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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.

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

(b) 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;

(c) 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 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. 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. 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 ship (ro-ro ferry) This Document of Compliance is valid until …, subject to periodical verification. Completion date of the verification on which this certificate is based … (dd/mm/yyyy) 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) 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. FIRST ANNUAL VERIFICATION Signed: … (Signature of authorised official) Place: … Date: … SECOND ANNUAL VERIFICATION Signed: … (Signature of authorised official) Place: … Date: … THIRD ANNUAL VERIFICATION Signed: … (Signature of authorised official) Place: … Date: … FOURTH ANNUAL VERIFICATION Signed: … (Signature of authorised official) Place: … Date: … 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. Completion date of the verification on which this certificate is based … (dd/mm/yyyy) 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 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: … 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 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 …