Regulation (EC) No 336/2006 of the European Parliament and of the Council of  15 February 2006  on the implementation of the International Safety Management Code within the Community and repealing Council Regulation (EC) No 3051/95   (Text with EEA relevance)
Date: 2006-02-15
Institutions: Council of the European Union, European Parliament
Subjects: International Maritime Organisation, marine pollution, maritime safety, maritime transport, pollution from ships, prevention of pollution

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(Acts whose publication is obligatory)

REGULATION (EC) No 336/2006 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 15 February 2006

on the implementation of the International Safety Management Code within the Community and
repealing Council Regulation (EC) No 3051/95

(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 Commission,

Having regard to the opinion of the European Economic and
Social Committee (1),

After consulting the Committee of the Regions,

Acting in accordance with the procedure laid down in
Article 251 of the Treaty (2),

Whereas:

(3) Guidelines on Implementation of

the ISM Code by
Administrations were adopted by IMO Resolution
A.788(19) on 23 November 1995. These Guidelines
were 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-off
passenger ferries (ro-ro ferries) (3) made the ISM Code
mandatory at Community level with effect from 1 July
1996 for all ro-ro passenger ferries operating on a regular
service to and from ports of the Member States, on both
domestic and international voyages and regardless of
their flag. This was a first step towards ensuring uniform
and coherent implementation of the ISM Code in all
Member States.

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

(1) The International Management Code for

the Safe
Operation of Ships and for Pollution Prevention, here-
inafter referred to as ‘the ISM Code’, was adopted by the
International Maritime Organisation (IMO) in 1993. This
Code gradually became mandatory for most ships sailing
on international voyages with the adoption in May 1994
of Chapter IX ‘Management for the Safe Operation of
Ships’ of the International Convention for the Safety of
Life at Sea (SOLAS), 1974.

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

(7) The 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.

(2) The ISM Code was amended by the IMO by Resolution

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

(8)

It is desirable to apply directly the ISM Code to ships
flying the flag of a Member State as well as to ships,
regardless of their flag, engaged exclusively on domestic
voyages or on a regular shipping service operating to or
from ports of the Member States.

(1) OJ C 302, 7.12.2004, p. 20.
(2) Opinion of

the European Parliament of 10 March 2004
(OJ C 102 E, 28.4.2004, p. 565), Council Common Position of
18 July 2005 (OJ C 264 E, 25.10.2005, p. 28) and Position of
the European Parliament of 13 December 2005 (not yet
published in the Official Journal).

(3) OJ L 320, 30.12.1995, p. 14. Regulation as last amended by
Regulation (EC) No 2099/2002 of the European Parliament and
of the Council (OJ L 324, 29.11.2002, p. 1).

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(9) The adoption of a new Regulation with direct applic-
ability should ensure the enforcement of the ISM Code
on the understanding that it is left to the Member States
to decide whether to implement the Code for ships,
regardless of their flag, operating exclusively in port
areas.

principle of subsidiarity as set out in Article 5 of the
Treaty. In accordance with the principle of proportion-
ality, as set out in that Article, this Regulation does not
go beyond what is necessary in order to achieve those
objectives,

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

repealed.

(11)

If a Member State considers it difficult in practice for
companies to comply with specific provisions of Part A
of the ISM Code for certain ships or categories of ships
exclusively engaged on domestic voyages in that Member
State,
it may derogate wholly or partly from those
provisions by imposing measures ensuring equivalent
achievement of the objectives of the Code. It may, for
such ships and companies, establish alternative certifica-
tion and verification procedures.

(12)

It is necessary to take into account Council Directive
95/21/EC of 19 June 1995 on port State control of
shipping (1).

(13)

It is also necessary to take into account Council Directive
94/57/EC of 22 November 1994 on common rules and
standards for ship inspection and survey organisations
and for the relevant activities of maritime administra-
tions (2), in order to define the recognised organisations
for the purpose of this Regulation, and Council Directive
98/18/EC of 17 March 1998 on safety rules and
standards for passenger ships (3),
for the purpose of
establishing the scope of application of this Regulation as
regards passenger ships engaged on domestic voyages.

(14) The measures necessary for amending Annex II should 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
Commission (4).

(15) Since the objectives of

this Regulation, namely to
enhance the safety management and safe operation of
ships as well as the prevention of pollution from ships,
cannot be sufficiently achieved by the Member States and
can therefore be better achieved at Community level, the
Community may adopt measures, in accordance with the

(1) OJ L 157, 7.7.1995, p. 1. Directive as last amended by Directive
2002/84/EC of the European Parliament and of the Council (OJ
L 324, 29.11.2002, p. 53).

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

Directive 2002/84/EC.

(3) OJ L 144, 15.5.1998, p. 1. Directive as last amended by
Commission Directive 2003/75/EC (OJ L 190, 30.7.2003, p. 6).

(4) OJ L 184, 17.7.1999, p. 23.

HAVE ADOPTED THIS REGULATION:

Article 1

Objective

The objective of this Regulation is to enhance the safety
management and safe operation of ships as well as the
prevention of pollution from ships, referred to in Article 3(1),
by ensuring that companies operating those ships comply
with the ISM Code by means of:

(a)

the establishment,
implementation and proper main-
tenance by companies of the shipboard and shore-based
safety management systems; and

(b)

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

Article 2

Definitions

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

(1)

(2)

(3)

‘the ISM Code’ means the International Management
Code for the Safe Operation of Ships and for Pollution
Prevention adopted by the
International Maritime
Organisation 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 its
up-to-date version;

‘recognised organisation’ means a body recognised in
accordance with Directive 94/57/EC;

‘company’ means the owner of the ship or any other
organisation or person, such as the manager or the
bareboat charterer, who has assumed 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 responsibilities imposed by the ISM
Code;

(4)

‘passenger ship’ means a ship,
including a high-speed
craft, carrying more than 12 passengers, or a passenger
submersible craft;

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(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;

‘high-speed craft’ means a high-speed craft as defined in
Regulation X-1/2 of SOLAS, in its up-to-date version. For
high-speed passenger craft, the limitations indicated in
Article 2(f) of Directive 98/18/EC shall apply;

(14) ‘gross tonnage’ means the gross tonnage of a ship
determined in accordance with the International Con-
vention on Tonnage Measurement of Ships, 1969 or, in
the case of ships engaged exclusively on domestic
voyages and not measured in accordance with the said
Convention, the gross tonnage of the ship determined in
accordance with national tonnage measurement regula-
tions.

Article 3

Scope

‘cargo ship’ means a ship, including a high-speed craft,
which is not a passenger ship;

1. This Regulation shall apply to the following types of ships
and to companies operating them:

‘international voyage’ means a voyage by sea from a port
of a Member State or any other State to a port outside
that State, or vice versa;

(a)

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

‘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;

(b)

cargo ships and passenger ships engaged exclusively on
domestic voyages, regardless of their flag;

(6)

(7)

(8)

(9)

(10) ‘regular shipping service’ means a series of ship crossings
operated so as to serve traffic between the same two or
more points, either:

(c)

cargo ships and passenger ships operating to or from
ports of the Member States, on a regular shipping service,
regardless of their flag;

(a)

according to a published timetable; or

(d) mobile offshore drilling units operating under

the

authority of a Member State.

(b) with crossings so regular or frequent

that

they

constitute a recognisable systematic series;

2. This Regulation shall not apply to the following types of
ships or to the companies operating them:

(11) ‘ro-ro passenger ferry’ means a seagoing passenger vessel
as defined in Chapter II-1 of SOLAS, in its up-to-date
version;

(12) ‘passenger submersible craft’ means a passenger-carrying
mobile vessel which primarily operates under water and
relies on surface support, such as a surface ship or shore-
based facilities, for monitoring and for one or more of
the following:

(a)

(b)

ships of war and troopships and other ships owned or
operated by a Member State and used only on
government non-commercial service;

ships not propelled by mechanical means, wooden ships
of primitive build, pleasure yachts and pleasure craft,
unless they are or will be crewed and carrying more than
12 passengers for commercial purposes;

(a)

recharging of power supply;

(b)

recharging high pressure air;

(c)

recharging life-support;

(c)

fishing vessels;

(d)

cargo ships and mobile offshore drilling units of less
than 500 gross tonnage;

(13) ‘mobile offshore drilling unit’ means a vessel capable of
engaging in drilling operations for the exploration for or
exploitation of resources beneath the seabed such as
liquid or gaseous hydrocarbons, sulphur or salt;

(e)

passenger ships, other than ro-ro passenger ferries, in sea
areas of Class C and D as defined in Article 4 of Directive
98/18/EC.

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Article 4

Compliance

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

(c)

the Member State shall make any adopted measures
public with a direct reference to paragraph 1 and,
if
applicable, paragraph 2.

if
Following a derogation under paragraph 1 and,
4.
applicable, paragraph 2, the Member State concerned shall
issue a certificate in accordance with the second subparagraph
of Annex II, Part B, Section 5,
indicating the applicable
operational limitations.

Article 5

Safety management requirements

Article 8

The ships referred to in Article 3(1) and the companies
operating them shall comply with the requirements of Part A
of the ISM Code.

Article 6

Certification and verification

For the purposes of certification and verification, Member
States shall comply with the provisions of Part B of the ISM
Code.

Article 7

Derogation

1. A Member State may, if it considers it difficult in practice
for companies to comply with paragraphs 6, 7, 9, 11 and 12 of
Part A of the ISM Code for certain ships or categories of ships
exclusively engaged on domestic voyages in that Member
State, derogate wholly or partly from those provisions by
imposing measures ensuring equivalent achievement of the
objectives of the Code.

2. A Member State may, for ships and companies for which
a derogation has been adopted by virtue of paragraph 1, if it
considers it difficult in practice to apply the requirements laid
down in Article 6, establish alternative certification and
verification procedures.

In the circumstances set out

3.
if
applicable, paragraph 2, the following procedure shall apply:

in paragraph 1 and,

Validity, acceptance and recognition of certificates

1. The Document of Compliance shall remain valid for up to
five years from the date of its issue. The Safety Management
Certificate shall remain valid for up to five years from the date
of its issue.

2.
In cases of renewal of the Document of Compliance and
the Safety Management Certificate, the relevant provisions of
Part B of the ISM Code shall apply.

3. Member States shall accept Documents of Compliance,
Interim Documents of Compliance, Safety Management
Certificates and Interim Safety Management Certificates issued
by the administration of any other Member State or on behalf
of this administration by a recognised organisation.

4. Member States shall accept Documents of Compliance,
Interim Documents of Compliance, Safety Management
Certificates and Interim Safety Management Certificates issued
by, or on behalf of, the administrations of third countries.

However, for ships engaged on a regular shipping service,
compliance with the ISM Code by the Documents of
Interim Documents of Compliance, Safety
Compliance,
Management Certificates and Interim Safety Management
Certificates issued on behalf of administrations of
third
countries shall be verified, by any appropriate means, by or on
behalf of the Member State(s) concerned, unless they were
issued by the administration of a Member State or by a
recognised organisation.

(a)

(b)

the Member State concerned shall notify the Commission
of the derogation and of the measures which it intends to
adopt;

Article 9

Penalties

if, within six months of the notification, it is decided, in
accordance with the procedure referred to in Article
12(2), that the proposed derogation is not justified or
that
the
the proposed measures are not sufficient,
Member State shall be required to amend or refrain
from adopting the proposed provisions;

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

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Article 10

Reporting

2. Where reference is made to this paragraph, Articles 5 and
7 of Decision 1999/468/EC shall apply, having regard to the
provisions of Article 8 thereof.

1. Member States shall report to the Commission every two
years on the implementation of this Regulation.

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

2. The Commission shall, in accordance with the procedure
referred to in Article 12(2), establish a harmonised specimen
form for such reports.

3. The Commission shall, with the assistance of
the
European Maritime Safety Agency and within six months of
receiving the
from Member States, prepare a
consolidated report concerning the implementation of this
Regulation, with any proposed measures, if appropriate. This
report shall be addressed to the European Parliament and the
Council.

reports

Article 11

Amendments

1. Amendments to the ISM Code may be excluded from the
scope of this Regulation pursuant to Article 5 of Regulation
(EC) No 2099/2002 of the European Parliament and of the
Council of 5 November 2002 establishing a Committee on
Safe Seas and the Prevention of Pollution from Ships
(COSS) (1).

2. Any amendment to Annex II shall be made in accordance
with the procedure referred to in Article 12(2).

3. The Committee shall adopt its Rules of Procedure.

Article 13

Repeal

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

Interim Documents of Compliance,

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

their expiry or until

Article 14

Entry into force

Article 12

Committee

This Regulation shall enter into force on the 20th day
following its publication in the Official Journal of the European
Union.

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

As concerns cargo and passenger ships, which are not already
required to comply with the ISM Code, this Regulation shall
apply as from 24 March 2008.

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

Done at Strasbourg, 15 February 2006.

For the European Parliament

The President

J. BORRELL FONTELLES

For the Council

The President

H. WINKLER

(1) OJ L 324, 29.11.2002, p. 1. Regulation as amended by
Commission Regulation (EC) No 415/2004 (OJ L 68, 6.3.2004,
p. 10).

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International Management Code for the Safe Operation of Ships and for Pollution Prevention (International
Safety Management (ISM) Code)

ANNEX I

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

14.

Interim certification

15. Verification

16.

Forms of certificates

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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.

‘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.

1.1.2.

‘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.

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

1.1.5.

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

1.1.6.

‘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.

1.1.7.

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

1.1.8.

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

1.1.9.

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

1.1.10.

‘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.

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.

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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 organisation, administrations,

classification societies and maritime industry organisations 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.

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

1.4.3.

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

1.4.4.

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.

2.

Safety and environmental protection policy

2.1.

2.2.

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 organisation
both ship-based as well as shore-based.

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3.

Company responsibilities and authority

3.1.

3.2.

3.3.

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.

Master's responsibility and authority

5.1.

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
emphasising 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.

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.

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

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6.3.

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 familiarisation with their
duties.

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

6.4.

6.5.

6.6.

6.7.

The company should ensure that all personnel
understanding of relevant rules, regulations, codes and guidelines.

involved in the company's SMS have an adequate

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.

Emergency preparedness

8.1.

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

8.2.

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

8.3.

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

9.

Reports and analysis of non-conformities, accidents and hazardous occurrences

9.1.

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.

9.2.

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;

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

12.

Company verification, review and evaluation

12.1.

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

12.2.

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

12.3.

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

12.4.

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.

12.5.

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

12.6.

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

L 64/12

EN

Official Journal of the European Union

4.3.2006

PART B — CERTIFICATION AND VERIFICATION

13.

Certification and periodical verification

13.1.

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.

13.2.

13.3.

13.4.

13.5.

The Document of Compliance should be issued by the administration, by an organisation recognised by the
administration or, at
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 administration, by another contracting government

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 organisation recognised by the administration or, at the request of the administration by another
contracting government within three months before or after the anniversary date.

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.

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 organisation recognised 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 organisation recognised 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 organisation recognised 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.

13.9.

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.

4.3.2006

EN

Official Journal of the European Union

L 64/13

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.

14.

Interim certification

14.1.

An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when:

1.

a company is newly established; or

2.

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 organisation recognised 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 organisation recognised 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.

to new ships on delivery;

2.

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

3.

when a ship changes flag.

Such an Interim Safety Management Certificate should be issued for a period not exceeding six months by
the
the administration or an organisation recognised by the administration or, at
administration, by another contracting government.

the request of

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 six months from the date of expiry.

14.4.

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

1.

2.

the Document of Compliance, or the Interim Document of Compliance,
concerned;

is relevant to the ship

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;

3.

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

4.

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

5.

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

6.

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

L 64/14

EN

Official Journal of the European Union

4.3.2006

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 organisation (1).

16.

Forms of certificates

16.1.

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.

16.2.

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.

(1)

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

4.3.2006

EN

Official Journal of the European Union

L 64/15

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

Appendix

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 organisation authorised)

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

L 64/16

EN

Official Journal of the European Union

4.3.2006

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

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

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

(place of issue of the document)

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

(Signature of the duly authorised official issuing the document)

(Seal or stamp of issuing authority, as appropriate)

4.3.2006

EN

Official Journal of the European Union

L 64/17

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

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

(Signature of authorised official)

Place:

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

Date:

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

2nd ANNUAL VERIFICATION

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

(Signature of authorised official)

Place:

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

Date:

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

3rd ANNUAL VERIFICATION

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

(Signature of authorised official)

Place:

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

Date:

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

4th ANNUAL VERIFICATION

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

(Signature of authorised official)

Place:

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

Date:

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

L 64/18

EN

Official Journal of the European Union

4.3.2006

SAFETY MANAGEMENT CERTIFICATE

(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 organisation authorised)

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.

(*)

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.

4.3.2006

EN

Official Journal of the European Union

L 64/19

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 authorised official issuing the certificate)

(Seal or stamp of issuing authority, as appropriate)

L 64/20

EN

Official Journal of the European Union

4.3.2006

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.

INTERMEDIATE VERIFICATION (to be
completed between the second and third
anniversary date)

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

(Signature of authorised official)

Place:

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

Date:

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

ADDITIONAL VERIFICATION (*)

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

(Signature of authorised official)

Place:

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

Date:

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

ADDITIONAL VERIFICATION (*)

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

(Signature of authorised official)

Place:

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

Date:

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

ADDITIONAL VERIFICATION (*)

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

(Signature of authorised official)

Place:

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

Date:

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

(*)

If applicable. Reference is made to paragraph 3.4.1 of the Guidelines on Implementation of the International Safety
Management (ISM) Code by Administrations (Resolution A.913(22)).

4.3.2006

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Official Journal of the European Union

L 64/21

INTERIM 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 organisation authorised)

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

L 64/22

EN

Official Journal of the European Union

4.3.2006

This Interim Document of Compliance is valid until:

Issued at:

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

(Place of issue of the document)

Date of issue:

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

(Signature of the duly authorised official issuing the document)

(Seal or stamp of issuing authority, as appropriate)

4.3.2006

EN

Official Journal of the European Union

L 64/23

INTERIM SAFETY MANAGEMENT CERTIFICATE

(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 organisation authorised)

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.

(*)

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.

L 64/24

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4.3.2006

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

(place of issue of the document)

Date of issue:

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

(Signature of the duly authorised official issuing the certificate)

(Seal or stamp of issuing authority, as appropriate)

Certificate No

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

Date of extension:

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

(Signature of the duly authorised official extending the validity)

(Seal or stamp of issuing authority, as appropriate)

4.3.2006

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L 64/25

ANNEX II

PROVISIONS FOR THE ADMINISTRATION CONCERNING THE IMPLEMENTATION OF THE
INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE

Part A General provisions

Part B Certification and standards

2.

Certification process

3.

Standard of management

4.

Standards of competence

5.

Form of Document of Compliance and Safety Management Certificate

PART A — GENERAL PROVISIONS

1.1. 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.

1.2.

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

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.

initial verification;

2.

annual or intermediate verification;

3.

renewal verification; and

4.

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.

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2.3.

The verifications shall include a safety management audit.

2.4.

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

2.5.

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

2.6.

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

2.7.

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-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.

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

2.

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

3.

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

4.

practical experience of ship operation.

3.2.

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. 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/EC.

4.1.2. 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:

(a)

knowledge and understanding of the ISM Code;

(b) mandatory rules and regulations;

(c)

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

(d)

assessment techniques of examining, questioning, evaluating and reporting;

(e)

technical or operational aspects of safety management;

(f)

basic knowledge of shipping and shipboard operations; and

4.3.2006

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L 64/27

(g)

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:

(a)

(b)

(c)

determine whether or not the elements of the safety management system (SMS) conform with the ISM
Code;

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

(d)

assess whether the safe practices recommended by the IMO, administrations, classification societies and
maritime industry organisations 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 safety management certificates

When ships operate only in a Member State, Member States 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.

In the event of a derogation under Article 7(1) and, if applicable, Article 7(2), the certificate issued shall be
different from the one referred to above and clearly indicate that a derogation in accordance with Article 7(1)
and, if applicable, Article 7(2) of this Regulation, has been granted and shall include the applicable operational
limitations.

L 64/28

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Official Journal of the European Union

4.3.2006

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 and] (*) of Regulation (EC) No 336/2006 on the implementation of the ISM Code within the Community

Under the authority of the Government of

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

(Name of the State)

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

(person or organisation authorised)

Name and address of the company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(see paragraph 1.1.2 of Part A of Annex I to Regulation (EC) No 336/2006)

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 ferry

(*)

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

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L 64/29

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

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

(place of issue of the document)

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

(Signature of the duly authorised official issuing the document)

(Seal or stamp of issuing authority, as appropriate)

L 64/30

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4.3.2006

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] (*) Article 6 of Regulation (EC) No 336/2006 on the implementation of the
ISM Code within the Community, the safety management system was found to comply with the requirements of the
ISM Code.

1st ANNUAL VERIFICATION

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

(Signature of authorised official)

Place:

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

Date:

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

2nd ANNUAL VERIFICATION

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

(Signature of authorised official)

Place:

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

Date:

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

3rd ANNUAL VERIFICATION

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

(Signature of authorised official)

Place:

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

Date:

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

4th ANNUAL VERIFICATION

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

(Signature of authorised official)

Place:

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

Date:

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

(*)

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

4.3.2006

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L 64/31

SAFETY MANAGEMENT CERTIFICATE

(Official seal)/(State)

Certificate No

Issued under the provisions [of the INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as
amended and] (*) of Regulation (EC) No 336/2006 on the implementation of the ISM Code within the Community

Under the authority of the Government of

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

(name of the State)

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

(person or organisation authorised)

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 Part A of Annex I to Regulation (EC) No 336/2006)

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

(Signature of the duly authorised official issuing the certificate)

(Seal or stamp of issuing authority, as appropriate)

(*)

(**)

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 ferry.

L 64/32

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4.3.2006

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] (*) Article 6 of Regulation (EC) No 336/2006 on the implementation of the
ISM Code within the Community, the safety management system was found to comply with the requirements of the
ISM Code.

INTERMEDIATE VERIFICATION (to be
completed between the second and third
anniversary date)

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

(Signature of authorised official)

Place:

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

Date:

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

ADDITIONAL VERIFICATION (**)

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

(Signature of authorised official)

Place:

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

Date:

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

ADDITIONAL VERIFICATION (**)

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

(Signature of authorised official)

Place:

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

Date:

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

ADDITIONAL VERIFICATION (**)

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

(Signature of authorised official)

Place:

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

Date:

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

(*)

(**)

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 and paragraph 3.4.1 of the Guidelines on Implementation
of the International Safety Management (ISM) Code by Administrations (Resolution A.913(22)).

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L 64/33

INTERIM DOCUMENT OF COMPLIANCE

(Official seal)/(State)

Certificate No

Issued under the provisions of [of the INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as
amended and] (*) of Regulation (EC) No 336/2006 on the implementation of the ISM Code within the Community

Under the authority of the Government of

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

(name of the State)

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

(person or organisation authorised)

Name and address of the company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(see paragraph 1.1.2 of Part A of Annex I to Regulation (EC) No 336/2006)

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 Part A of Annex I to Regulation (EC) No 336/2006 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 ferry

(*)

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

L 64/34

EN

Official Journal of the European Union

4.3.2006

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

Issued at:

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

(place of issue of the document)

Date of issue:

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

(Signature of the duly authorised official issuing the document)

(Seal or stamp of issuing authority, as appropriate)

4.3.2006

EN

Official Journal of the European Union

L 64/35

INTERIM SAFETY MANAGEMENT CERTIFICATE

(Official seal)/(State)

Certificate No

Issued under the provisions of [of the INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974, as
amended and] (*) of Regulation (EC) No 336/2006 on the implementation of the ISM Code within the Community

Under the authority of the Government of

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

(name of the State)

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

(person or organisation authorised)

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 Part A of Annex I to Regulation (EC) No 336/2006)

THIS IS TO CERTIFY THAT the requirements of paragraph 14.4 of Part A of Annex I to Regulation (EC)
No 336/2006 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: …

Date of issue:

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

(place of issue of the document)

(Signature of the duly authorised official issuing the certificate)

(Seal or stamp of issuing authority, as appropriate)

(*)

(**)

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 ferry.

(***) Delete as appropriate.

L 64/36

EN

Official Journal of the European Union

4.3.2006

Certificate No

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

Date of extension:

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

(Signature of the duly authorised official extending the validity)

(Seal or stamp of issuing authority, as appropriate)