to establish a system of sanctions.

Article 9

This Article introduces the reporting requirements.

Article 10

This  Article  introduces  the  right  to  amend  the  Regulation  in  order  to  take  account  of
international  developments  at  IMO  level  and  amendments  of  international  instruments
referred to in Article 2 of the proposed Regulation.

Article 11

This Article refers to the committee designated to assist the Commission in the interpretation
and  implementation  of  the  Regulation  in  accordance  with  Regulation  (EC)  No  2099/2002
(COSS)

Article 12

For  the  simplification  of  Community  law,  this  Article  repeals  Council  Regulation  (EC)  No
3051/EC, amended by Commission Regulation (EC) No 179/98 and Commission Regulation
(EC) No 1970/2002. Rather than introducing amendments to the majority of their Articles, it
replaces them with the Regulation now  proposed. Also under this  Article the  Documents of
compliance and safety management certificates issued before 1 July 1998 by administrations
and recognized organisations remain valid until their date of expiry.

Annex

Title I

This Title introduces the ISM Code and certificates adopted at IMO Level.

Tile II

This Title introduces the mandatory provisions for the Administration of the Member States
concerning  the  implementation  of  the  ISM  Code  and  the  certificates  related  with  specific
reference to the ISM Code and provision of the proposed Regulation.

6

 
2003/0291 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the implementation of the International Safety Management Code within the
Community

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article
80 (2) thereof,

Having regard to the proposal from the Commission3,

Having regard to the opinion of the European Economic and Social Committee4,

Having regard to the opinion of the Committee of the Regions5,

Acting in accordance with the procedure laid down in Article 251 of the Treaty6,

Whereas:

(1)

(2)

(3)

The International Safety Management Code providing for the safe operation of ships
and for pollution prevention, hereinafter referred to as the “ISM Code”, was adopted
by  the  International  Maritime  Organisation  (IMO)  through  the  Assembly  Resolution
A.741  (18)  of  4  November  1993.  This  Code  became  gradually  mandatory  for  most
ships  sailing  on  international  voyages  through  the  inclusion  of  Chapter  IX
“Management for the safe operation of ships” in the International Convention for the
Safety of Life at Sea 1974 (SOLAS) , adopted on 24 May 1994

The  ISM  Code  has  been  amended  by  the  IMO  through  Resolution  MSC.104  (73),
adopted on 5 December 2000

Guidelines on the implementation of the International Safety Management (ISM) Code
by  Administrations  were  adopted  by 
(19)  on
23 November 1995.  These  Guidelines  were  amended  by  Resolution  A.913(22),
adopted on 29 November 2001

IMO  Resolution  A.788 

3

4

5

6

OJ C -, -, p.-.
OJ C -, -, p.-.
OJ C -, -, p.-.
OJ C -, -, p.-.

7

 
                                                
(4)

(5)

(6)

(7)

(8)

Council  Regulation  (EC)  n°3051/957  of  8  December  1995  on  safety  management  of
roll-on/roll-off  passenger  ferries  (ro-ro  ferries)  made  the  ISM  Code  mandatory  at
Community level with effet from 1 July 1996 for all ro-ro passenger ferries operating
on a regular service to and from ports of the Member States of the  Community on a
regular  service,  both  on  domestic  and  international  voyages  and  irrespective  of  their
flag. This was a first step to ensure a uniform and coherent implementation of the ISM
Code in all Member States

On 1 July 1998 the ISM Code became mandatory under the provisions of Chapter IX
of  the  SOLAS  Convention  for  companies  operating  passenger  ships,  including  high
speed  passenger  craft,  oil  tankers,  chemical  tankers,  gas  carriers,  bulk  carriers  and
cargo high speed craft of 500 gross tonnage and upwards, on international voyages

On 1 July 2002 the ISM Code became mandatory for companies operating other cargo
ships  and  mobile  offshore  drilling  units  of  500  gross  tonnage  and  upwards,  on
international voyages;

Safety of human life at sea and the protection of the environment may be effectively
enhanced by applying the ISM Code strictly and on a mandatory basis

The  adoption  of  a  new  Regulation  with  direct  applicability,  will  ensure  the
enforcement of the ISM Code

(9)

Consequently Regulation (EC) No 3051/95 shall be repealed

(10)

(11)

(12)

It is necessary to take into account Council Directive 94/57/EC of 22 Nvember 1994
on common ruels and standards for ship inspection  and  survey  organizations  and  for
the relevant activities of  maritime  administrations8, in order to define the  recognized
organisations for the purpose of this Regulation, and Council Directive 98/18/EC of 17
March  1998  on  safety  rules  and  standards  for  passenger  ships9,  for  the  purpose  of
establishing  the  scope  of  application  of  this  Regulation  as  regards  passenger  ships
engaged on domestic voyages

It is necessary to take into account Council Directive 95/21/EC on Port State Control,
as amended and, as amended;

The measures necessary for the implementation of this Regulation shall be adopted in
accordance  with  Council  Decision  1999/468/EC  of  28  June  1999  laying  down  the
procedures for the exercise of implementing powers conferred on the Commission10

HAVE ADOPTED THIS REGULATION:

7

8

9

10

OJ L 320, 30.12.1995, p. 14.
OJ L 157, 7.7.1995, p 1.
OJ L 144, 15.5.1998, p;1.
OJ L 184, 17.07.1999, p 26.

8

 
                                                
Article 1
Objective

The  purpose  of  this  Regulation  is  to  enhance  the  safe  management,  safe  operation  and
pollution  prevention  of  ships  flying  the  flag  of  a  Member  State  and  of  all  ro-ro  passenger
ferries operating on a regular service to or from ports of the Member States of the European
Union, by ensuring that companies operating those ships comply with the ISM Code through:

–  the  establishment  and  proper  maintenance  of  the  ship-board  and  shore  based  safety

management systems by companies, and,

–  the control thereof by flag and port State administrations.

Article 2
Definitions

For the purpose of this Regulation the following definitions shall aplly:

(1) ‘ISM Code’ means  the  International  Management  Code  for  the  Safe  Operation  of  Ships
and  for  Pollution  Prevention,  adopted  by  the  International  Maritime  Organisation  (IMO)
through  Assembly  Resolution  A.741  (18)  of  4  November  1993,  as  amended  by  IMO
Resolution MSC.104 (73) of 5 December 2000 and annexed to this Regulation;

(2) ‘Recognized organization’ means a body recognised in accordance with the provisions of
Directive 94/57/EC, as amended;

(3) ‘Company’ means the owner of the ship or any other organisation or a person such as the
manager or the bareboat charterer, who has assumed the responsibility for the operation of the
ship from the shipowner and who on assuming such responsibility has agreed to take over all
the duties and responsibility imposed by the ISM Code;

(4)  ‘Passenger  ship’  means  a  ship,  including  a  high-speed-craft,  carrying  more  than  twelve
passengers;

(5) ‘Passenger’ means every person other than:

(a)  the  master  and  the  members  of  the  crew  or  other  persons  employed  or  engaged  in  any
capacity on board a ship on the business of that ship; and

(b) a child under one year of age;

(6)  ‘Cargo  ship’  means  a  ship,  including  a  high-speed-craft,  of  500  tons  gross  tonnage  and
upwards which is not a passenger ship;

(7) ‘International voyage’ means a voyage from a Member State or any other State to a port
outside such State, or conversely

(8) ‘Domestic voyage’ means a voyage in sea areas from a port of a Member State to the same
or another port within that Member State;

9

 
(9) ‘Regular ro-ro passenger ferry service’ means a series of ro-ro ferry crossings operated so
as to serve traffic between the same two or more points, either:

(a) according to a published timetable; or

(b) with crossings so regular or frequent that they constitute a recognisable systematic series;

(10) ‘Ro-ro passenger ferry’ shall mean a seagoing passenger vessel with facilities to enable
road or rail vehicles to roll on and roll off the vessel, and carrying more than 12 passengers.

1.

The Regulation shall apply to:

Article 3
Application

(a)  cargo  ships,  flying  the  flag  of  a  Member  State,  engaged  on  international  and  domestic
voyages;

(b) passenger ships, flying the flag of a Member State, engaged on international voyages;

(c) passenger ships engaged on domestic voyages in sea areas of Class A and B, as defined in
Article 4 of Directive 98/18/EC, regardless of their flag;

(d) ro-ro passenger ferries operating to or from ports of the Member States of the Community
on a regular ro-ro passenger ferry service, regardless of their flag;

(e)  cargo  ships  operating  to  or  from  ports  of  the  Member  States  of  the  Community  on  a
cabotage feeder service, regardless of their flag.

2.

This Regulation does not apply to:

(a) ships of war and troop ships

(b)  pleasure  yachts  and  pleasure  craft,  unless  they  are  or  will  be  crewed  and  carrying  more
than 12 passengers for commercial purposes

(c) fishing vessels.

Article 4
Safety management requirements

The company and the ship shall comply with the requirements of the ISM Code.

The safety-management system shall be maintained in accordance with the provisions of the
ISM Code.

Article 5
Certification

Member States shall comply with the provisions of Part B of the ISM Code and Title

1.
II of the Annex to this Regulation.

10

 
2.
A Document of Compliance shall  be  issued to  every  company,  which complies with
the requirements of the ISM Code. This document shall be issued by the administration of a
Member State or by a recognized organization acting on its behalf.

3.
The  Document  of  Compliance  shall  remain  valid  for  five  years  from  the  date  of  its
issue,  provided  that  a  verification  takes  place  once  a  year,  in  order  to  confirm  the  proper
functioning  of  the  safety  management  system  and  to  confirm  that  any  modifications
introduced since the latest verification satisfy the provisions of the ISM Code.

4.
A Member State may only issue Documents of Compliance for companies which have
their principal place of business on its own territory. Prior to such issue, the Member States
shall consult the administration of the States whose flag each type of that company’s ships is
entitled to fly, if that administration is not that of the issuing Member State.

A copy of the Document of Compliance shall be kept on board the ship in order that

5.
the master may produce it on request for verification.

6.
A Certificate, called a Safety Management Certificate, shall be issued to every ship by
the administration of  a Member States  or a recognized organisation  actig  on  its  behalf.  The
administration  or  recognized  organisation  shall,  before  issuing  the  Safety  Management
Certificate, verify that the company and its shipboard management operate in accordance with
the approved safety-management system.

The Safety Management Certificate shall remain valid for five years from the date of
7.
its  issue,  provided  that  an  intermediate  verification  takes  place  at  least  every  30  months  in
order  to  confirm  the  proper  functioning  of  the  safety  management  system  and  that  any
modifications introduced since the latest verification satisfy the provisions of the ISM Code.

8.
For  the  purposes  of  this  Regulation,  and  in  particular  Article  6,  each  Member  State
shall  accept  a  Document  of  Compliance  or  a  Safety  Management  Certificate  issued  by  the
administration of any other Member State or by a recognised organization acting on its behalf.

9.
A  Member  State  shall  recognise  the  Documents  of  Compliance  and  Safety
Management Certificates issued by, or on behalf of, the administrations of third countries if it
is satisfied that they demonstrate compliance with the provisions of this Regulation.

Documents  of  Compliance  and  Safety  Management  Certificates  issued  on  behalf  of
administrations  of  third  countries  may  only  be  recognised  if  they  have  been  issued  by  a
recognised organization.

Article 6
Verification

Member States shall satisfy themselves that all companies operating ships falling within the
scope of this Regulation comply with the provisions of this Regulation.

The  Member  State  involved  in  the  certification,  another  Member  State  at  the  request  of
another Member State or a recognized organisation acting on behalf shall periodically verify
the proper functioning of the ship’s safety-management system.

11

 
Article 7
Safeguard procedure

Where  a  Member  State  considers  that  notwithstanding  the  fact  thata  company  holds  a
Document of Compliance, this company cannot operate a ship falling within the scope of this
Regulation on a service to or from Member State’s ports on the grounds that there is a risk of
serious danger to safety of life, property, or the environment, the operation of such a service
may be suspended until such time as the danger is removed.

In those circumstances the following procedure shall apply:

(a)  the  Member  State  shall  inform  the  Commission  and  the  other  Member  States  of  its
decision without delay, giving substantiated reasons therefor;

(b) the Commission shall examine whether the suspension is  justified for  reasons  of serious
danger to safety and/or the environment;

(c) it will be decided, in accordance with the procedure referred to in Article 11 (2), whether
or not the decision of the Member State to suspend the operation of such service is justified
for  reasons  of  serious  danger  to  safety  of  life  or  property,  or  the  environment.  If  the
suspension  is  not  justified,  the  Member  State  concerned  shall  be  required  to  withdraw  the
suspension.

Article 8
Penalties

Member  States  shall  laiy  down  the  rules  on  penalties  applicable  to  infringements  of  the
provisions  of  this  Regulation  and  shall  take  all  the  measures  necessary  ensure  that  they  are
implemented. The penalties provided must be effective, proportionate and dissuasive.

Article 9
Reporting

Member  States  shall  annually  report  to  the  Commission  on  the  implementation  of  the  ISM
Code.

The Commission shall establish a harmonised specimen form for such reports.

The Commission shall, with the assistance of European Maritime Safety Agency, within six
months  after  having  received  reports  from  Member  States  prepare  a  consolidated  report
concerning the implementation of this Regulation with the proposed measures if appropriate.

Article 10
Amendments

In order to take account of developments at international level and, in particular, in the IMO:

(a) the definition of the ISM Code in Article 2;

(b)  the  periods  of  validity  of  the  document  of  compliance  and/or  the  safety  management
certificate and the frequency of verification relating thereto in Article 5 (3) and (7);

12

 
(c) the Annex;

(d) the definition of 'recognised organization' in Article 2;

may be amended, in accordance with the procedure referred to in Article 11 (2), in particular
to  update  the  provisions  for  the  administrations  concerning  the  implementation  of  the  ISM
Code.

Article 11
Committee

1. The Commission  shall  be  assisted  by  the  Committee  on  Safe  Seas  and  the  Prevention  of
Pollution from Ships (COSS) created by Article 3 of Regulation (EC) No 2099/2002.

2.  Where  reference  is  made  to  this  paragraph,  Articles  5  and  7  of  Council  Decision
1999/468/EC  of  28  June  1999  laying  down  the  procedure  for  the  exercise  of  implementing
power conferred on the Commission11 shall apply, having regard to the provisions of Article 8
thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at two months.

3. The Committee shall adopt its rules of procedure.

Article 12
repeal

Council Regulation (EC) No 3051/95 is repealed with effect [date of entry into force of this
Regulation]

Documents of compliance and safety management certificates issued by administrations and
recogized organisation before that date shall remain valid.

Article 13
Entry into force

This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Union.

It shall apply to cargo ships and passenger ships operating exclusively on domestic voyages
from one year after the date of entry into force of this Regulation.

11

OJ L 184, 17.7.1999, p23.

13

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

Done at Brussels,

For the European Parliament
The President

For the Council
The President

14

 
ANNEX

1. TITLE I

2. CONTENTS

International Management Code for the safe operation of ships and for pollution
prevention (International Safety Management (ISM) Code

15

 
PART A - IMPLEMENTATION

1. GENERAL

1.1. DEFINITIONS

1.2. OBJECTIVES

1.3. APPLICATION

1.4. FUNCTIONAL REQUIREMENTS FOR A SAFETY MANAGEMENT SYSTEM (SMS)

2. SAFETY AND ENVIRONMENTAL PROTECTION POLICY

3. COMPANY RESPONSIBILITIES AND AUTHORITY

4. DESIGNATED PERSON(S)

5. MASTER'S RESPONSIBILITY AND AUTHORITY

6. RESOURCES AND PERSONNEL

7. DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS

8. EMERGENCY PREPAREDNESS

9.  REPORTS  AND  ANALYSIS  OF  NON-CONFORMITIES,  ACCIDENTS  AND  HAZARDOUS

OCCURRENCES

10. MAINTENANCE OF THE SHIP AND EQUIPMENT

11. DOCUMENTATION

12. COMPANY VERIFICATION, REVIEW AND EVALUATION

PART B- CERTIFICATION AND VERIFICATION

13. CERTIFICATION AND PERIODICAL VERIFICATION

16

 
14. INTERIM CERTIFICATION

15. VERIFICATION

16 FORMS OF CERTIFICATES

Appendix

1. TITLE II

PROVISIONS FOR THE ADMINISTRATION CONCERNING THE IMPLEMENTATION

OF THE INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE

PART A GENERAL PROVISIONS

PART B CERTIFICATION AND STANDARDS

1.  Acceptance  and  recognition  of  an  interim  document  of  compliance  and  interim  safety

management certificate

2. Certification process

3. Standard of Management

4. Standards of Competence

5. Form of document of compliance and safety management certificate

17

 
TITLE I

International Management code for the safe operation of ships and for pollution
prevention (International Safety Management (ISM) Code

PART A -IMPLEMENTATION

1.

GENERAL

1.1.

DEFINITIONS

The following definitions apply to parts A and B of this Code.

1.1.1.

1.1.2.

‘International  Safety  Management  (ISM)  Code’  means  the  International  Management
Code for the Safe Operation of Ships and for Pollution Prevention as adopted by the
Assembly, as may be amended by the Organisation.

‘Company’ means the owner of the ship or any other organisation or person such as
the  manager  or  the  bareboat  charterer,  who  has  assumed  the  responsibility  for  the
operation  of the  ship  from the  shipowner and  who  on assuming  such  responsibility
has agreed to take over all the duties and responsibility imposed by the Code.

1.1.3.

‘Administration’ means the government of the State whose flag the ship is entitled to fly.

1.1.4

1.1.5

1.1.6

1.1.7

1.1.8

1.1.9

1.1.10

‘Safety  Management  System’  means  a  structured  and  documented  system  enabling
Company  personnel  to  implement  effectively  the  Company  safety  and  environmental
protection policy.

‘Document  of  Compliance’  means  a  document  issued  to  a  Company  which  complies
with the requirements of this Code.

‘Safety Management Certificate’ means a document issued to a ship which signifies that
the  Company  and  its  shipboard  management  operate  in  accordance  with  the  approved
safety management system.

‘Objective evidence’ means quantitative or qualitative information, records or statements
of  fact  pertaining  to  safety  or  to  the  existence  and  implementation  of  an  safety
management  system  element,  which  is  based  on  observation,  measurement  or  test  and
which can be verified.

‘Observation’  means  a  statement  of  fact  made  during  a  safety  management  audit  and
substantiated by objective evidence.

‘Non-conformity’  means  an  observed  situation  where  objective  evidence  indicates  the
non-fulfillment of a specified requirement.

‘Major non-conformity’ means an identifiable deviation that poses a serious threat to the
safety  of  personnel  or  the  ship  or  a  serious  risk  to  the  environment  that  requires
immediate  corrective  action  and  includes  the  lack  of  effective  and  systematic
implementation of a requirement of this Code.

18

 
1.1.11

‘Anniversary date’ means the day and month of each year that corresponds to the date of
expiry of the relevant document or certificate.

1.1.12

‘Convention’ means the International Convention for the Safety of Life at Sea, 1974 as
amended.

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, and avoidance of damage to the environment, in particular, to the marine
environment, and to property.

1.2.2.

Safety management objectives of the Company should, inter alia:

1.2.2.1. provide for safe practices in ship operation and a safe working environment;

1.2.2.2. establish safeguards against all identified risks; and

1.2.2.3. continuously improve safety management skills of personnel ashore and aboard ships,
including  preparing  for  emergencies  related  both  to  safety  and  environmental
protection.

1.2.3.

The safety management system should ensure:

1.2.3.1. compliance with mandatory rules and regulations; and

1.2.3.2. that  applicable  codes,  guidelines  and  standards  recommended  by  the  Organization,
administrations, classification societies and maritime industry organizations are taken
into account.

1.3.

Application

The requirements of this Code may be applied to all ships.

1.4.

Functional requirements for a safety management system (SMS)

Every  company  should  develop,  implement  and  maintain  a  safety  management
system (SMS) which includes the following functional requirements:

1.4.1.

a safety and environmental protection policy;

1.4.2.

1.4.3.

1.4.4.

instructions  and  procedures  to  ensure  safe  operation  of  ships  and  protection  of  the
environment in compliance with relevant international and flag State legislation;

defined levels of authority and lines of communication between, and amongst, shore
and shipboard personnel;

procedures for  reporting accidents and non-conformities with  the  provisions  of  this
Code;

1.4.5.

procedures to prepare for and respond to emergency situations; and

1.4.6.

procedures for internal audits and management reviews.

19

 
2.

2.1.

2.2.

3.

3.1.

3.2.

3.3.

SAFETY AND ENVIRONMENTAL PROTECTION POLICY

The  company  should  establish  a  safety  and  environmental  protection  policy  which
describes how the objectives, given in paragraph 1.2, will be achieved.

The  Company  should  ensure  that  the  policy  is  implemented  and  maintained  at  all
levels of the organization both ship-based as well as shore-based.

COMPANY RESPONSIBILITIES AND AUTHORITY

If the entity who is responsible for the operation of the ship is other than the owner,
the owner must report the full name and details of such entity to the administration.

The  company  should  define  and  document  the  responsibility,  authority  and
interrelation of all personnel who manage, perform and verify work relating  to  and
affecting safety and pollution prevention.

The  company  is  responsible  for  ensuring  that  adequate  resources  and  shore-based
support  are  provided  to  enable  the  designated  person  or  persons  to  carry  out  their
functions.

4.

DESIGNATED PERSON(S)

To ensure the safe operation of each ship and to provide a link between the company
and  those  on  board,  every  company,  as  appropriate,  should  designate  a  person  or
persons  ashore  having  direct  access  to  the  highest  level  of  management.  The
responsibility  and  authority  of  the  designated  person  or  persons  should  include
monitoring the safety and pollution prevention aspects of the operation of each ship
and  to  ensure  that  adequate  resources  and  shore-based  support  are  applied,  as
required.

5.

5.1.

MASTER'S RESPONSIBILITY AND AUTHORITY

The  company  should  clearly  define  and  document  the  master's  responsibility  with
regard to:

5.1.1.

implementing the safety and environmental protection policy of the company;

5.1.2. motivating the crew in the observance of that policy;

5.1.3.

issuing appropriate orders and instructions in a clear and simple manner;

5.1.4.

verifying that specified requirements are observed; and

5.1.5.

reviewing the SMS and reporting its deficiencies to the shore-based management.

5.2.

The  company  should  ensure  that  the  SMS  operating  on  board  the  ship  contains  a
clear statement emphasizing the master's authority. The company should establish in
the SMS that the master has the overriding authority and the responsibility to make
decisions  with  respect  to  safety  and  pollution  prevention  and  to  request  the
company's assistance as may be necessary.

20

 
6.

RESOURCES AND PERSONNEL

6.1.

The company should ensure that the master is:

6.1.1.

properly qualified for command;

6.1.2.

fully conversant with the company's SMS; and

6.1.3.

given the necessary support so that the master's duties can be safely performed.

6.2.

6.3.

6.4.

6.5.

6.6.

6.7.

The company should ensure that each ship is manned with qualified, certificated and
medically fit seafarers in accordance with national and international requirements.

The  company  should  establish  procedures  to  ensure  that  new  personnel  and
personnel  transferred  to  new  assignments  related  to  safety  and  protection  of  the
environment are given proper familiarization with their duties.

Instructions, which are essential to be provided prior to sailing should be identified,
documented and given.

The company should ensure that all personnel involved in the company's SMS have
an adequate understanding of relevant rules, regulations, codes and guidelines.

The company should establish and maintain procedures for identifying  any training
which  may  be  required  in  support  of  the  SMS  and  ensure  that  such  training  is
provided for all personnel concerned.

The  company  should  establish  procedures  by  which  the  ship's  personnel  receive
relevant information on the SMS in a working language or languages understood by
them.

The  company  should  ensure  that  the  ship's  personnel  are  able  to  communicate
effectively in the execution of their duties related to the SMS.

7

DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS

The  Company  should  establish  procedures  for  the  preparation  of  plans  and
instructions,  including  checklists  as  appropriate,  for  key  shipboard  operations
concerning the safety of the ship and the prevention of pollution. The various tasks
involved should be defined and assigned to qualified personnel.

8.

8.1.

8.2.

8.3.

EMERGENCY PREPAREDNESS

The  company  should  establish  procedures  to  identify,  describe  and  respond  to
potential emergency shipboard situations.

The  company  should  establish  programmes  for  drills  and  exercises  to  prepare  for
emergency actions.

The SMS should provide for measures ensuring that the company's organization can
respond  at  any  time  to  hazards,  accidents  and  emergency  situations  involving  its
ships.

21

 
9.

9.1.

9.2.

REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS  AND
HAZARDOUS OCCURRENCES

The  SMS  should  include  procedures  ensuring  that  non-conformities,  accidents  and
hazardous situations are reported to the company, investigated and analysed with the
objective of improving safety and pollution prevention.

The  company  should  establish  procedures  for  the  implementation  of  corrective
action.

10.

MAINTENANCE OF THE SHIP AND EQUIPMENT

10.1.

The  company  should  establish  procedures  to  ensure  that  the  ship  is  maintained  in
conformity  with  the  provisions  of  the  relevant  rules  and  regulations  and  with  any
additional requirements which may be established by the company.

10.2.

In meeting these requirements the company should ensure that:

10.2.1.

inspections are held at appropriate intervals;

10.2.2. any non-conformity is reported with its possible cause, if known;

10.2.3. appropriate corrective action is taken; and

10.2.4.

records of these activities are maintained.

10.3.

The  company  should  establish  procedures  in  the  SMS  to  identify  equipment  and
technical  systems  the  sudden  operational  failure  of  which  may  result  in  hazardous
situations.  The  SMS  should  provide  for  specific  measures  aimed  at  promoting  the
reliability of such equipment or systems. These measures should include the regular
testing of stand-by arrangements and equipment or technical systems that are not in
continuous use.

10.4.

The inspections mentioned in 10.2 as well as the measures referred to in 10.3 should
be integrated in the ship's operational maintenance/routine.

11.

DOCUMENTATION

11.1.

The company should establish and maintain procedures to control all documents and
data, which are relevant to the SMS.

11.2.

The company should ensure that:

11.2.1. valid documents are available at all relevant locations;

11.2.2. changes to documents are reviewed and approved by authorized personnel; and

11.2.3. obsolete documents are promptly removed.

11.3.

The documents used to describe and implement the SMS may be  referred  to as the
'safety  management  manual'.  Documentation  should  be  kept  in  a  form  that  the

22

 
company  considers  most  effective.  Each  ship  should  carry  on  board  all
documentation relevant to that ship.

12.

COMPANY VERIFICATION, REVIEW AND EVALUATION

12.1.

12.2.

12.3.

12.4.

12.5.

12.6.

The  company  should  carry  out  internal  safety  audits  to  verify  whether  safety  and
pollution prevention activities comply with the SMS.

The  company  should  periodically  evaluate  the  efficiency  and  when  needed  review
the SMS in accordance with procedures established by the company.

The audits and possible corrective actions should be carried out in accordance with
documented procedures.

Personnel carrying out audits should be independent of the areas being audited unless
this is impracticable due to the size and the nature of the company.

The  results  of  the  audits  and  reviews  should  be  brought  to  the  attention  of  all
personnel having responsibility in the area involved.

The  management  personnel  responsible  for  the  area  involved  should  take  timely
corrective action on deficiencies found.

PART B - CERTIFICATION AND VERIFICATION

13

CERTIFICATION AND PERIODICAL VERIFICATION

13.1

13.2

13.3

13.4

The ship should be operated by a Company which has been issued with a Document
of  Compliance  or  with  an  Interim  Document  of  Compliance  in  accordance  with
paragraph 14.1, relevant to that ship.

the  Administration  or,  at 

The  Document  of  Compliance  should  be  issued  by  the  Administration,  by  an
the
organization  recognized  by 
Administration,  by  another  Contracting  Government  to  the  Convention  to  any
Company complying with the requirements of this Code for a period specified by the
Administration  which  should  not  exceed  five  years.  Such  a  document  should  be
accepted  as  evidence  that  the  Company  is  capable  of  complying  with  the
requirements of this Code.

the  request  of 

The Document of Compliance is only valid for the ship types explicitly indicated in
the  document.  Such  indication  should  be  based  on  the  types  of  ships  on  which  the
initial  verification  was  based.  Other  ship  types  should  only  be  added  after
verification  of  the  Company’s  capability  to  comply  with  the  requirements  of  this
Code applicable to such ship types. In this context, ship types are those referred to in
regulation IX/1 of the Convention.

The validity of a Document of Compliance should be subject to annual verification
by the Administration or by an organization recognized by the Administration or, at
the  request  of  the  Administration  by  another  Contracting  Government  within  three
months before or after the anniversary date.

23

 
13.5

The Document of Compliance should be withdrawn by the Administration or, at its
request, by the Contracting Government which issued the document, when the annual
verification  required  in  paragraph  13.4  is  not  requested  or  if  there  is  evidence  of
major non-conformities with this Code.

13.5.1 All  associated  Safety  Management  Certificates  and/or  Interim  Safety  Management

Certificates should also be withdrawn if the Document of Compliance is withdrawn.

13.6

13.7

13.8

13.9

A copy of the Document of Compliance should be placed on board in order that the
master  of  the  ship,  if  so  requested,  may  produce  it  for  verification  by  the
Administration  or  by  an  organization  recognized  by  the  Administration  or  for  the
purposes of the control referred to in regulation IX/6.2 of the Convention. The copy
of the document is not required to be authenticated or certified.

The  Safety  Management  Certificate  should  be  issued  to  a  ship  for  a  period  which
should not exceed five years by the Administration or an organization recognized by
the  Administration  or,  at  the  request  of  the  Administration,  by  another  Contracting
Government.  The  Safety  Management  Certificate  should  be  issued  after  verifying
that  the  Company  and  its  shipboard  management  operate  in  accordance  with  the
approved  safety  management  system.  Such  a  certificate  should  be  accepted  as
evidence that the ship is complying with the requirements of this Code.

The validity of the Safety Management Certificate should be subject to at least one
intermediate verification by the Administration or an organization recognized by the
Administration  or,  at  the  request  of  the  Administration,  by  another  Contracting
Government. If only one intermediate verification is to be carried out and the period
of  validity  of  the  Safety  Management  Certificate  is  five  years,  it  should  take  place
between the second and third anniversary date of the Safety Management Certificate.

In  addition  to  the  requirements  of  paragraph  13.5.1,  the  Safety  Management
Certificate  should  be  withdrawn  by  the  Administration  or,  at  the  request  of  the
Administration,  by  the  Contracting  Government  which  has  issued  it  when  the
intermediate  verification  required  in  paragraph  13.8  is  not  requested  or  if  there  is
evidence of major non-conformity with this Code.

13.10 Notwithstanding  the  requirements  of  paragraphs  13.2  and  13.7,  when  the  renewal
verification is completed within three months before the expiry date of the  existing
Document of Compliance or Safety Management  Certificate,  the new  Document of
Compliance or the new Safety Management Certificate should be valid from the date
of completion of the renewal verification for a period not exceeding five years from
the  date  of  expiry  of  the  existing  Document  of  Compliance  or  Safety  Management
Certificate.

13.11 When  the  renewal  verification  is  completed  more  than  three  months  before  the
expiry  date  of  the  existing  Document  of  Compliance  or  Safety  Management
Certificate,  the  new  Document  of  Compliance  or  the  new  Safety  Management
Certificate should be valid from the date of completion of the renewal verification for
a  period  not  exceeding  five  years  from  the  date  of  completion  of  the  renewal
verification.

24

 
14.

INTERIM CERTIFICATION

14.1

An  Interim  Document  of  Compliance  may  be 
implementation of this Code when:

issued 

to  facilitate 

initial

1

2

a Company is newly established; or

new ship types are to be added to an existing Document of Compliance,

following  verification  that  the  Company  has  a  safety  management  system  that  meets  the
objectives  of  paragraph  1.2.3  of  this  Code,  provided  the  Company  demonstrates  plans  to
implement a safety management system meeting the full requirements of this Code within the
period  of  validity  of  the  Interim  Document  of  Compliance.  Such  an  Interim  Document  of
Compliance should be issued for a period not exceeding 12 months by the Administration or
by an organization recognized by the Administration or, at the request of the Administration,
by another Contracting Government. A copy of the Interim Document of Compliance should
be  placed  on  board  in  order  that  the  master  of  the  ship,  if  so  requested,  may  produce  it  for
verification by the Administration or by an organization recognized by the Administration or
for the purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of
the document is not required to be authenticated or certified.

14.2

An Interim Safety Management Certificate may be issued:

1

2

3

to new ships on delivery;

when a Company takes on responsibility for the operation of a ship which is new to
the Company; or

when a ship changes flag.

Such  an  Interim  Safety  Management  Certificate  should  be  issued  for  a  period  not
exceeding  6  months  by  the  Administration  or  an  organization  recognized  by  the
Administration  or,  at  the  request  of  the  Administration,  by  another  Contracting
Government.

14.3

An  Administration  or,  at  the  request  of  the  Administration,  another  Contracting
Government  may,  in  special  cases,  extend  the  validity  of  an  Interim  Safety
Management Certificate for a further period which should not exceed 6 months from
the date of expiry.

14.4

An Interim Safety Management Certificate may be issued following verification that:

1

2

3

the Document of Compliance, or the Interim Document of Compliance, is relevant to
the ship concerned;

the  Safety  management  system  provided  by  the  Company  for  the  ship  concerned
includes  key  elements  of  this  Code  and  has  been  assessed  during  the  audit  for
issuance of the Document of Compliance or demonstrated for issuance of the Interim
Document of Compliance;

the Company has planned the audit of the ship within three months;

25

 
4

5

6

the  master  and  officers  are  familiar  with  the  safety  management  system  and  the
planned arrangements for its implementation;

instructions,  which  have  been  identified  as  being  essential,  are  provided  prior  to
sailing; and

relevant information on the safety management system has been given in a working
language or languages understood by the ship’s personnel.

15

VERIFICATION

15.1

All  verifications  required  by  the  provisions  of  this  Code  should  be  carried  out  in
accordance with procedures acceptable to the Administration, taking into account the
guidelines developed by the Organization12.

16

FORMS OF CERTIFICATES

16.1

16.2

The  Document  of  Compliance,  the  Safety  Management  Certificate,  the  Interim
Document of Compliance and the Interim Safety Management Certificate should be
drawn up in a form corresponding to the models given in the appendix to this Code.
If  the  language  used  is  neither  English  nor  French,  the  text  should  include  a
translation into one of these languages.

In  addition  to  the  requirements  of  paragraph  13.3  the  ship  types  indicated  on  the
Document  of  Compliance  and  the  Interim  Document  of  Compliance  may  be
endorsed  to  reflect  any  limitations  in  the  operations  of  the  ships  described  in  the
safety management system.

12

Refer  to  the  Guidelines  on  Implementation  of  the  International  Safety  Management  (ISM)  Code  by
Administrations adopted by the Organization by resolution A. 913(22).

26

 
                                                
APPENDIX

Forms  of  the  Document  of  Compliance,  the  Safety  Management  Certificate,  the
Interim Document of Compliance and the Interim Safety Management Certificate

DOCUMENT OF COMPLIANCE

(Official seal)

(State)

Certificate No.

Issued  under  the  provisions  of  the  INTERNATIONAL  CONVENTION  FOR  THE
SAFETY OF LIFE AT SEA, 1974, as amended

Under the authority of the Government of____________________________

(name of the State)

by________________________________________________________________

(person or organization authorized)

Name and address of the Company:
____________________________________________________________________
____________________________________________________________________

(see paragraph 1.1.2 of the ISM Code)

THIS  IS TO  CERTIFY THAT the  safety  management  system  of  the  Company  has
been  audited  and  that  it  complies  with  the  requirements  of  the  International
Management  Code  for  the  Safe  Operation  of  Ships  and  for  Pollution  Prevention
(ISM Code) for the types of ships listed below (delete as appropriate):

Passenger ship

Passenger high-speed craft

Cargo high-speed craft

Bulk carrier

Oil tanker

Chemical tanker

Gas carrier

Mobile offshore drilling unit

Other cargo ship

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

27

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

(place of issue of the document)

Date of issue........................................................

...............................................……....................................
(Signature of the duly authorized official issuing the document)

(Seal or stamp of issuing authority, as appropriate)

28

 
Certificate No.

ENDORSEMENT FOR ANNUAL VERIFICATION

THIS  IS  TO  CERTIFY  THAT,  at  the  periodical  verification  in  accordance  with
regulation IX/6.1 of the Convention and paragraph 13.4 of the ISM Code, the safety
management system was  found  to  comply  with  the  requirements  of  the  ISM  Code.

1st ANNUAL
VERIFICATION

2nd ANNUAL
VERIFICATION

3rd ANNUAL
VERIFICATION

4th ANNUAL
VERIFICATION

Signed:_____________________________

(Signature of authorized official)

Place:______________________________

Date:_______________________________

Signed:_____________________________

(Signature of authorized official)

Place:_______________________________

Date:_______________________________

Signed:_____________________________

(Signature of authorized official)

Place:_______________________________

Date:______________________________

Signed:____________________________

(Signature of authorized official)

Place:_______________________________

Date:_______________________________

29

 
SAFETY MANAGEMENT CERTIFICATE

(State)

(Official seal)

Certificate No.

Issued under the provisions of the

INTERNATIONAL  CONVENTION  FOR  THE  SAFETY  OF  LIFE  AT  SEA,  1974,  as
amended

Under the authority of the Government of___________________________________

by__________________________________________________________________

(person or organization authorized)

(name of the State)

Name of ship:

Distinctive number or letters:

Port of registry:

Type of ship13.

Gross tonnage:

IMO Number:

Name and address of Company:

(see paragraph 1.1.2 of the ISM Code)

THIS  IS  TO  CERTIFY THAT  the safety management system of the ship has been
audited and that it complies with the requirements of the International Management
Code  for  the  Safe  Operation  of  Ships  and  for  Pollution  Prevention  (ISM  Code),
following  verification  that  the  Document  of  Compliance  for  the  Company  is
applicable to this type of ship.

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

Issued at...............................………………………………..........………….................

(place of issue of the document)

Date of issue ...........................................………………………………………............

.................................................................……………………………….……….......

(Seal or stamp of issuing authority, as appropriate)

(Signature of the duly authorized official issuing the certificate)

13

Insert  the  type  of  ship  from  among  the  following:  passenger  ship;  passenger  high-speed  craft;  cargo
high-speed  craft;  bulk  carrier;  oil  tanker;  chemical  tanker;  gas  carrier;  mobile  offshore  drilling  unit;
other cargo ship.

30

 
                                                
Certificate No.

ENDORSEMENT FOR INTERMEDIATE VERIFICATION AND

ADDITIONAL VERIFICATION (IF REQUIRED)

THIS  IS  TO  CERTIFY  THAT,  at  the  periodical  verification  in  accordance  with
regulation IX/6.1 of the Convention and paragraph 13.8 of the ISM Code, the safety
management system was found to comply with the requirements of the ISM Code.

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

INTERMEDIATE
VERIFICATION 
be
the
completed 
second and third anniversary
date)

between 

(to 

ADDITIONAL
VERIFICATION*

ADDITIONAL
VERIFICATION*

31

 
ADDITIONAL
VERIFICATION*

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

*  If  applicable.  Reference  is  made  to  paragraph  3.2.3  of  the  Guidelines  on
Implementation  of 
(ISM)  Code  by
Administrations (resolution A.913 (22)).

International  Safety  Management 

the 

32

 
INTERIM DOCUMENT OF COMPLIANCE

(State)

(Official seal)

Certificate No.

Issued under the provisions of the

INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974,
as amended

Under the authority of the Government of __________________________________

(name of the State)

by__________________________________________________________________

(person or organization authorized)

Name and address of the Company: _______________________________________

(see paragraph 1.1.2 of the ISM Code)

THIS  IS TO CERTIFY  THAT  the  safety management  system  of  the  Company  has
been  recognized  as  meeting  the  objectives  of  paragraph  1.2.3  of  the  International
Management  Code  for  the  Safe  Operation  of  Ships  and  for  Pollution  Prevention
(ISM Code), for the type(s) of ships listed below (delete as appropriate):

Passenger ship

Passenger high-speed craft

Cargo high-speed craft

Bulk carrier

Oil tanker

Chemical tanker

Gas carrier

Mobile offshore drilling unit

Other cargo ship

This Interim Document of Compliance is valid until:

Issued at: ___________________________________________________________

(Place of issue of the document)

Date of issue: ________________________________________________________

(Signature of the duly authorized official issuing the document)

(Seal or stamp of issuing authority, as appropriate)

33

 
INTERIM SAFETY MANAGEMENT CERTIFICATE

(State)

(Official seal)

Certificate No.

Issued under the provisions of the

INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974,

as amended

of
of 
Under 
____________________________________________________________________

Government 

authority 

the 

the 

(name of the State)

by__________________________________________________________________

(person or organization authorized)

Name of ship: ……………............................................................................................

Distinctive number or letters: ...............................................................….....................

Port of registry: ……………..........................................................................................

Type of ship*: ……………........................................................................………..…..

Gross tonnage: ……………...........................................................................................

IMO Number: ……………................................................…….........................….......

Name and address of Company:…....................................……............….............…....

……………………………................………................................................................

(see paragraph 1.1.2 of the ISM Code)

THIS IS TO CERTIFY THAT the requirements of paragraph 14.4 of the ISM Code
have  been  met  and  that  the  Document  of  Compliance  /  Interim  Document  of
Compliance** of the Company is relevant to this ship.
This Interim Safety Management Certificate is valid until ......................…..…………

subject  to  the  Document  of  Compliance  /  Interim  Document  of  Compliance**
remaining valid.

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

(place of issue of the document)

Date of issue:......................................................................…………………................

(Signature of the duly authorized official issuing the certificate)

(Seal or stamp of issuing authority, as appropriate)

34

 
Certificate No.

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

Date of extension: ....................……………………………..........................................

(Signature of the duly authorized official extending the validity)

(Seal or stamp of issuing authority, as appropriate)

______________________

*
Insert the type of ship from among the following: passenger ship; passenger high-speed craft;
cargo high-speed craft; bulk carrier; oil tanker; chemical tanker; gas carrier; mobile offshore drilling
unit; other cargo ship.

**

Delete as appropriate.

35

 
TITLE II

Provisions for the Administration concerning the implementation of the International
Safety Management (ISM) Code

PART A - GENERAL PROVISIONS

1.1

1.2

When carrying out verifications and certification tasks required by the provisions of
the  ISM Code for ships falling  within the  scope of this Regulation,  Member  States
shall comply with the requirements and standards laid down in Part B of this Title.

In  addition  Member  States  shall  take  due  account  of  the  provisions  of  the  Revised
Guidelines  on  the  Implementation  of  the  International  Safety  Management  (ISM)
Code by Administrations, adopted by the IMO through Resolution A.913 (22) of 29
November 2001, as far as they are not covered under Part B of this Title.

PART B - CERTIFICATION AND STANDARDS

1.  ACCEPTANCE  AND  RECOGNITION  OF  AN  INTERIM  DOCUMENT  OF

COMPLIANCE AND INTERIM SAFETY MANAGEMENT CERTIFICATE

1.1.

1.2.

An  interim  document  of  compliance  and  an  interim  safety  management  certificate
complying with the provisions of this Regulation and issued by the administration of
a Member State or by a recognised organisation acting on its behalf shall be accepted
by another Member State.

An  interim  document  of  compliance  and  an  interim  safety  management  certificate
issued by, or on behalf of, the administrations of third countries shall be recognised
by  a  Member  State  if  it  is  satisfied  that  they  demonstrate  compliance  with  the
provisions of this Regulation.

2. CERTIFICATION PROCESS

2.1.

The certification process relevant for the issuance of a document of compliance for a
company and a safety management certificate to each ship shall be performed taking
account of the provisions set out below.

2.2.

The certification process shall normally involve the following steps:

1.

2.

3.

4.

2.3.

2.4.

2.5.

2.6.

2.7.

initial verification;

annual or intermediate verification;

renewal verification; and,

additional verification.

These verifications are carried out at the request of the company to the administration
or to the recognised organisation when acting on behalf of the administration.

The verifications shall include a safety management audit.

A  lead  auditor  and,  if  relevant,  an  audit  team,  shall  be  nominated  to  perform  the
audit.

The nominated lead auditor shall liaise with the company and produce an audit plan.

An  audit  report  shall  be  prepared  under  the  direction  of  the  lead  auditor,  who  is
responsible for its accuracy and completeness.

The audit report  shall  include the  audit  plan,  identification  of  audit  team  members,
dates  and  identification  of  the  company,  records  of  any  observations  and  non-

36

 
conformities and observations on the effectiveness of the safety management system
in meeting the specified objectives.

3. STANDARD OF MANAGEMENT

3.1.

Auditors or the audit team managing verification of compliance with the ISM Code
shall have competence in relation to:

1.

2.

3.

4.

3.2.

ensuring  compliance  with  the  rules  and  regulations  including  certification  of
seafarers, for each type of ship operated by the company;

approval, survey and certification activities relevant for the maritime certificates;

the terms of reference that must be taken into account under the safety management
system as required by the ISM Code; and

practical experience of ship operation.

In performing verification of compliance with the provisions of the ISM Code it shall
be  ensured  that  independence  exists  between  the  personnel  providing  consultancy
services and those involved in the certification procedure.

4. STANDARDS OF COMPETENCE

4.1.

Basic competence for performing verification

4.1.1.

4.1.2.

Personnel  who  are  to  participate  in  the  verification  of  compliance  with  the
requirements of the ISM Code shall fulfil the minimum criteria for inspectors as laid
down in section 2 of Annex VII to Directive 95/21/EC14.

They  shall  have  undergone  training  to  ensure  adequate  competence  and  skills  for
performing  verification  of  compliance  with  the  requirements  of  the  ISM  Code,
particularly with regard to:

1.

2.

3.

4.

5.

6.

7.

knowledge and understanding of the ISM Code;

mandatory rules and regulations;

the terms of reference which the ISM Code requires that companies should take into
account;

assessment techniques of examining, questioning, evaluating and reporting;

technical or operational aspects of safety management;

basic knowledge of shipping and shipboard operations; and

participation in at least one marine related management system audit.

4.2.

Competence for initial verification and renewal verification

4.2.1.

In order to assess fully whether the company or each type of ship complies with the
requirements  of  the  ISM  Code,  in  addition  to  the  basic  competence  stated  above,
personnel  who  are  to  perform  initial  verifications  or  renewal  verifications  for  a
document  of  compliance  and  a  safety  management  certificate,  must  possess  the
competence to:

1.

determine whether the SMS elements conform or do not conform to the requirements
of the ISM Code;

14

OJ L 157, 7. 7. 1995, p. 1

37

 
                                                
2.

3.

4.

determine  the  effectiveness  of  the  company's  SMS,  or  that  of  each  type  of  ship,  to
ensure  compliance  with  rules  and  regulations  as  evidenced  by  the  statutory  and
classification survey records;

assess  the  effectiveness  of  the  SMS  in  ensuring  compliance  with  other  rules  and
regulations  which  are  not  covered  by  statutory  and  classification  surveys  and
enabling verification of compliance with these rules and regulations; and

assess  whether  the  safe  practices  recommended  by  the  IMO,  administrations,
classification  societies  and  maritime  industry  organizations  have  been  taken  into
account.

4.2.2.

This  competence  can  be  accomplished  by  teams,  which  together  possess  the  total
competence required.

5.

FORM  OF  DOCUMENTS  OF  COMPLIANCE  AND 
MANAGEMENT CERTIFICATES

SAFETY

When ships operate only in a Member State, Member Sates shall either use the forms attached
to  the  ISM  Code  or  the  Document  of  Compliance,  the  Safety  Management  Certificate,  the
Interim Document of Compliance and the Interim Safety Management Certificate drawn up in
the form set out below.

38

 
DOCUMENT OF COMPLIANCE

(State)

(Official seal)

Certificate No.

Issued under the provisions of [the  INTERNATIONAL  CONVENTION  FOR THE
SAFETY  OF  LIFE  AT  SEA,  1974,  as  amended  and  ((cid:1))by  the  present  Council
Regulation on the implementation of the ISM Code within the Community

Under the authority of the Government of___________________________________

(Name of the State)

by__________________________________________________________________

(person or organization authorized)

Name and address of the Company
____________________________________________________________________

(see paragraph 1.1.2 of the ISM Code)

THIS  IS TO CERTIFY  THAT the safety management  system  of  the  Company  has
been  audited  and  that  it  complies  with  the  requirements  of  the  International
Management  Code  for  the  Safe  Operation  of  Ships  and  for  Pollution  Prevention
(ISM Code) for the types of ships listed below (delete as appropriate):

Passenger ship

Passenger high-speed craft

Cargo high-speed craft

Bulk carrier

Oil tanker

Chemical tanker

Gas carrier

Mobile offshore drilling unit

Other cargo ship

Ro-Ro passenger ship (ro-ro ferry)

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

(cid:1)

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

39

 
                                                
Issued at ...........………………………………………..................................................

(place of issue of the document)

Date of issue ..............................................……………………………………….........

...............................................……………………………….…....................................

(Signature of the duly authorized official issuing the document)

(Seal or stamp of issuing authority, as appropriate)

40

 
Certificate No

ENDORSEMENT FOR ANNUAL VERIFICATION

THIS  IS  TO  CERTIFY  THAT,  at  the  periodical  verification  in  accordance  with
[regulation  IX/6.1  of  the  Convention  and  paragraph  13.4  of  the  ISM  Code  and
((cid:1))Article 5.3  of  the  present  Council  Regulation  on  the  implementation  of  the  ISM
Code within the Community

1st ANNUAL
VERIFICATION

2nd ANNUAL
VERIFICATION

3rd ANNUAL
VERIFICATION

4th ANNUAL
VERIFICATION

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

Signed:________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

(cid:1)

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

41

 
                                                
SAFETY MANAGEMENT CERTIFICATE

(State)

(Official seal)

Certificate No.

Issued under the provisions of [the  INTERNATIONAL  CONVENTION  FOR THE
SAFETY  OF  LIFE  AT  SEA,  1974,  as  amended  and  ((cid:1))by  the  present  Council
Regulation on the implementation of the ISM Code within the Community

Under the authority of the Government of___________________________________

(name of the State)

by__________________________________________________________________

(person or organization authorized)

Name 
................................................................................................….......………

of 

ship:

Distinctive number or letters:
..............................................................................…………

Port of registry:
.......................................................................................................……….

Type of
ship**..............................................................................................…………….....

Gross 
...............................................................................................…….….……

tonnage:

IMO 
.........................................................................................................…….…

Number:

Name and address of Company: ............................................................................……

(see paragraph 1.1.2 of the ISM Code)

THIS  IS TO  CERTIFY THAT  the  safety  management system of the ship has been
audited and that it complies with the requirements of the International Management
Code  for  the  Safe  Operation  of  Ships  and  for  Pollution  Prevention  (ISM  Code),
following  verification  that  the  Document  of  Compliance  for  the  Company  is
applicable to this type of ship.

(cid:1)

**

May be deleted for ships engaged only on voyages within one Member State.
Insert  the  type  of  ship  from  among  the  following:  passenger  ship;  passenger  high-speed  craft;  cargo
high-speed  craft;  bulk  carrier;  oil  tanker;  chemical  tanker;  gas  carrier;  mobile  offshore  drilling  unit;
other cargo ship; ro-ro passenger ship(ro-ro ferry).

42

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

Issued at...........................................………………………………………...................

(place of issue of the document)

Date of issue......................................................

.................................................................………........

(Signature of the duly authorized official issuing the certificate)

(Seal or stamp of issuing authority, as appropriate)

43

 
Certificate No.

ENDORSEMENT FOR INTERMEDIATE VERIFICATION
AND ADDITIONAL VERIFICATION (IF REQUIRED)

THIS  IS  TO  CERTIFY  THAT,  at  the  periodical  verification  in  accordance  with
[regulation  IX/6.1  of  the  Convention  and  paragraph  13.8  of  the  ISM  Code  and((cid:1))
Article 5.1 of the present Council Regulation on the implementation of the ISM Code
within the Community

INTERMEDIATE15VERIFIC
ATION (to be completed
between the second and third
anniversary date)

ADDITIONAL
VERIFICATION*

ADDITIONAL
VERIFICATION*

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

Signed:_________________________

(Signature of authorized official)

Place:_________________________

Date:__________________________

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

(cid:1)

**

May be deleted for ships engaged only on voyages within one Member State.
If applicable. Reference is made to paragraph 13.8 of the ISM Code.

44

 
                                                
ADDITIONAL
VERIFICATION*

Signed:_________________________

(Signature of authorized official)

Place:__________________________

Date:__________________________

45

 
INTERIM DOCUMENT OF COMPLIANCE

(State)

(Official seal)

Certificate No.

Issued under the provisions of [the  INTERNATIONAL  CONVENTION  FOR THE
SAFETY  OF  LIFE  AT  SEA,  1974,  as  amended  and  ((cid:1))  by  the  present  Council
Regulation on the implementation of the ISM Code within the Community

Under the authority of the Government of___________________________________

(name of the State)

by__________________________________________________________________

(person or organization authorized)

Name and address of the Company
____________________________________________________________________

(see paragraph 1.1.2 of the ISM Code)

THIS  IS TO CERTIFY  THAT the safety management  system  of  the  Company  has
been  recognised  as  meeting  the  objectives  of  paragraph  1.2.3  of  the  International
Management  Code  for  the  Safe  Operation  of  Ships  and  for  Pollution  Prevention
(ISM Code), for the type(s) of ships listed below (delete as appropriate):

Passenger ship

Passenger high-speed craft

Cargo high-speed craft

Bulk carrier

Oil tanker

Chemical tanker

Gas carrier

Mobile offshore drilling unit

Other cargo ship

Ro-Ro passenger ship (ro-ro ferry)

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

Issued at: ………………………………………………………………………………

(place of issue of the document)

(cid:1)

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

46

 
                                                
Date of issue: ………………………………………………………………………….

(Signature of the duly authorized official issuing the document)

(Seal or stamp of issuing authority, as appropriate)

47

 
INTERIM SAFETY MANAGEMENT CERTIFICATE

(State)

(Official seal)

Certificate No.

Issued under the provisions of [the  INTERNATIONAL  CONVENTION  FOR THE
SAFETY  OF  LIFE  AT  SEA,  1974,  as  amended  and  ((cid:1))  by  the  present  Council
Regulation on the implementation of the ISM Code within the Community

Under the authority of the Government of___________________________________

(name of the State)

by__________________________________________________________________

(person or organization authorized)

Name and address of the Company
____________________________________________________________________

(see paragraph 1.1.2 of the ISM Code)

Name of ship:…………………………………………………………………………

Distinctive number or letters:…………………………………………………………

Port of registry: ……………………………………………………………….………

Type of ship(cid:1)*:………………………………...………………………………………

Gross tonnage: ……………………………………………………………...…………

IMO
Number:……………………………………………………………………………

Name 
…………………………………………………………

address 

and 

of 

Company:

(see paragraph 1.1.2 of the ISM Code)

THIS IS TO CERTIFY THAT the requirements of paragraph 14.4 of the ISM Code
have  been  met  and  that  the  Document  of  Compliance  /  Interim  Document  of
Compliance(cid:1)** of the Company is relevant to this ship.

This Interim Safety Management Certificate is valid until subject to the Document of
Compliance / Interim Document of Compliance*** remaining valid.

(cid:1)

(cid:1)*

(cid:1)**

May be deleted for ships engaged only on voyages within one Member State.
Insert  the  type  of  ship  from  among  the  following:  passenger  ship;  passenger  high-speed  craft;  cargo
high-speed  craft;  bulk  carrier;  oil  tanker;  chemical  tanker;  gas  carrier;  mobile  offshore  drilling  unit;
other cargo ship; ro-ro passenger ship (ro-ro ferry)
Delete as appropriate

48

 
                                                
Issued at:

(place of issue of the document)

Date 
issue:……………………………………………………………………………..

of

(Signature of the duly authorized official issuing the certificate)

(Seal or stamp of issuing authority, as appropriate)

49

 
Certificate No.

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

Date of extension:……………………………………………………………..

(Signature of the duly authorized official extending the validity)

(Seal or stamp of issuing authority, as appropriate)

50

 
LEGISLATIVE FINANCIAL STATEMENT

Policy area(s): maritime safety

Activit(y/ies):.  implementation  of  the  International  Safety  Management  Code  within  the
Community

TITLE  OF  ACTION:  REGULATION  OF  THE  EUROPEAN  PARLIAMENT  AND  OF  THE  COUNCIL  ON
THE IMPLEMENTATION OF THE INTERNATIONAL SAFETY MANAGEMENT CODE WITHIN
THE COMMUNITY

THE  PROPOSED  MEASURE  HAS  NO  FINANCIAL  IMPLICATIONS  FOR  THE

COMMUNITY BUDGET

1.

BUDGET LINE(S) + HEADING(S)

NOT APPLICABLE

2.

OVERALL FIGURES

2.1.

TOTAL ALLOCATION FOR ACTION (PART B): € MILLION FOR COMMITMENT

NOT APPLICABLE

2.2.

Period of application:

NOT APPLICABLE

2.3.

Overall multiannual estimate of expenditure:

NOT APPLICABLE

(a)

Schedule  of  commitment  appropriations/payment  appropriations 
intervention) (see point 6.1.1)

(financial

€ million (to three decimal places)

[n+1]

[n+2]

[n+3]

[n+4]

Year
[n]

[n+5
and
subs.
Years]

Total

Commitments

Payments

(b)

Technical and administrative assistance and support expenditure(see point 6.1.2)

Commitments

Payments

51

 
Subtotal a+b

Commitments

Payments

(c)

Overall  financial  impact  of  human  resources  and  other  administrative  expenditure
(see points 7.2 and 7.3)

Commitments/
payments

TOTAL a+b+c

Commitments

Payments

2.4.

Compatibility with financial programming and financial perspective

[X] Proposal is compatible with existing financial programming.

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial
perspective.

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional
Agreement.

2.5.

Financial impact on revenue:16

[X] Proposal  has  no  financial  implications  (involves  technical  aspects  regarding

implementation of a measure)

OR

Proposal has financial impact – the effect on revenue is as follows:

(NB All details and observations relating to the method of calculating the effect on
revenue should be shown in a separate annex.)

16

For further information, see separate explanatory note.

52

 
                                                
Budget line

Revenue

(€ million to one decimal place)

Prior to
action
[Year
n-1]

[Ye
ar
n]

Situation following action

[n+1] [n+2] [n+3

[n+4] [n+5]

]

a) Revenue in absolute terms

b) Change in revenue

 (cid:1)

(Please specify each budget line involved, adding the appropriate number of rows
to the table if there is an effect on more than one budget line.)

3.

BUDGET CHARACTERISTICS

EFTA
contribution

Contributions
form applicant
countries

Heading in
financial
perspective

YES/NO

YES/NO

No

NOT APPLICABLE

Type of expenditure

New

Comp/
Non-comp.

Diff/
Non-diff.

YES/
NO

4.

LEGAL BASIS

Art. 80(2) of the Treaty.

5.

5.1.

DESCRIPTION AND GROUNDS

Need for Community intervention 17

5.1.1. Objectives pursued

The inclusion of the full ISM Code and of a coherent set of provisions related to
the  certification  process  in  the  Community's  maritime  safety  legislation  will
increase the safety of maritime transport and environment and seafarer.

5.1.2. Measures taken in connection with ex ante evaluation

Not applicable

5.1.3. Measures taken following ex post evaluation

Not applicable

17

For further information, see separate explanatory note.

53

 
                                                
5.2.

Action envisaged and budget intervention arrangements

Not applicable

5.3.

Methods of implementation

Direct management by the Commission using regular staff (already existing)

6.

FINANCIAL IMPACT

6.1.

Total financial impact on Part B - (over the entire programming period)

NO FINANCIAL IMPACT - Points 6.1.1. to 6.2: Not applicable.

6.1.1.

Financial intervention

Commitments (in € million to three decimal places)

Breakdown

[Year
n]

[n+1]

[n+2]

[n+3]

[n+4]

Total

[n+5
and
subs.
Years]

Action 1

Action 2

etc.

TOTAL

6.1.2.

Technical  and  administrative  assistance,  support  expenditure  and  IT  expenditure
(commitment appropriations)

[Year
n]

[n+1]

[n+2]

[n+3]

[n+4]

Total

[n+5
and
subs.
years]

1) 
administrative assistance

Technical 

and

Technical 

a) 
offices

assistance

b)  Other 
administrative assistance:

technical 

and

- intra muros:

- extra muros:

of  which  for  construction
and 
of
maintenance 
computerised  management
systems

Subtotal 1

54

 
2) Support expenditure

a) Studies

b) Meetings of experts

c) Information and
publications

Subtotal 2

TOTAL

6.2.

Calculation  of  costs  by  measure  envisaged  in  Part  B  (over  the  entire
programming period)18

(Where  there  is  more  than  one  action,  give  sufficient  detail  of  the  specific  measures  to  be
taken for each one to allow the volume and costs of the outputs to be estimated.)

Breakdown

Commitments (in € million to three decimal places)

Type
of outputs
(projects, files )

Number of
outputs

Average unit
cost

(total for years
1…n)

Total cost

(total for years
1…n)

1

2

3

4=(2X3)

Action 1

- Measure 1

- Measure 2

Action 2

- Measure 1

- Measure 2

- Measure 3

etc.

TOTAL COST

If necessary explain the method of calculation

7.

IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE

No impact on staff expenditure. Management by existing staff. 7.1 and 7.2 not applicable.

No specific impact on administrative expenditure. 7.3.: not applicable.

18

For further information, see separate explanatory note.

55

 
                                                
7.1.

Impact on human resources

Staff to be assigned to management of the
action using existing and/or additional
resources

Number of
permanent posts

Number of
temporary posts

Total

Description of tasks deriving from the
action

Tasks delegated to European Maritime
Safety Agency

If necessary, a fuller description of the
tasks may be annexed.

Types of post

Officials 
temporary staff

or

A

B

C

Other human resources

Total

7.2.

Overall financial impact of human resources

Type of human resources

Amount (€)

Method of calculation *

Officials

Temporary staff

Other human resources

(specify budget line)

Total

The amounts are total expenditure for twelve months.

7.3.

Other administrative expenditure deriving from the action

Amount €

Method of calculation

Budget line

(number and heading)

Overall allocation (Title A7)

A0701 – Missions

A07030 – Meetings
A07031 – Compulsory committees 1
A07032 – Non-compulsory committees 1

A07040 – Conferences

A0705 – Studies and consultations

Other expenditure (specify)

Information systems (A-5001/A-4300)

Other expenditure - Part A (specify)

Total

The amounts are total expenditure for twelve months.

1 Specify the type of committee and the group to which it belongs.

56

 
I.

II.

III.

8.

Annual total (7.2 + 7.3)

Duration of action

Total cost of action (I x II)

€

years

€

FOLLOW-UP AND EVALUATION

8.1.

Follow-up arrangements

and

8.2.

Arrangements and schedule for the planned evaluation

Member States should transmit the Commission "yearly succinct reports" (Art. 10).

9.

ANTI-FRAUD MEASURES

Not applicable.

57

 
IMPACT ASSESSMENT FORM

THE IMPACT OF THE PROPOSAL ON BUSINESS WITH SPECIAL REFERENCE
TO SMALL AND MEDIUM-SIZED ENTERPRISES (SMEs)

TITLE OF PROPOSAL

Regulation of the European Parliament and of the Council on the implementation of
the International Safety Management Code within the Community

DOCUMENT REFERENCE NUMBER

COM(2003)XXXXX

THE PROPOSAL

1.

Taking  account  of  the  principle  of  subsidiarity,  why  is  Community  legislation
necessary in this area and what are its main aims?

The  purpose  of  this  Regulation  is  to  enhance  the  safe  management,  safe  operation
and pollution prevention of each type of ship engaged in international voyages in the
light  of  the  experience  gathered  with  its  implementation  of  Regulation  (EC)  No
3051/95 for ro-ro passengers. Regulation (EC) No 3051/95 is repealed and replaced
by  a  new  tex.  The  Regulation  aims  at  introducing  the  ISM  Code  amendments  that
complete  the  provisions  concerning  the  validity  of  conformity  certificates,  interim
certificates and the form of the certificates

THE IMPACT ON BUSINESS

2.

Who will be affected by the proposal?

– 

– 

– 

– 

– 

– 

which sectors of business

Shipping  companies  operating  ships  covered  by  ISM  code  engaged  on  an
international and domestic transport.

which sizes of business (what is the concentration of small and medium-sized
firms)

A variety of sizes of companies will be affected, from companies owning one
ship only to owners of much larger fleets.

are  there  particular  geographical  areas  of  the  Community  where  these
businesses are found

In  all  EU  Member  States,  as  all  national  administrations  are  affected  in  their
role as flag States.

3.

What will business have to do to comply with the proposal?

58

 
No particular measures are required. The Regulation is designed to improve safety at
sea and to prevent seafarer accident and marine pollution within the Community

4.

5.

What economic effects is the proposal likely to have?

No applicable.

Does the proposal contain measures to take account of the specific situation of small
and medium-sized firms (reduced or different requirements etc)?

No.

CONSULTATION

6.

List  the  organisations,  which  have  been  consulted  about  the  proposal  and  outline
their main views.

The following organisations were invited and attended the consultation meeting:

-

-

-

European Community Shipowners Association (ECSA)

European Transport Workers' Federation (ETF)

International Association of Classification Societies (IACS).

59