3051/95 - - - I
1This document is meant purely as a documentation tool and the institutions do not assume any liability for its con-
tents
COUNCIL REGULATION (EC) No 3051/95
of 8 December 1995
on the safety management of roll-on/roll-off passenger ferries (ro-ro ferries)
(OJ No L 320, 30. 12. 1995, p. 14)
Amended by:
Official Journal
No page date
Commission Regulation (EC) No 179/98 of 23 January 1998 L 19 35 24. 1. 1998
3051/95 - - - I
ICOUNCIL REGULATION (EC) No 3051/95
of 8 December 1995
on the safety management of roll-on/roll-off passenger ferries (ro-ro ferries)
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the T reaty establishing he EuropeanCommunity, and in particular Article 84 (2) thereof,
Having regard to the proposal from the Commission (
1),
Having regard to the opinion of the Economic and Social
Committee (2),
Acting in accordance with the procedure referred to in Ar-
ticle 189c of the T reaty (3),
Whereas the Community is seriously concerned by shipping
casualties with loss of life;
Whereas the International Safety Management Code pro-
viding for the safe operation of ships and for pollution
prevention, hereinafter referred to as the ‘ISM Code’, wasadopted by the International Maritime Organization
(IMO) through Assembly Resolution A.741(18) of 4 No-
vember 1993 in the presence of the Member States and,
through its incorporation into the International Convention
on the Safety of Life at Sea 1974, will apply to ro-ro pass-
enger vessels from 1 July 1998;
Whereas this represents one of a series of measures to im-
prove safety at sea; whereas the ISM Code is not yet of a
mandatory but of a recommendatory nature;
Whereas safety of human life at sea may be effectively en-
hanced by applying the ISM Code strictly and on a manda-
tory basis;
Whereas the Community’s most urgent concern is for the
safety management of ro-ro passenger ferries; whereas a
uniform and coherent implementation of the ISM Code in
all Member States can constitute a step towards the safety
management of ro-ro passenger ferries;
Whereas in its resolution of 22 December 1994 on the
safety of roll-on/roll-off passenger ferries (
4), the Council
invited the Commission to submit a proposal on the ad-
vance mandatory application of the ISM Code to all reg-
ular roll-on/roll-off passenger ferry services operating to or
from European ports, in compliance with international law;
(1) OJ No C 298, 11. 11. 1995, p. 23, and amended proposal
submitted on 15 June 1995 (OJ No C 288, 11. 11. 1995, p.31).
(2) OJ No C 236, 11. 9. 1995, p. 42.
(3) Opinion of the European Parliament of 14 June 1995 (OJ
No C 166, 3. 7. 1995, p. 55), Council common position of28 September 1995 (OJ No C 297, 10. 11. 1995, p. 1) anddecision of the European Parliament of 29 November1995 (not yet published in the Official Journal).
(
4) OJ No C 379, 31. 12. 1994, p. 8.
3051/95 - - - I
IIWhereas strict and mandatory application of the ISM
Code is required to ensure the establishment and proper
maintenance of safety management systems by companies
operating seagoing ro-ro passenger ferries both at ship and
at company level;
Whereas action at Community level is the best way to en-
sure advance mandatory enforcement of the provisions of
the ISM Code and effective control of its application,
while avoiding distortion of competition between different
Community ports and ro-ro ferries; whereas only a regula-
tion, which is of direct applicability, can ensure such en-
forcement; whereas advance implementation requires that
the Regulation be applicable as from 1 July 1996;
Whereas the advance mandatory implementation of the
ISM Code to all ro-ro ferries regardless of their flag also
takes into account the request contained in point 2 of
IMO Resolution A.741(18) which strongly urges Govern-ments to implement the Code as soon as possible, giving
priority inter alia to passenger ships;
Whereas the safety of ships is the primary responsibility of
flag States; whereas Member States can ensure compliance
with adequate safety management rules by ferries flying
their flag and companies operating them; whereas the only
way to ensure the safety of all ro-ro ferries, irrespective of
their flag, operating or wishing to operate on a regular ser-
vice from their ports is for the Member States to require
effective compliance with safety rules as a condition for
operating on a regular service from their ports;
Whereas companies operating ro-ro ferries exclusively in
sheltered waters between ports in the same Member State
constitute a more limited risk and will need to assume a
proportionately greater administrative work-load than other
companies, and should therefore enjoy a temporary der-
ogation;
Whereas it is necessary to identify the requirements under
which the provisions of the ISM Code are enforced and to
define the conditions for the issue and verification of the
document of compliance and of the safety management
certificate;
Whereas Member States might find it necessary to del-
egate or rely upon specialized bodies in order to fulfil
their obligations pursuant to this Regulation; whereas the
appropriate way of ensuring a uniform and adequate level
of control is to require that such bodies should only be
those which meet the requirements of Council Directive
94/57/EC of 22 November 1994 on common rules andstandards for ship inspection and survey organizations and
for the relevant activities of maritime administrations (
1);
(1) OJ No L 319, 12. 12. 1994, p. 20.
3051/95 - - - I
IIIWhereas a Member State must have the possibility of sus-
pending the operation of certain ro-ro ferries from its
ports where it considers that there is a risk of serious
danger to safety of life or property or the environment,
subject to a decision to be taken in the framework of a
regulatory committee, to which the Member States must
conform;
Whereas a simplified procedure involving a committee of a
regulatory nature is necessary to amend this Regulation
taking into account developments at international level;
Whereas the rapid introduction of these safety rules raises
specific technical and administrative problems for Greece
because of the very large number of companies established
in Greece operating ferries under the Greek flag and ex-
clusively between Greek ports; whereas a derogation of li-
mited duration to cover this situation should therefore be
granted bearing in mind in addition that regular passengerand ferry services between Greek ports have been excluded
until 1 January 2004 from the freedom to provide services
granted by Council Regulation (EEC) No 3577/92 of 7
December 1992 applying the principle of freedom to pro-
vide services to maritime transport within Member States
(maritime cabotage) (
1),
HAS ADOPTED THIS REGULATION:
(1) OJ No L 364, 12. 12. 1992, p. 7.
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1Article 1
The purpose of this Regulation is to enhance the safe
management, safe operation and pollution prevention of
ro-ro passenger ferries operating to or from ports of the
Member States of the Community on a regular service by
ensuring that companies operating ro-ro ferries comply
with the ISM Code through:
— the establishment and proper maintenance of ship-
board and shore-based safety management systems by
companies, and
— the control thereof by flag and port State administra-
tions.
Article 2
For the purpose of this Regulation and with a view to the
implementation of the ISM Code:
(a) ‘ro-ro ferry’ means a seagoing passenger vessel with
facilities to enable road or rail vehicles to roll on and
roll off the vessel, and carrying more than 12 passen-
gers;
(b) ‘regular service’ means a series of ro-ro ferry crossings
operated so as to serve traffic between the same two
or more points, either:
1. according to a published timetable; or
2. with crossings so regular or frequent that they
constitute a recognizable systematic series;
(c) ‘company’ means the owner of a ro-ro ferry or any
other organization or person such as the manager, or
the bareboat charterer, who has assumed responsibil-
ity for operating the ro-ro ferry from the owner;
(d) “Recognised organisation” means a body recognised
in accordance with the provisions of Directive
94/57/EC, as amended by Commission Directive
97/58/EC (1);
(e) ‘ISM Code’ means the International Management
Code for the Safe Operation of Ships and for Pollu-
tion Prevention, adopted by the IMO through Assem-
bly Resolution A.741(18) of 4 November 1993, and
annexed to this Regulation;
(f) ‘administration’ means the Government of the State
whose flag the ro-ro ferry is entitled to fly;
(g) ‘document of compliance’ means the document issued
to companies in conformity with paragraph 13.2 of
the ISM Code;
(1) OJ L 274, 7. 10. 1997, p. 8.3051/95
179/98
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2(h) ‘safety management certificate’ means the certificate
issued to ro-ro ferries in conformity with paragraph
13.4 of the ISM Code;
(i) ‘sheltered waters’ means areas where the annual prob-
ability of the significant wave height exceeding 1,5 m
is less than 10 %, and in which a ro-ro ferry is at no
time more than six nautical miles from a place of ref-
uge where shipwrecked persons can land.
Article 3
The Regulation shall apply to all companies, operating at
least one ro-ro ferry to or from a port of a Member State
of the Community on a regular service regardless of its
flag.
Article 4
1. All companies shall comply with all the provisions of
paragraphs 1.2 to 13.1 and of paragraph 13.3 of the ISM
Code, as if the provisions thereof were mandatory, as a
requirement for their vessels to provide regular services to
or from a port of a Member State of the Community.
2. By way of derogation from paragraph 1, companies
operating a ro-ro ferry or ferries on a regular service ex-
clusively in sheltered waters between ports situated in the
same Member State may defer compliance with the provi-
sions of this Regulation until 1 July 1997.
Article 5
1. Member States shall comply with the provisions of
paragraphs 13.2, 13.4 and 13.5 of the ISM Code as if the
provisions thereof were mandatory, in relation to com-
panies and ro-ro ferries.
2. For the purposes of paragraph 1, Member States may
only authorize, or rely upon, fully or in part, a recognized
organization.
For the purposes of paragraph 13.2 of the ISM Code, a
Member State may only issue documents of compliance for
a company which has its principal place of business on its
own territory. Prior to such issue, the Member States shall
consult the administration of the States whose flag the ro-
ro ferries of that company are entitled to fly, if that ad-
ministration is not that of the issuing Member State.
3. The document of compliance shall only be valid for
five years from the date of its issue, provided always that a
verification takes place once a year, in order to confirm
the proper functioning of the safety management system,
and to confirm that possible modifications introduced since
the latest verification satisfy the provisions of the ISM
Code.3051/95
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34. The safety management certificate shall only be valid
for five years from the date of its issue, provided always
that an intermediate verification takes place at least every
30 months or more frequently in order to confirm the
proper functioning of the safety management system and
to confirm that possible modifications introduced since the
latest verification satisfy the provisions of the ISM Code.
5. For the purposes of this Regulation, and in particular
Article 6, each Member State shall accept a document of
compliance or a safety management certificate issued by
the administration of any other Member State or by a rec-
ognized organization acting on its behalf.
6. A Member State shall recognize the documents of
compliance and safety management certificates issued by,
or on behalf of, the administrations of third countries if it
is satisfied that they demonstrate compliance with the
provisions of this Regulation.
Documents of compliance and safety management certifi-
cates issued on behalf of administrations of third countries
may only be recognized if they have been issued by a rec-
ognized organization.
Article 6
Member States shall satisfy themselves that all companies
providing regular ro-ro ferry services to or from their ports
comply with the provisions of this Regulation.
Article 7
Where a Member State considers that a company, notwith-
standing the fact that it holds a document of compliance,
cannot operate a ro-ro ferry on a regular service to or
from its ports on the grounds that there is a risk of serious
danger to safety of life or property, or the environment,
the operation of such service may be suspended until such
time as the danger is removed.
In the above circumstances the following procedure shall
apply:
(a) the Member State shall inform the Commission and
the other Member States of its decision without delay,
giving substantiated reasons therefore;
(b) the Commission shall examine whether the suspension
is justified for reasons of serious danger to safety and
the environment;
(c) it will be decided, in accordance with the procedure
laid down in Article 10 (2), whether or not the deci-
sion of the Member State to suspend the operation of
such service is justified for reasons of serious danger
to safety of life or property, or the environment and,
if the suspension is not justified, that the Member
State concerned will be requested to withdraw the
suspension.3051/95
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4Article 8
In order to take account of the general terms of the ISM
Code, the Commission shall review the implementation of
this Regulation three years after its entry into force and
propose any appropriate measures.
Article 9
In order to take account of developments at international
level and, in particular, in the IMO,
(a) the definition of the ‘ISM Code’ in Article 2;
(b) the periods of validity of the document of compliance
and/or the safety management certificate and the fre-
quency of verification relating thereto in Article 5 (3)
and (4);
(c) the Annex;
(d) the definition of ‘recognized organization’ in Article 2;
may be amended, in accordance with the procedure laid
down in Article 10 (2), in particular to introduce into the
Annex guidelines for administrations for the implementa-
tion of the ISM Code.
Article 10
1. The Commission shall be assisted by the Committee
established by Article 12 (2).
2. The representative of the Commission shall submit to
the Committee a draft of the measures to be taken. The
Committee shall deliver its opinion on the draft within atime limit which the chairman may lay down according to
the urgency of the matter. The opinion shall be delivered
by the majority laid down in Article 148 (2) of the T reaty
in the case of decisions which the Council is required to
adopt on a proposal from the Commission. The votes of
the representatives of the Member States within the com-
mittee shall be weighted in the manner set out in that Ar-
ticle. The chairman shall not vote.
3. (a) The Commission shall adopt the measures envis-
aged if they are in accordance with the opinion
of the committee.
(b) If the measures envisaged are not in accordance
with the opinion of the committee, or if no opin-
ion is delivered, the Commission shall, without
delay, submit to the Council a proposal relating
t ot h em e a s u r e st ob et a k e n .T h eC o u n c i ls h a l l
act by a qualified majority.
(c) If, on the expiry of a period of 40 days from the
date of referral to the Council, the Council has
not acted, the proposed measures shall be
adopted by the Commission.
(2) of Council Directive 93/75/EEC (7) Council Directive
93/75/EEC of 13 September 1993 concerning minimumrequirements for vessels bound for or leaving Community
ports and carrying dangerous or polluting goods (OJ No L
247, 5. 10. 1993, p. 19).3051/95
3051/95 - - - I
5Article 11
This Regulation shall enter into force on 1 January 1996.
It shall be applicable as from 1 July 1996.
By way of derogation from the first subparagraph, this Re-
gulation shall not apply until 31 December 1997 to com-
panies which are incorporated under Greek law, which
have their principal place of business in Greece, and which
operate ro-ro- ferries registered in and flying the flag of
Greece providing regular services exclusively between ports
situated in Greece.3051/95
3051/95 - - - I
6ANNEX
Part A
INTERNATIONAL MANAGEMENT CODE FOR THE SAFE
OPERATION OF SHIPS AND FOR POLLUTION PREVEN-
TION
(INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE)
Safety and pollution prevention management requirements
CONTENTS
Page
Preamble 19
1. General ........................................ 1 9
1.1. Definitions ..................................... 1 9
1.2. Objectives ...................................... 1 9
1.3. Application ..................................... 2 0
1.4. Functional requirements for a safety management sys-
tem (SMS) ..................................... 20
2. Safety and environmental protection policy .......... 2 0
3. Company responsibilities and authority ............. 2 0
4. Designated person(s) ............................ 2 1
5. Master’s responsibility and authority ............... 2 1
6. Resources and personnel ......................... 2 1
7. Development of plans for shipboard operations ...... 2 2
8. Emergency preparedness ......................... 2 2
9. Reports and analysis of non -conformities, accidents
and hazardous occurrences ........................ 22
10. Maintenance of the ship and equipment ............ 2 3
11. Documentation ................................. 2 3
12. Company verification, review and evaluation ......... 2 3
13. Certification, verification and control ............... 2 43051/95
179/98
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7Preamble
1. The purpose of this Code is to provide an international
standard for the safe management and operation of ships
and for pollution prevention.
2. The Assembly adopted Resolution A.443(XI) by which it
invited all governments to take the necessary steps to
safeguard the shipmaster in the proper discharge of hisresponsibilities with regard to maritime safety and the
protection of the marine environment.
3. The Assembly also adopted Resolution A.680(17) by
which it further recognized the need for appropriate orga-
nization of management to enable it to respond to the
need of those on board ships to achieve and maintain highstandards of safety and environmental protection.
4. Recognizing that no two shipping companies or shipown-
ers are the same, and that ships operate under a widerange of different conditions, the Code is based on gener-
al principles and objectives.
5. The Code is expressed in broad terms so that it can have
a widespread application. Clearly, different levels of man-
agement, whether shore-based or at sea, will require vary-
ing levels of knowledge and awareness of the items out-
lined.
6. The cornerstone of good safety management is commit-
ment from the top. In matters of safety and pollution pre-
vention it is the commitment, competence, attitudes and
motivation of individuals at all levels that determines theend result.
1. GENERAL
1.1. Definitions
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 As-sembly, as may be amended by the Organization.
1.1.2. ‘Company’ means the owner of the ship or any other or-
ganization or person such as the manager or the bareboatcharterer, who has assumed the responsibility for opera-
tion of the ship from the shipowner and who on assuming
such responsibility has agreed to take over all the dutiesand responsibility imposed by the Code.
1.1.3. ‘ Administration’ means the government of the State whose
flag the ship is entitled to fly.
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 avoidanceof damage to the environment, in particular, to the marine
environment, and to property.
1.2.2. Safety management objectives of the Company should, in-
ter alia :
1.2.2.1. provide for safe practices in ship operation and a safe
working environment;3051/95
3051/95 - - - I
81.2.2.2. establish safeguards against all identified risks; and
1.2.2.3. continuously improve safety management skills of person-
nel ashore and aboard ships, including preparing for
emergencies related both to safety and environmentalprotection.
1.2.3. The safety management system should ensure:
1.2.3.1. compliance with mandatory rules and regulations; and1.2.3.2. that applicable codes, guidelines and standards recom-
mended by the Organization, administrations, classification
societies and maritime industry organizations are takeninto 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 fol-
lowing 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 compliancewith relevant international and flag State legislation;
1.4.3. defined levels of authority and lines of communication be-
tween, 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 situ-
ations; and
1.4.6. procedures for internal audits and management reviews.
2. SAFETY AND ENVIRONMENTAL PROTECTION
POLICY
2.1. The company should establish a safety and environmental
protection policy which describes how the objectives, given
in paragraph 1.2, will be achieved.
2.2. The Company should ensure that the policy is implem-
ented and maintained at all levels of the organization both
ship-based as well as shore-based.
3. COMPANY RESPONSIBILITIES AND AUTHORITY
3.1. 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.3051/95
3051/95 - - - I
93.2. The company should define and document the responsibil-
ity, authority and interrelation of all personnel who man-
age, perform and verify work relating to and affecting
safety and pollution prevention.
3.3. The company is responsible for ensuring that adequate re-
sources and shore-based support are provided to enable
the designated person or persons to carry out their func-tions.
4 DESIGNATED PERSON(S)
T o 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 ofmanagement. The responsibility and authority of the des-
ignated person or persons should include monitoring the
safety and pollution prevention aspects of the operation ofeach 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 emphasizing the
master’s authority. The company should establish in the
SMS that the master has the overriding authority and theresponsibility to make decisions with respect to safety and
pollution prevention and to request the company’s assist-
ance 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 accord-
ance with national and international requirements.3051/95
3051/95 - - - I
106.3. The company should establish procedures to ensure that
new personnel and personnel transferred to new assign-
ments related to safety and protection of the environment
are given proper familiarization with their duties.
Instructions which are essential to be provided to sailing
should be identified, documented and given.
6.4. The company should ensure that all personnel involved in
the company’s SMS have an adequate understanding of
relevant rules, regulations, codes and guidelines.
6.5. The company should establish and maintain procedures
for identifying any training which may be required in sup-
port of the SMS and ensure that such training is provided
for all personnel concerned.
6.6. 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.
6.7. 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 OP-
ERATIONS
The company should establish procedures for the preparation of
plans and instructions for key shipboard operations concerning
the safety of the ship and the prevention of pollution. The vari-
ous tasks involved should be defined and assigned to qualified
personnel.
8 EMERGENCY PREPAREDNESS
8.1. The company should establish procedures to identify, de-
scribe and respond to potential emergency shipboard situ-
ations.
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 organization can respond at any time to haz-
ards, 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 re-
ported to the company, investigated and analysed with the
objective of improving safety and pollution prevention.
9.2. The company should establish procedures for the imple-
mentation of corrective action.3051/95
3051/95 - - - I
1110. 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 additionalrequirements which may be established by the company.
10.2. In meeting these requirements the company should ensure
that:
10.2.1. inspections are held at appropriate intervals;
10.2.2. any non-conformity is reported with its possible cause, if
known;
10.2.3. appropriate corrective action is taken; and
10.2.4. records of these activities are maintained.
10.3. The company should establish procedures in the SMS to
identify equipment and technical systems the sudden oper-
ational failure of which may result in hazardous situations.
The SMS should provide for specific measures aimed atpromoting the reliability of such equipment or systems.
These measures should include the regular testing of
stand-by arrangements and equipment or technical systemsthat 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 oper-
ational 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 au-
thorized 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 com-
pany considers most effective. Each ship should carry onboard all documentation relevant to that ship.
12. COMPANY VERIFICATION, REVIEW AND EVALUA-
TION
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 pro-
cedures established by the company.3051/95
3051/95 - - - I
121 2 . 3 . T h ea u d i t sa n dp o s s i b l ec o r r e c t i v ea c t i o n ss h o u l db ec a r -
ried 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 tot h es i z ea n dt h en a t u r eo ft h ec o m p a n y .
12.5. The results of the audits and reviews should be brought to
the attention of all personnel having responsibility in thearea involved.
12.6. The management personnel responsible for the area in-
volved should take timely corrective action on deficienciesfound.
13. CERTIFICATION, VERIFICATION AND CONTROL
1 3 . 1 . T h es h i ps h o u l db eo p e r a t e db yac o m p a n yw h i c hi si s s u e d
a document of compliance relevant to that ship.
13.2. A document of compliance should be issued for every
company complying with the requirements of the ISMCode by the administration, by an organization recognized
by the administration or by the governments of the
country, acting on behalf of the administration in whichthe company has chosen to conduct its business. This
document should be accepted as evidence that the com-
pany is capable of complying with the requirements of theCode.
13.3. A copy of such a document should be placed on board in
order that the master, if so asked, may produce it for the
verification of the administration or organizations recog-
nized by it.
13.4. A certificate, called a safety management certificate,
should be issued to a ship by the administration or organ-
ization recognized by the administration. The administra-tion should, when issuing the certificate, verify that the
company and its shipboard management operate in ac-
cordance with the approved SMS.
13.5. The administration or an organization recognized by the
administration should periodically verify the proper func-
tioning of the ship’s SMS as approved.
Part B (1)
PROVISIONS FOR ADMINISTRATIONS CONCERNING
THE IMPLEMENTATION OF THE INTERNATIONAL SAFE-
TY MANAGEMENT (ISM) CODE
1. ISSUANCE AND VALIDITY OF DOCUMENTS OF
COMPLIANCE AND SAFETY MANAGEMENT CERTIFI-CATES
1.1. Definitions
(a) “Safety management system (SMS)” means a struc-
tured and documented system enabling company per-
sonnel to effectively implement the company safety
and environmental protection policy.
(1) The provisions set out in Part B shall be considered an integral
part of the corresponding parts of the ISM Code set out in Part
A.179/983051/95
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13(b) “Safety management audit” means a systematic and
independent examination to determine whether the
SMS activities and related results comply with
planned arrangements and whether these arrange-ments are implemented effectively and are suitable
to achieve objectives.
(c) “Observation” means a statement of fact made dur-
ing a safety management audit and substantiated by
objective evidence.
(d) “Objective evidence” means quantitative or qualita-
tive information, records or statements of fact per-
taining to safety or to the existence and implementa-
tion of a SMS element, which is based onobservation, measurement or test and which can be
verified.
(e) “Non-conformity” means an observed situation
where objective evidence indicates the non-fulfilment
of a specified requirement.
(f) “Major non-conformity” means an identifiable devi-
ation which poses a serious threat to personnel or
ship safety or a serious risk to the environment and
requires immediate corrective action; in addition, the
lack of effective and systematic implementation of a
requirement of the ISM Code is also considered as amajor non-conformity.
(g) “Interim document of compliance” means the docu-
ment issued to companies in conformity with para-graph 1.2.
(h) “Interim safety management certificate” means the
certificate issued to ro-ro ferries in conformity withparagraph 1.3.
1.2. Interim document of compliance
1.2.1. An interim document of compliance may only be issued
by an administration to a company when:
1. the company is newly established; or
2. the company assumes for the first time the responsi-
bility for operating a ro-ro ferry not covered by a
document of compliance the company already holds.
1.2.2. Before issuing an interim document of compliance the ad-
ministration shall verify that the company has a SMS that
meets the objectives of paragraph 1.2.3 of the ISM Code,
and has a plan to implement a SMS that meets the re-quirements of the ISM Code within the period of validity
of the interim document of compliance.
1.2.3. The interim document of compliance shall be valid for not
more than 12 months.
1.3. Interim safety management certificate
1.3.1. An interim safety management certificate may only be is-
sued by an administration to a ro-ro ferry when:
1. the ro-ro ferry is put for the first time into service,
after completion of its construction or alteration re-
sulting in change of type;179/98
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142. the operation of the ro-ro ferry is transferred and
becomes the responsibility of a company which pre-
viously had not been involved in the operation of the
particular ro-ro ferry;
3. the ro-ro ferry is transferred from a flag of another
State;
1.3.2. Before issuing an interim safety management certificate
the administration shall verify that:
1. the company which operates the ro-ro ferry holds a
valid document of compliance or interim documentof compliance relevant to that ro-ro ferry;
2. the SMS provided by the company for the ro-ro
ferry includes key elements of the ISM Code andhas been assessed during the audit for issuance of
the document of compliance or demonstrated for the
issuance of the interim document of compliance;
3. the master and relevant senior officer are familiar
with the SMS and the planned arrangements for its
implementation;
4. instructions which have been identified as essential
to be provided prior to sailing have been given;
5. plans for company audit of the ro-ro ferry within
three months exist; and
6. the relevant information on the SMS is given in a
working language or languages understood by the ro-
ro ferry’s personnel.
1.3.3. The interim safety management certificate shall be valid
for not more than six months. In case the company has
been issued with an interim document of compliance but
not yet with a document of compliance which is valid forthe ro-ro ferry, its validity may be extended for a further
period not exceeding six months from the date of the
original expiry of the certificate.
1.4. Acceptance and recognition of an interim document of
compliance and interim safety management certificate
1.4.1. An interim document of compliance and an interim safety
management certificate complying with the provisions of
this Regulation and issued by the administration of any
other Member State or by a recognised organisation act-ing on its behalf shall be accepted by each Member State.
1.4.2. An interim document of compliance and an interim safety
management certificate issued by, or on behalf of, the ad-ministrations of third countries shall be recognised by a
Member State if it is satisfied that they demonstrate com-
pliance with the provisions of this Regulation.179/98
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151.5. Withdrawal of a document of compliance and safety man-
agement certificate
1.5.1. The issuing administration shall withdraw the document of
compliance if there is evidence of major non-conformitywith the ISM Code. The safety management certificates
associated with the document of compliance shall also be
invalidated and withdrawn.
1.5.2. The issuing administration shall withdraw the safety man-
agement certificate if there is evidence of major non-con-
formity with the ISM Code.
2. CERTIFICATION PROCESS
2.1. The certification process relevant for the issuance of a
document of compliance for a company and a safety man-agement certificate to a ro-ro ferry shall be performed
taking account of the provisions set out below.
2.2. The certification process shall normally involve the follow-
ing steps:
1. initial verification;
2. periodical or intermediate verification; and3. renewal verification.
These verifications are carried out at the request of the
company to the administration or to the recognized orga-nization 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 andcompleteness.
2.7. The audit report shall include the audit plan, the identifi-
cation of audit team members, dates and identification ofthe company, records of any observations and non-confor-
mities issued and observations on the effectiveness of the
safety management system in meeting the specified objec-tives.
3. STANDARD OF MANAGEMENT
3.1. Auditors or the audit team managing verification of com-
pliance with the ISM Code shall have competence in rela-
tion to:
1. ensuring compliance with the rules and regulations
including certification of seafarers, for the ro-ro fer-
ries operated by the company;
2. the approval, survey and certification activities rele-
vant for the maritime certificates;179/98
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163 . t h et e r m so fr e f e r e n c et h a tm u s tb et a k e ni n t oa c -
count under the safety management system as re-
quired by the ISM Code; and
4. practical experience of ship operation.
3.2. In performing verification of compliance with the provi-
sions of the ISM Code it shall be ensured that indepen-
dence exists between the personnel providing consultancyservices 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 inAnnex VII paragraph 2 of Council Directive 95/21/EC (
1)
.
4.1.2. They shall have undergone training to ensure adequate
competence and skills for performing verification of com-
pliance with the requirements of the ISM Code, particu-
larly with regard to:
1. knowledge and understanding of the ISM Code;
2. mandatory rules and regulations;
3 . t h et e r m so fr e f e r e n c ew h i c ht h eI S MC o d er e q u i r e s
that companies should take into account;
4. assessment techniques of examining, questioning,
evaluating and reporting;
5. technical or operational aspects of safety manage-
ment;
6. basic knowledge of shipping and shipboard opera-
tions; and
7. participation in at least one marine related manage-
ment system audit.
4.2. Competence for initial verification and renewal verifica-
tion
4.2.1. In order to assess fully whether the company or the ro-ro
ferry complies with the requirements of the ISM Code, in
addition to the basic competence stated above, personnelwho are to perform initial verifications or renewal verifica-
tions for a document of compliance and a safety manage-
ment certificate, must possess the competence to:
1. determine whether the SMS elements conform or do
not conform to the requirements of the ISM Code;
2. determine the effectiveness of the company’s SMS,
or that of the ro-ro ferry, to ensure compliance with
rules and regulations as evidenced by the statutory
and classification survey records;
(1) OJ L 157, 7. 7. 1995, p. 1.179/98
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173. assess the effectiveness of the SMS in ensuring com-
pliance with other rules and regulations which are
not covered by statutory and classification surveys
and enabling verification of compliance with theserules and regulations; and
4. assess whether the safe practices recommended by
the IMO, administrations, classification societies andmaritime industry organizations have been taken into
account.
4.2.2. This competence can be accomplished by teams which to-
gether possess the total competence required.
5. FORMS OF DOCUMENTS OF COMPLIANCE AND
SAFETY MANAGEMENT CERTIFICATES
The document of compliance, the safety management cer-
tificate, the interim document of compliance and the inter-
im safety management certificate shall be drawn up in theform set out below.
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ries operating only within one Member State references tothe SOLAS Convention may be deleted.179/98
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