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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)

EU Regulation No 336/2006 · Adopted 15 February 2006 · Extends to United Kingdom

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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 Committeef1,

After consulting the Committee of the Regions,

Acting in accordance with the procedure laid down in Article 251 of the Treatyf2,

Whereas:

(1)

The International Management Code for the Safe Operation of Ships and for Pollution Prevention, hereinafter referred to as ‘the ISM Code’, was adopted by the International Maritime Organisation (IMO) 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.

(2)

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

(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)f3 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 passenger craft, oil tankers, chemical tankers, gas carriers, bulk carriers and cargo high-speed craft of 500 gross tonnage and upwards, on international voyages.

(6)

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

(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.

(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.

(9)

The adoption of a new Regulation with direct applicability 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.

(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 certification 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 shippingf4.

(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 administrationsf5, 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 shipsf6, 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 Commissionf7.

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

HAVE ADOPTED THIS REGULATION:

Annotations to the whole text

Footnotes

f1

OJ C 302, 7.12.2004, p. 20.

f2

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).

f3

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).

f4

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).

f5

OJ L 319, 12.12.1994, p. 20. Directive as last amended by Directive 2002/84/EC.

f6

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).

f7

OJ L 184, 17.7.1999, p. 23.

Contents

  1. 1Objective
  2. 2Definitions
  3. 3Scope
  4. 4Compliance
  5. 5Safety management requirements
  6. 6Certification and verification
  7. 7Derogation
  8. 8Validity, acceptance and recognition of certificates
  9. 9Penalties
  10. 10Reporting
  11. 11Amendments
  12. 11aExercise of the delegation
  13. 12Committee procedure
  14. 13Repeal
  15. 14Entry into force
  16. Signature
  17. Annex I: International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management (ISM) Code)
  18. (INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE)
  20. General
  21. 1.1Definitions
  22. 1.1.1Division 1.1.1
  23. 1.1.2Division 1.1.2
  24. 1.1.3Division 1.1.3
  25. 1.1.4Division 1.1.4
  26. 1.1.5Division 1.1.5
  27. 1.1.6Division 1.1.6
  28. 1.1.7Division 1.1.7
  29. 1.1.8Division 1.1.8
  30. 1.1.9Division 1.1.9
  31. 1.1.10Division 1.1.10
  32. 1.1.11Division 1.1.11
  33. 1.1.12Division 1.1.12
  34. Objectives
  35. 1.2.1Division 1.2.1
  36. 1.2.2Division 1.2.2
  37. 1.2.2.1Division 1.2.2.1
  38. 1.2.2.2Division 1.2.2.2
  39. 1.2.2.3Division 1.2.2.3
  40. 1.2.3Division 1.2.3
  41. 1.2.3.1Division 1.2.3.1
  42. 1.2.3.2Division 1.2.3.2
  43. 1.3Application
  44. 1.4Functional requirements for a safety management system (SMS)
  45. 1.4.1Division 1.4.1
  46. 1.4.2Division 1.4.2
  47. 1.4.3Division 1.4.3
  48. 1.4.4Division 1.4.4
  49. 1.4.5Division 1.4.5
  50. 1.4.6Division 1.4.6
  51. Safety and environmental protection policy
  52. 2.1Division 2.1
  53. 2.2Division 2.2
  54. Company responsibilities and authority
  55. 3.1Division 3.1
  56. 3.2Division 3.2
  57. 3.3Division 3.3
  58. 4Designated person(s)
  59. Master's responsibility and authority
  60. 5.1Division 5.1
  61. 5.1.1Division 5.1.1
  62. 5.1.2Division 5.1.2
  63. 5.1.3Division 5.1.3
  64. 5.1.4Division 5.1.4
  65. 5.1.5Division 5.1.5
  66. 5.2Division 5.2
  67. Resources and personnel
  68. 6.1Division 6.1
  69. 6.1.1Division 6.1.1
  70. 6.1.2Division 6.1.2
  71. 6.1.3Division 6.1.3
  72. 6.2Division 6.2
  73. 6.3The 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.
  74. 6.4Division 6.4
  75. 6.5Division 6.5
  76. 6.6Division 6.6
  77. 6.7Division 6.7
  78. 7Development of plans for shipboard operations
  79. Emergency preparedness
  80. 8.1Division 8.1
  81. 8.2Division 8.2
  82. 8.3Division 8.3
  83. Reports and analysis of non-conformities, accidents and hazardous occurrences
  84. 9.1Division 9.1
  85. 9.2Division 9.2
  86. Maintenance of the ship and equipment
  87. 10.1Division 10.1
  88. 10.2Division 10.2
  89. 10.2.1Division 10.2.1
  90. 10.2.2Division 10.2.2
  91. 10.2.3Division 10.2.3
  92. 10.2.4Division 10.2.4
  93. 10.3Division 10.3
  94. 10.4Division 10.4
  95. Documentation
  96. 11.1Division 11.1
  97. 11.2Division 11.2
  98. 11.2.1Division 11.2.1
  99. 11.2.2Division 11.2.2
  100. 11.2.3Division 11.2.3
  101. 11.3Division 11.3
  102. Company verification, review and evaluation
  103. 12.1Division 12.1
  104. 12.2Division 12.2
  105. 12.3Division 12.3
  106. 12.4Division 12.4
  107. 12.5Division 12.5
  108. 12.6Division 12.6
  110. Certification and periodical verification
  111. 13.1Division 13.1
  112. 13.2Division 13.2
  113. 13.3Division 13.3
  114. 13.4Division 13.4
  115. 13.5Division 13.5
  116. 13.5.1Division 13.5.1
  117. 13.6Division 13.6
  118. 13.7Division 13.7
  119. 13.8Division 13.8
  120. 13.9Division 13.9
  121. 13.10Division 13.10
  122. 13.11Division 13.11
  123. Interim certification
  124. 14.1An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when:
  125. 14.2An Interim Safety Management Certificate may be issued:
  126. 14.3Division 14.3
  127. 14.4An Interim Safety Management Certificate may be issued following verification that:
  128. Verification
  129. 15.1Division 15.1
  130. Forms of certificates
  131. 16.1Division 16.1
  132. 16.2Division 16.2
  133. Forms of the Document of Compliance, the Safety Management Certificate, the Interim Document of Compliance and the Interim Safety Management Certificate
  134. Annex II: PROVISIONS FOR THE ADMINISTRATION CONCERNING THE IMPLEMENTATION OF THE INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE
  135. Part A — GENERAL PROVISIONS
  136. 1.1Division 1.1
  137. 1.2Division 1.2
  138. Part B — CERTIFICATION AND STANDARDS
  139. Certification process
  140. 2.1Division 2.1
  141. 2.2The certification process shall normally involve the following steps:
  142. 2.3Division 2.3
  143. 2.4Division 2.4
  144. 2.5Division 2.5
  145. 2.6Division 2.6
  146. 2.7Division 2.7
  147. Standard of management
  148. 3.1Auditors or the audit team managing verification of compliance with the ISM Code shall have competence in relation to:
  149. 3.2Division 3.2
  150. Standards of competence
  151. 4.1Division 4.1
  152. 4.1.1Division 4.1.1
  153. 4.1.2They 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:
  154. 4.2Division 4.2
  155. 4.2.1In 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:
  156. 4.2.2Division 4.2.2
  157. 5Form of Documents of Compliance and Safety Management Certificates
  158. DOCUMENT OF COMPLIANCE
  159. Certificate NoENDORSEMENT FOR ANNUAL VERIFICATION
  160. SAFETY MANAGEMENT CERTIFICATE
  161. Certificate NoENDORSEMENT FOR INTERMEDIATE VERIFICATION AND ADDITIONAL VERIFICATION (IF REQUIRED)
  162. INTERIM DOCUMENT OF COMPLIANCE
  163. INTERIM SAFETY MANAGEMENT CERTIFICATE