1995R3051 — EN — 26.11.2002 — 002.001 — 1
This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents
►B COUNCILREGULATION(EC)No3051/95
of8December 1995
onthesafetymanagementofroll-on/roll-off passengerferries (ro-roferries)
(OJ L 320, 30.12.1995, p. 14)
Amended by:
Official Journal
No page date
►M1Commission Regulation (EC) No 179/98 of 23 January 1998 L 19 35 24.1.1998
►M2Commission Regulation (EC) No 1970/2002 of 4 November 2002 L 302 3 6.11.2002
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COUNCILREGULATION(EC)No3051/95
of8December 1995
on the safety management of roll-on/roll-off passenger ferries (ro-
roferries)
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing he European Community, andin 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 Article 189c of
the Treaty(3),
Whereas the Community is seriously concerned by shipping casualties
with loss of life;
Whereasthe International Safety Management Code providing for the
safe operation of ships and for pollution prevention, hereinafter referredto asthe ‘ISM Code’, wasadopted by the International Maritime Orga-
nization (IMO) through Assembly Resolution A.741 (18) of 4
November 1993 in the presence of the Member States and, through itsincorporation into the International Convention on the Safety of Life atSea 1974, will apply to ro-ro passenger vessels from 1 July 1998;
Whereas this represents one of a series of measures to improve safety
at sea; whereas the ISM Code is not yet of a mandatory but of arecommendatory nature;
Whereas safety of human life at sea may be effectively enhanced by
applying the ISM Code strictly and on a mandatory basis;
Whereas the Community's most urgent concern is for the safety
management of ro-ro passenger, ferries; whereas a uniform andcoherent implementation of the ISM Code in all Member Statescanconstitute a step towards the safety management of ro-ro passengerferries;
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 advance mandatory application of the ISMCode to all regular roll-on/roll-off passenger ferry services operatingto or from European ports, in compliance with international law;
Whereass trict and mandatory application of the ISM Code isrequired
to ensure the establishment and proper maintenance of safety manage-ment 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 ensure advance
mandatory enforcement of the provisions of the ISM Code and effec-tive control of itsapplication, while avoiding dis tortion of competitionbetween different Community portsand ro-ro ferries ; whereasonly aregulation, which is of direct applicability, can ensure such enforce-
ment; whereasadvance implementation requiresthat the Regulation be
applicable asfrom 1 July 1996;
Whereasthe advance mandatory implementation of the ISM Code to
all ro-ro ferries regardless of their flag also takes into account the1995R3051 — EN — 26.11.2002 — 002.001 — 2
(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 of 28 September 1995 (OJ No C
297, 10. 11. 1995, p. 1) and decision of the European Parliament of 29
November 1995 (not yet published in the Official Journal).
(4) OJ No C 379, 31. 12. 1994, p. 8.
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request contained in point 2 of IMO Resolution A.741 (18) which
strongly urges Governments to implement the Code as soon aspossible, 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 rulesby ferriesflying their flag and companiesoperatingthem; whereas the only way to ensure the safety of all ro-ro ferries,irrespective of their flag, operating or wishing to operate on a regularservice from their ports is for the Member States to require effectivecompliance 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 morelimited risk and will need to assume a proportionately greater adminis-trative work-load than other companies, and should therefore enjoy atemporary derogation;
Whereas it is necessary to identify the requirements under which the
provisions of the ISM Code are enforced and to define the conditionsfor the issue and verification of the document of compliance and of the
safety management certificate;
Whereas Member States might find it necessary to delegate or rely
upon specialized bodies in order to fulfil their obligations pursuant tothisRegulation; whereasthe appropriate way of ens uring a uniformand adequate level of control is to require that such bodies shouldonly be those which meet the requirements of Council Directive 94/57/EC of 22 November 1994 on common rules and standards for ship
inspection and survey organizations and for the relevant activities of
maritime administrations(
1);
Whereas a Member State must have the possibility of suspending the
operation of certain ro-ro ferriesfrom itsportswhere it cons idersthatthere is a risk of serious danger to safety of life or property or theenvironment, subject to a decision to be taken in the framework of aregulatory committee, to which the Member Statesmus t conform;
Whereasa s implified procedure involving a committee of a regulatory
nature is necessary to amend this Regulation taking into account devel-
opmentsat international level;
Whereas the rapid introduction of these safety rules raises specific
technical and administative problems for Greece because of the verylarge number of companies established in Greece operating ferriesunder the Greek flag and exclusively between Greek ports; whereas aderogation of limited duration to cover this situation should thereforebe granted bearing in mind in addition that regular passenger and 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 offreedom to provide services to maritime transport within MemberStates(maritime cabotage)(
2),
HAS ADOPTED THIS REGULATION:
Article 1
The purpose of this Regulation is to enhance the safe management, safe
operation and pollution prevention of ro-ro passenger ferries operatingto or from portsof the Member Statesof the Community on a regularservice by ensuring that companies operating ro-ro ferries comply with
the ISM Code through:
— the establishment and proper maintenance of shipboard and shore-
based safety management systems by companies, and1995R3051 — EN — 26.11.2002 — 002.001 — 3
(1) OJ No L 319, 12. 12. 1994, p. 20.
(2) OJ No L 364, 12. 12. 1992, p. 7.
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— the control thereof by flag and port State administrations.
Article 2
For the purpose of this Regulation and with a view to the implementa-
tion 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 passengers;
(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’ meansthe owner of a ro-ro ferry or any other organiza-
tion or person such as the manager, or the bareboat charterer, whohas assumed responsibility 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 byCommission Directive 97/58/EC(
1);
(e) ‘ISM Code’ meansthe International Management Code for the Safe
Operation of Shipsand for Pollution Prevention, adopted by theInternational Maritime Organisation (IMO) through AssemblyResolution A.741 (18) of 4 November 1993, as amended by IMO
Resolution MSC.104 (73) of 5 December 2000 and annexed to
thisRegulation;
(f) ‘administration’ means the Government of the State whose flag the
ro-ro ferry isentitled to fly;
(g) ‘document of compliance’ means the document issued to compa-
niesin conformity with paragraph 13.2 of the ISM Code;
(h) ‘safety management certificate’ means the certificate issued to ro-
ro ferriesin conformity with paragraph 13.7 of the ISM Code;
(i) ‘sheltered waters’ means areas where the annual probability of the
significant wave height exceeding 1,5 m is less than 10 %, and in
which a ro-ro ferry isat no time more than s ix nautical milesfroma place of refuge 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 aregular 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 13.6 of the ISM Code, asif the provis ions
thereof were mandatory, as a requirement for their vessels to provideregular services to or from a port of a Member State of the Commu-nity.
2. By way of derogation from paragraph 1, companiesoperating a
ro-ro ferry or ferries on a regular service exclusively in sheltered1995R3051 — EN — 26.11.2002 — 002.001 — 4
(1) OJ L 274, 7. 10. 1997, p. 8.▼M1
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waters between ports situated in the same Member State may defer
compliance with the provisions of this Regulation until 1 July 1997.
Article 5
1. Member States shall comply with the provisions of paragraph
13.2, 13.3, 13.4, 13.5, 13.7 to 13.11, 14 and 16 of the ISM Code asif
the provisions thereof were mandatory, in relation to companies 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 flagthe ro-ro ferriesof that company are entitled to fly, if that adminis tra-tion 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 modificationsintroduced since the latest verification satisfy the provisions of the ISMCode.
4. The safety management certificate shall only be valid for five
years from the date of its issue, provided always that an intermediateverification takesplace at leas t every 30 monthsor more frequently in
order to confirm the proper functioning of the safety management
system and to confirm that possible modifications introduced since thelatest 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 safetymanagement certificate issued by the administration of any other
Member State or by a recognized organization acting on itsbehalf.
6. A Member State shall recognize the documents of compliance
and safety management certificates issued by, or on behalf of, theadministrations of third countries if it is satisfied that they demonstratecompliance with the provisions of this Regulation.
Documents of compliance and safety management certificates issued on
behalf of administrations of third countries may only be recognized if
they have been issued by a recognized 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, notwithstanding the
fact that it holdsa document of compliance, cannot operate a ro-roferry on a regular service to or from its ports on the grounds that thereis a risk of serious danger to safety of life or property, or the environ-ment, the operation of such service may be suspended until such timeasthe danger isremoved.
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 substantiatedreasons therefor;
(b) the Commission shall examine whether the suspension is justified
for reasons of serious danger to safety and the environment;1995R3051 — EN — 26.11.2002 — 002.001 — 5
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(c) it will be decided, in accordance with the procedure laid down in
Article 10 (2), whether or not the decision of the Member State tosuspend 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 Stateconcerned will be requested to withdraw the suspension.
Article 8
In order to take account of the general termsof the ISM Code, the
Commission shall review the implementation of this Regulation threeyears after its entry into force and propose any appropriate measures.
Article 9
In order to take account of developmentsat international level and, in
particular, in the IMO,
(a) the definition of the ‘ISM Code’ in Article 2;
(b) the periodsof validity of the document of compliance and/or the
safety management certificate and the frequency 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 guidelinesfor
administrations for the implementation of the ISM Code.
Article 10
1. The Commission shall be assisted by the Committee established
by Article 12 (1) of Council Directive 93/75/EEC(
1).
2. The representative of the Commission shall submit to the
Committee a draft of the measures to be taken. The Committee shall
deliver itsopinion on the draft within a time limit which the chairmanmay lay down according to the urgency of the matter. The opinionshall be delivered by the majority laid down in Article 148 (2) of theTreaty in the case of decisions which the Council is required to adopton a proposal from the Commission. The votes of the representatives of
the Member Stateswithin the committee s hall be weighted in the
manner set out in that Article. The chairman shall not vote.
3. (a) The Commission shall adopt the measures envisaged 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 opinion is delivered, the Commissionshall, without delay, submit to the Council a proposal relating tothe measures to be taken. The Council shall act by a qualifiedmajority.
(c) If, on the expiry of a period of 40 daysfrom the date of referral
to the Council, the Council has not acted, the proposed measures
shall be adopted by the Commission.
Article 11
ThisRegulation s hall 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 Regulation shall
not apply until 31 December 1997 to companieswhich are incorporatedunder Greek law, which have their principal place of business inGreece, and which operate ro-ro- ferriesregis tered in and flying the1995R3051 — EN — 26.11.2002 — 002.001 — 6
(1) Council Directive 93/75/EEC of 13 September 1993 concerning minimum
requirements for vessels bound for or leaving Community ports and carrying
dangerousor polluting goods(OJ No L 247, 5. 10. 1993, p. 19).
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flag of Greece providing regular services exclusively between ports
situated in Greece.
ThisRegulation s hall be binding in itsentirety and directly applicable
in all Member States.1995R3051 — EN — 26.11.2002 — 002.001 — 7
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ANNEX
CONTENTS
TITLEI
InternationalManagementCodeforthesafeoperationofshipsandfor
pollutionprevention(InternationalSafetyManagement(ISM)Code
PART A — IMPLEMENTATION1. General
1.1. Definitions
1.2. Objectives1.3. Application
1.4. Functional requirements for a safety management system (SMS)
2. Safety and environmental protection policy3. Company responsibilities and authority
4. Designated person(s)
5. Master's responsibility and authority6. Resources and personnel
7. Development of plansfor s hipboard operations
8. Emergency preparedness9. Reports and analysis of non-conformities, accidents and hazardous occur-
rences
10. Maintenance of the ship and equipment
11. Documentation
12. Company verification, review and evaluationPART B — CERTIFICATION, VERIFICATION
13 Certification and periodical verification
14. Interim certification15. Verification
16. Formsof certificates
Appendix
TITLEII
Provisionsfortheadministrationconcerningtheimplementationofthe
InternationalSafetyManagement(ISM)Code
PART A — GENERAL PROVISIONS
PART B — CERTIFICATION AND STANDARDS
1. Acceptance and recognition of an interim document of compliance and
interim safety management certificate
2. Certification process3. Standard of Management
4. Standardsof Competence
5. Form of document of compliance and safety management certificate1995R3051 — EN — 26.11.2002 — 002.001 — 8
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TITLEI
International Management Code for the safe operation of ships and for
pollutionprevention(InternationalSafetyManagement(ISM)Code
PART A — IMPLEMENTATION
1.General
1.1. Definitions
The following definitionsapply to partsA and B of thisCode.
1.1.1. ‘International Safety Management (ISM) Code’ meansthe International
Management Code for the Safe Operation of Shipsand 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 theduties and responsibility imposed by the Code.
1.1.3. ‘Administration’ means the government of the State whose flag the ship
isentitled 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 complieswith the requirementsof thisCode.
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’ meansquantitative or qualitative information,
records or statements of fact pertaining to safety or to the existence
and implementation of an safety management system element, which
is based on observation, measurement or test and which can be verified.
1.1.8. ‘Observation’ means a statement of fact made during a safety manage-
ment audit and substantiated by objective evidence.
1.1.9. ‘Non-conformity’ means an observed situation where objective
evidence indicatesthe non-fulfillment of a s pecified requirement.
1.1.10. ‘Major non-conformity’ meansan identifiable deviation that pos esa
serious threat to the safety of personnel or the ship or a serious risk to
the environment that requiresimmediate corrective action and includes
the lack of effective and systematic implementation of a requirement of
thisCode.
1.1.11. ‘Anniversary date’ means the day and month of each year that corre-
sponds to the date of expiry of the relevant document or certificate.
1.1.12. ‘Convention’ meansthe International Convention for the Safety of Life
at Sea, 1974 asamended.
1.2. Objectives1.2.1. 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 environ-
ment, in particular, to the marine environment, and to property.
1.2.2. Safety management objectivesof the Company s hould, inter alia :
1.2.2.1. provide for safe practices in ship operation and a safe working environ-
ment;
1.2.2.2. establish safeguards against all identified risks; and1.2.2.3. 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 rulesand regulations ; and1.2.3.2. 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.1995R3051 — EN — 26.11.2002 — 002.001 — 9
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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 protec-
tion of the environment in compliance with relevant international and
flag State legislation;
1.4.3. defined levelsof authority and linesof communication between, and
amongst, shore and shipboard personnel;
1.4.4. proceduresfor reporting accidentsand non-conformitieswith the provi-
sions of this Code;
1.4.5. procedures to prepare for and respond to emergency situations; and
1.4.6. proceduresfor internal auditsand management reviews .
2.Safetyandenvironmentalprotectionpolicy
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 implemented and main-
tained at all levels of the organisation both ship-based as well as shore-
based.
3.Companyresponsibilitiesandauthority
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.
3.2. 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.
3.3. 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.Designatedperson(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'sresponsibilityandauthority
5.1. The company should clearly define and document the master's respon-
sibility 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.Resourcesandpersonnel
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; and1995R3051 — EN — 26.11.2002 — 002.001 — 10
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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.
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 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, regu-
lations, codes and guidelines.
6.5. 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.
6.6. The company should establish procedures by which the ship's personnel
receive relevant information on the SMS in a working language or
languagesunders tood by them.
6.7. The company should ensure that the ship's personnel are able to
communicate effectively in the execution of their dutiesrelated to the
SMS.
7.Developmentofplansforshipboardoperations
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 pollu-
tion. The various tasks involved should be defined and assigned to
qualified personnel.
8.Emergencypreparedness
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 emer-
gency 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, investi-
gated 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.Maintenanceoftheshipandequipment
10.1. The company should establish procedures to ensure that the ship is
maintained in conformity with the provisions of the relevant rules and
regulationsand with any additional requirementswhich may be es tab-
lished 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 istaken; and
10.2.4. recordsof thes e activitiesare maintained.
10.3. The company should establish procedures in the SMS to identify equip-
ment 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 contin-
uousus e.1995R3051 — EN — 26.11.2002 — 002.001 — 11
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10.4. The ins pectionsmentioned in 10.2 aswell asthe meas uresreferred 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
documentsand data, which are relevant to the SMS.
11.2. The company should ensure that:
11.2.1. valid documentsare available at all relevant locations ;
11.2.2. changesto documentsare reviewed and approved by authoris ed
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.Companyverification, review andevaluation
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 deficienciesfound.
PART B — CERTIFICATION AND VERIFICATION
13.Certificationandperiodical 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 Compli-
ance in accordance with paragraph 14.1, relevant to that ship.
13.2. The Document of Compliance should be issued by the Administration,
by an organisation recognised by the Administration or, at the request
of the Administration, by another Contracting Government to the
Convention to any Company complying with the requirementsof 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 iscapable of complying with the requirementsof
thisCode.
13.3. The Document of Compliance isonly valid for the s hip typesexplicitly
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.
13.4. 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 monthsbefore or after the anni-
versary date.
13.5. The Document of Compliance should be withdrawn by the Administra-
tion 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
thisCode.
13.5.1. All associated Safety Management Certificates and/or Interim Safety
Management Certificates should also be withdrawn if the Document of
Compliance iswithdrawn.1995R3051 — EN — 26.11.2002 — 002.001 — 12
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13.6. 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 isnot
required to be authenticated or certified.
13.7. 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 itss hipboard management operate in accordance with
the approved safety management system. Such a certificate should be
accepted asevidence that the s hip iscomplying with the requirements
of thisCode.
13.8. The validity of the Safety Management Certificate should be subject to
at least one intermediate verification by the Administration or an orga-
nisation recognised by the Administration or, at the request of the
Administration, by another Contracting Government. If only one inter-
mediate verification isto 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 Manage-
ment Certificate.
13.9. In addition to the requirementsof paragraph 13.5.1, the Safety Manage-
ment 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 isnot reques ted or if there isevidence of major non-conformity
with thisCode.
13.10. Notwithstanding the requirements of paragraphs 13.2 and 13.7, when
the renewal verification iscompleted within three monthsbefore the
expiry date of the existing Document of Compliance or Safety Manage-
ment 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 yearsfrom the
date of expiry of the existing Document of Compliance or Safety
Management Certificate.
13.11. When the renewal verification iscompleted 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 yearsfrom the date of completion of the renewal verification.
14.Interimcertification
14.1. An Interim Document of Compliance may be issued to facilitate initial
implementation of thisCode when:
(1) a Company is newly established; or
(2) new ship types are to be added to an existing Document of Compli-
ance,
following verification that the Company hasa s afety 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 Administra-
tion, 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 Administra-
tion or for the purposes of the control referred to in regulation IX/6.2 of
the Convention. The copy of the document isnot required to be authen-
ticated 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 isnew to the Company; or
(3) when a ship changes flag.1995R3051 — EN — 26.11.2002 — 002.001 — 13
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Such an Interim Safety Management Certificate should be issued for a
period not exceeding six months by the Administration or an organisa-
tion recognised by the Administration or, at the request of the
Administration, by another Contracting Government.
14.3. An Administration or, at the request of the Administration, another
Contracting Government may, in special cases, extend the validity of
an Interim Safety Management Certificate for a further period which
should not exceed six months from the date of expiry.
14.4. An Interim Safety Management Certificate may be issued following
verification that:
(1) the Document of Compliance, or the Interim Document of Compli-
ance, isrelevant to the s hip concerned;
(2) 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 Compli-
ance 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.
15.Verification
15.1. All verifications required by the provisions of this Code should be
carried out in accordance with proceduresacceptable to the Adminis tra-
tion, taking into account the guidelinesdeveloped by the
Organisation(1).
16.Formsofcertificates
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 thisCode. If the language us ed isneither
English nor French, the text should include a translation into one of
these languages.
16.2. In addition to the requirementsof paragraph 13.3 the s hip typesindi-
cated 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.1995R3051 — EN — 26.11.2002 — 002.001 — 14
(1) Refer to the Guidelineson Implementation of the International Safety Management
(ISM) Code by Administrations adopted by the Organisation by Resolution A. 913(22).
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Appendix
Forms of the Document of Compliance, the Safety Management Certificate, the Interim Docu-
mentofComplianceandtheInterimSafetyManagementCertificate
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TITLEII
Provisions for the Administration concerning the implementation of the
InternationalSafetyManagement(ISM)Code
PART A — GENERAL PROVISIONS
1.1. When carrying out verificationsand certification tas ksrequired by the
provisions of the ISM Code for ro-ro ferries Member States shall comply
with the requirementsand s tandardslaid down in Part B of thisTitle.
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 thisTitle.
PART B — CERTIFICATION AND STANDARDS
1.Acceptance and recognition of an interim document of compliance
andinterimsafetymanagementcertificate
1.1. 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 orga-
nisation acting on its behalf shall be accepted by each Member State.
1.2. An interim document of compliance and an interim safety management
certificate issued by, or on behalf of, the administrations of third coun-
tries shall be recognised by a Member State if it is satisfied that they
demonstrate compliance with the provisions of this Regulation.
2.Certificationprocess
2.1. The certification process relevant for the issuance of a document of
compliance for a company and a safety management 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 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, the identification of audit
team members, dates and identification of the company, records of any
observations and non-conformities issued and observations on the effec-
tiveness of the safety management system in meeting the specified
objectives.
3.Standardofmanagement
3.1. Auditorsor 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 certifi-
cation of seafarers, for the ro-ro ferries operated by the company;
(2) the approval, survey and certification activities relevant for the mari-
time certificates;
(3) the termsof reference that mus t be taken into account under the
safety management system as required by the ISM Code; and
(4) practical experience of ship operation.1995R3051 — EN — 26.11.2002 — 002.001 — 22
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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.Standardsofcompetence
4.1. Basic competence for performing verification
4.1.1. Personnel who are to participate in the verification of compliance with
the requirementsof the ISM Code s hall fulfil the minimum criteria for
inspectors as laid down in Annex VII, paragraph 2, to Council Directive
95/21/EC(1).
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:
(1) knowledge and understanding of the ISM Code;
(2) mandatory rulesand regulations ;(3) the termsof reference which the ISM Code requiresthat companies
should take into account;
(4) assessment techniques of examining, questioning, evaluating and
reporting;
(5) technical or operational aspects of safety management;(6) basic knowledge of shipping and shipboard operations; and
(7) 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 the ro-ro ferry complies
with the requirementsof the ISM Code, in addition to the bas ic compe-
tence stated above, personnel who are to perform initial verifications or
renewal verificationsfor a document of compliance and a s afety manage-
ment certificate, must possess the competence to:
(1) determine whether the SMS elementsconform or do not conform to
the requirementsof 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;
(3) assess the effectiveness of the SMS in ensuring compliance with
other rulesand regulationswhich are not covered by s tatutory and
classification surveys and enabling verification of compliance with
these rules and regulations; and
(4) assess whether the safe practices recommended by the IMO, adminis-
trations, 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 Certifi-
cates
When ro-ro ferriesoperate only in a Member State, Member Satess hall
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.1995R3051 — EN — 26.11.2002 — 002.001 — 23
(1) OJ L 157, 7.7.1995, p. 1.
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