Proposal for a COUNCIL REGULATION (EC) ON THE SAFETY MANAGEMENT OF RO-RO PASSENGER VESSELS
Date: 1995-02-13
Institutions: European Commission
Subjects: carriage of passengers, ferryboat, marine pollution, maritime safety, maritime transport, prevention of pollution

COMMISSION  OF  THE  EUROPEAN  COIVMUNITIES 

COM(95) 28 final 
Brussels, 13.02-1995 

95/0028  (SYN) 

P r o p o s al 

f or  a 

COUNCIL  REGULATION 

(EC) 

ON  THE  SAFETY  MANAGEMENT  OF 
RO-RO  PASSENGER  VESSELS 

(presented  by  the  Commission) 

EXPLANATORY  MEMORANDUM 

GENERAL  INTRODUCTION 

1. The tragedy of the sinking of the Estonian Ro-Ro ferry  Estonia on its voyage from  Tallin 
to Stockholm on 28 September  1994, causing the death of more than 900 people, has drawn 
once more the attention of all concerned to the level of urgency of taking measures to enhance 
the  safety  of passenger  ships. This is one more  in a long  series of  ferry  accidents  of which 
the most notorious were the Scandinavian Star and the Herald of Free Enterprise.  The table 
in the annex shows the circumstances and the casualties relating to other major ferry  disasters 
since  1980. 

2.  In  February  1993,  the  Commission  submitted  to  the  Parliament  and  the  Council  its 
Communication  on  a  Common  Policy  on  Safe  Seas',  which  included  an  action  programme 
relating also to the enhancement of the safety of passenger vessels. Several concrete measures 
on the training of crews, on classification  societies and on port State Control will  significantly 
improve the safety  of Ro-Ro ferries. The Council has already adopted on 22 November  1994 
the two first proposals. The Commission services are presently drafting  also a proposal on the 
construction  standards for  passenger  vessels not yet covered by international  conventions. 

3. An important element is still missing  : it is the safety  management of Ro-Ro ferries. Most 
high risk industries have clear and detailed safety rules and procedures which affect  all aspects 
of  their  activities.  The  shipping  industry  is  lagging  behind  in  this  respect.  This  has  been 
recognised by the International  Maritime Organization  (IMO) where further  work has led to 
the  adoption  of  IMO  Resolution  A.741(18) on the  International  Management  Code  for  the 
Safe Operation of Ships and for Pollution Prevention (ISM Code). This Resolution will then 
be integrated into the SOLAS 74 Convention (International Convention on the Safety  of Life 
at Sea). However, it will apply to Ro-Ro ferries only from  1 July  1998. Moreover the wording 
of the ISM Code reveals its recommendatory  nature. 

4. The Commission, in paragraph 28 of Chapter 2 of its above mentioned Communication has 
already  indicated  that  a  specific  mandatory  application  of  this  Code  to  passenger  vessels 
needed  examination.  The  timescale  proposed  by  the  IMO  (July  1998)  is  too  far  ahead. 
Therefore, the Commission proposes to bring this date closer (July  1996, as suggested by the 
Council in its Resolution of 22 December  19942) and to ensure that all provisions of that Code 

1 COM(93) 66 final of 24 February 1993 

2 OJ C 379 of 31.12.94 p.8 

1 

are  made  mandatory  for  all  companies  operating  Ro-Ro  ferries  to  or  from  ports  in  the 
Community.  This  would  ensure  that  as  from  1 July  1996  all  companies  operating  Ro-Ro 
ferries  regardless  of  the  flag  they  fly  have  an  integrated  safety  management  policy  to  be 
effectively  applied  on board  of all their  Ro-Ro  ferries. 

NEED  FOR A COUNCIL  REGULATION 

5. 

What  are the objectives  of the envisaged  action in relation to the  obligations 

a) 
of the  Community? 

The  obligations  of  the  Community  in  this  context  are  the  achievement  of  safety  in 
maritime  transport  (Article  84(2)  of  the  Treaty  linked  with  Article  75(1 )(c)).  More 
specifically  the  objective  of  the  action  proposed  is  the  safety  of  Ro-Ro  passenger 
ferries  operating  a  regular  service  from  ports  in  the  Community.  This  is  in  fact  a 
component  of  the  Common  Policy  on  Safe  Seas adopted  by  the  Commission  on  23 
February  1993.  Furthermore  the  Council  has  adopted  on  22  December  1994  a 
Resolution on the safety of Ro-Ro passenger ferries3 which invites the Commission to 
submit  a  proposal  on  the  mandatory  and  anticipated  implementation  of  the 
International  Safety  Managament  Code (IMO  Resolution  A.741  (18))  for  all  Ro-Ro 
passenger ferries operating regular services to or from  European ports, in compliance 
with international  law. 

Is  the  envisaged  action  solely  the  responsibility  of  the  Community  or  a 

b) 
responsibility  shared with the Member  States? 

It is a responsibility  shared between the Community  and the Member  States 

c) 

What is the Community  dimension  of the problem? 

Millions of European citizens and many others travelling within Europe have recourse 
to this kind of transport to or from  hundreds of ports in the Community. All Member 
States are concerned as flag States. Thirteen of them are also concerned since they arc 
responsible for the safe operation of regular Ro-Ro ferry  lines to and from their ports. 
Furthermore, distortions of competition between ports in the EC must also be avoided. 

d)  What  is  the  most  efficient  solution,  as  between  Community  resources  and 
Member  States'  resources? 

Action  at  Community  level  will  ensure  implementation  of  the  provisions  of  the 

see footnote  2 on page 1 

International Safety Management Code (ISM Code) anticipatively, simultaneously, on 
a mandatory basis and without distortion of competition between ferry services as well 
as ports throughout  the  Community. 

What  is the  concrete added  value of the action envisaged  by the  Community 

e) 
and what would  be the cost of  inaction? 

The  concrete  added  value  of  this  Regulation  is the  enhancement  of  safety  at  sea  at 
three levels: 

a) 

b) 

c) 

the regime of the Regulation  will be operational  two years before  the 
ISM regime of the IMO; 
the provisions of the ISM Code are not mandatory,  and this flaw  will 
be remedied  by the  Regulation; 
the  safety  management  system  of  each  Ro-Ro  ferry  operating  on  a 
regular  service  to  or  from  a  port  in  the  Community  will  have  to  be 
considered  satisfactory  by  a  Member  State.  This  is  particularly 
important because Member States are reluctant to rely solely upon the 
administration of many third flag States to ensure adequate compliance 
with  safety  rules in general. 

The cost of inaction described in terms of money is limited to the value of damage to 
Ro-Ro  ferries  and  to  maritime  infrastructures  and  to  the  cost  of  restoring  maritime 
approaches.  However  the  main  cost  of  inaction  is  to  be  paid  in  human  lives  as  the 
recent  sinking  of the Estonia has demonstrated. 

f) 

In what ways can the Community take  action? 

The  only  way  for  the  Community  to  achieve  the  goal  of  anticipated  and  mandatory 
enforcement  of the provisions  of the ISM Code as already  agreed  by the  Council  is 
to act by way of a Regulation fixing an early  date for  direct  application. 

Is  uniform  legislation  necessary  or  does  a  Directive  setting  the  general 

g) 
objectives  and  leaving the execution  to the Member  States  suffice? 

Uniform  legislation  in  the  form  of  a regulation  is  necessary  for  the  reasons  set  out 
above. In compliance with the principle of proportionality, the proposed regulation will 
establish  at  Community  level  rules  for  the  safety  managament  of  Ro-Ro  passenger 
vessels, which have been accepted at international level and supported by all Member 
States. Acting by way of a directive would imply an additional period for transposition 
into  the  national  laws  of  the  Member  States  long  enough  for  all  parliamentary 
procedures to be respected  and  would therefore  defeat  the purpose  of an  application 
of the Code well  in advance of the date set by the IMO. 

CONTENT OF THE  REGULATION 

6. The Regulation  lays down provisions for  the mandatory  enforcement  of the provisions of 
the  ISM  Code  for  all  Ro-Ro  ferries  operating  on  a  regular  service  to  or  from  ports  in  the 
European  Community. 

7. As from  the entry into force  of the Regulation on  1 January  1996, companies will need to 
develop safety management policies to be applied in the company and on board of all the Ro-
Ro ferries they operate. These policies must be effective  from  1  July  1996, otherwise the said 
Ro-Ro  ferries  will  not be allowed  to operate. 

8.  Authorisation  to  operate  from  its  ports  emanates  from  each  Member  State.  Therefore 
Member  States  must  use  this  power  to  ensure  that  companies  comply  with  the  safety 
management  requirements  imposed  on  them  by  the  Regulation,  by  controlling  both  the 
companies  and their vessels. 

(a)  For  a  vessel  flying  the  flag  of  a  Member  State,  it  is  for  that  Member  State  to 
control  compliance.  For  a  company  located  in  a  Member  State,  it  is  also  for  that 
Member  State to control  compliance  for  the company. Once compliance  at  company 
level has been certified  by one Member State, other Member States can and must rely 
upon  such  certification. 

(b) For a vessel flying the flag of a third State, the Member State to the port of which 
the  Ro-Ro  ferry  operates  must  verify  that  that  vessel  and  the  company  operating  it 
comply with the provisions of the Regulation to the satisfaction  of that Member State. 

(c)  In  the  case  of  companies  located  outside  the  Community,  a  Member  State  may 
satisfy  itself of compliance of the company on the sole basis of documentary evidence. 
In cases where the Member  State deems that  it may not rely  solely  on  documentary 
evidence, it may require any other evidence. 

(d) This Regulation does not address the case of companies located in the Community 
but  operating  only  Ro-Ro  ferries  outside  the  Community.  The  level  of  safety 
management of such companies and their vessels will be upgraded in due time through 
the application  of the ISM Code through the  SOLAS  Convention. 

In cases where  a Member  State detects that a company  operating  on a regular  service  from 
its ports is a danger to safety,  although a valid Document of  Compliance has been issued or 
recognised, it may suspend the operation until the danger has been removed. The suspension 
must  rapidly  be  notified  to  the  Commission,  which  will  look  into  the  matter  and,  with  the 
assistance  of a committee, take a decision on whether  the suspension  is justified  or  whether 
to revoke the same. 

9. The Regulation  specifies  that compliance must be controlled  at least every year,  and that 
if a Member  State is to delegate or rely upon another body to do so, it may only delegate to 
or rely upon an organisation recognised as complying with the quality requirements imposed 
by Council Directive 94/5 7/EC of 4 November  1994 on common rules and standards for ship 
inspection and survey organisations and for the related activities of maritime administrations4. 

10.  The  Commission,  with  the  help  of  the  committee,  may  amend  the  specific  provisions 
drawn  from  the  ISM  Code  in  order  to  adapt  them  to  future  developments,  mainly  in 
international  fora. 
In view of such developments, the Commission may through the same procedure amend the 
definition of a recognised organisation and insert into the annex guidelines for administrations 
on the implementation of the ISM Code. This could be necessary to take due account of new 
IMO Resolutions related to the implementation of the ISM Code, such as the guidelines which 
are still  under preparation  in the IMO  framework. 
Another  task  for  the  committee  is  the  one  mentioned  above  i.e.  to  advise  upon  the 
maintenance  or not of suspension measures by Member States. 

SPECIAL  CONSIDERATIONS 

Article 1 

This article defines the purpose of the Regulation: to enhance safety  at sea and prevention of 
marine pollution through the establishment and maintenance by companies of adequate safety 
management  systems. 

Article 2 

This article contains definitions  of the key words of the  Regulation. 

Article 3 

This  article  defines  which  companies  are  covered  by  the  Regulation,  namely  companies 
operating  Ro-Ro  ferries  on a regular  service to or from  ports in the  Community. 

OJ L 319 of  12.12.94 p.20 

Article  4 

The  obligations  of  companies  are  laid  down  in  this  article.  They  are  to  comply  with  the 
provisions  of  the  ISM  Code  as  they  stand  in  the  Annex,  but  as  if  they  were  mandatory. 
Fulfilment  of this obligation will  be an essential  condition  for authorisation to operate  Ro-Ro 
ferries  on  a regular  service  to  or  from  ports  in the  Community. 

Article  5 

Here  the  obligations  of  the  Member  States  as  flag  States  are  laid  down.  These  obligations 
concern  the  certification  by  Member  States  of  compliance  with  the  Annex  by  companies 
operating  Ro-Ro  ferries  flying  their  flags. 

Paragraph  1  states  that  Member  States  are  responsible  for  the  control  of  compliance  by 
companies  operating  Ro-Ro  ferries  flying  their  flag. 

Paragraph  2  regulates  the possibility  for  Member  States  to  delegate  to  or rely  upon  persons 
or  bodies  external  to  their  administration  fully  or  in  part,  by  limiting  this  possibility  to 
recognised organisations in the meaning of Council Directive 94/5 7/EC on common rules and 
standards  for  ship  inspection  and  survey  organisations  and  for  the  relevant  activities  of 
maritime  administrations. 

Paragraph  3  establishes  the  principle  of  mutual  recognition  of  Documents  of  Compliance 
issued  by  or on  behalf  of  other  Member  States  for  companies  established  on  their  territory, 
for  the  purpose  of  certification. 

Paragraph 4 states that the control referred to in the first two paragraphs must be made at least 
every  year. 

Article  6 

Paragraph  1 obliges Member States to ensure that companies  and Ro-Ro ferries  comply  with 
this  Regulation  as  a condition  to  operate  regular  Ro-Ro  ferry  services  from  their ports. 

Paragraph  2  prevents  Member  States  from  refusing  authorisation  to  operate  on  a  regular 
service from their ports for Ro-Ro ferries carrying certificates  issued by other Member States, 
for  reasons  of  non compliance  with  the provisions  of  the  ISM  Code.  Such certificates  must 
be  considered  satisfactory  for  that purpose. 

Paragraph 3 addresses the question of certificates  issued  by third States. Member  States may 
recognise  that  such  certificates  are  satisfactory,  and  allow  Ro-Ro  ferries  carrying  such 
certificates  to  operate  on  a regular  service  from  their ports.  It  is  important  to  note  that  this 
paragraph does  not touch  upon the recognition  by  Member  States of  the  intrinsic  validity  of 
certificates  issued  by  third  States.  Vessels  carrying  such  certificates  will  continue  to  be 
allowed  to  enter  into  ports  of  the  Community.  What  is  said  here  is  that  before  allowing  to 
operate  a regular  service  from a port in a Member State, the latter Member State has the right 

and  the duty  to make sure that the provisions of the  ISM Code embodied  in the  Regulation 
have been complied  with, and that it may consider  it a sufficient  guarantee that the relevant 
certificates  have been  issued  by a competent  third  State administration  or on its behalf. 

Article 7 

A Member  State may  suspend  the operation  of the  service  for  reasons  of  serious  danger  to 
safety  or environment, although the company holds a document of compliance and bring the 
matter before the Commission. The Commission, assisted by an advisory committee, will then 
decide  whether  the suspension  is justified  and may continue or not. 

Article 8 

Article 8 organises the possibility for the Commission to amend the definition  of "Recognised 
Organisation",  "ISM  Code"  and  its  corollary  annex,  and  to  take  decisions  as  regards 
suspensions of authorisation by Member States, with the assistance of an advisory committee. 

Article 9 

The Commission  is assisted by a committee acting in accordance with an advisory  procedure 
(procedure  1 of Council  Decision  87/373/EEC  of  13 July  1987 laying  down the  procedures 
for  the exercise  of implementing  powers conferred  on the Commission5). The Committee is 
the one  set up by article  12 of Council Directive 93/75/EC of  13 September  1993 concerning 
minimum  requirements  for  vessels  bound  for  or  leaving  Community  ports  and  carrying 
dangerous  or polluting  goods6. This  Committee  is also the one  foreseen  in the Proposal  for 
a  Council  Directive  concerning  the  enforcement,  in  respect  of  shipping  using  Community 
ports and  sailing  in the waters under  the jurisdiction  of the  Member  States, of  international 
standards for  ship safety,  pollution prevention and shipboard  living and working conditions7. 

Article  10 

The Regulation is to enter into force on 1  January  1996, and be applied by  1  July  1996, these 
being the earliest possible dates, in order to anticipate the entry  into force  of the ISM Code 
at  international  level. 

OJ L 197 of 18.7.87 p.33 

OJ L 247 of 5.10.93 p. 19 

OJ C 107 of 15.4.94 p.14 

7 

Annex 

The Annex  contains the International  Safety  Management  Code  adopted by the  International 
Maritime  Organization  through Assembly  Resolution  A.741(18)  of  4  November  1993. 

ANNEX 
Major ferry  disasters  besides the Estonia  since  1980 

vessel 

date of 
accident 

place of 
accident 

cause of 
accident 

no.  of  deaths 

Don Juan 

April  1980 

Philippines 

collision  with 
barge 

over  1000 

Tampomas II 

January  1981 

Indonesia 

fire on board 

431  officially 

Sarnia 

May  1986 

Meghna  River, 
Bangladesh 

capsized  in 
storm 

Admiral 
Nakhinov 

Herald  of Free 
Enterprise 

Dona Paz 

August  1986 

Black  Sea 

collision  with 
cargo  ship 

March  1987 

Zeebrugge, 
Belgium 

door  left  open 

193 

December 
1987 

Subuyan  Sea, 
Philippines 

collision  with 
tanker 

4,386 

600 

425 

Rosalie 

1988 

Bintang  Madura 

1988 

San Bemandino 
Straits, 
Philippines 

Java Sea, 
Indonesia 

sank 

400 

over  200 

Scandinavia 
Star 

1990 

Skaggerak 

fire 

158 

Egyptian  owned 
ferry 

December 
1991 

near  Safaga 
port 

coral reef  . 

460 

Moby  Prince 

Neptune 

1991 

1993 

off  Genoa, Italy 

collision 

140 

off  Port-au-
Prince, Haiti 

sank 

about  2000 

Jan  Heweliusz 

January  1993 

Baltic Sea 

heavy  seas 

over  50 

Bangladesh 
ferry 

Bangladesh 
ferry 

August  1994 

Meghna River 

whirlpool 

350 

October  1994 

Bay of Bengal 

rough weather 

over  100 

source:  ITF  News,  17 November  1994, Page  28 

P r o p o s al 

f or  a 

COUNCIL  RFGULATION  (FÇ) 

ON  THE  SAFETY  MANAGEMENT  OF 
RO-RO  PASSENGER  VESSELS 

THE COUNCIL OF THE EUROPEAN UNION 

Having  regard to the Treaty establishing  the European Community,  in particular Article  84 
(2)  thereof,  and acting  in accordance  with the procedure  referred  to  in Article  189c of the 
Treaty, 

Having regard to the proposal  from the Commission1, 

In cooperation with the Eu^^^^^n Parliament2, 

Having  regard  to  the  opinion  of  the  Economic  and  Social 
Committee3, 
Whereas the Community  is seriously concerned by shipping casualties with loss of life; 

Whereas the International Safety Management Code providing for the safe operation of ships 
and for  pollution  prevention  (IMO Resolution  A. 741  (18))  was  adopted by the  IMO on  4 
November  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 passenger 
vessels  from  1 July  1998; 

Whereas  the  International  Safety  Management  Code  is  not  yet  of  a  mandatory  but  of  a 
recommendatory nature; 

Whereas safety of human life at sea may be effectively enhanced by applying the International 
Safety  Managament Code strictly and on a mandatory basis; 

Whereas  the  Community's  most  urgent  concern  is  for  the  safety  management  of  Ro-Ro 
passenger vessels; 

Whereas in its Resolution of 22 December  1994 on the safety of Ro-Ro passenger ferries, the 
Council  has invited the Commission to submit a proposal on the mandatory and anticipated 
implementation of the International Safety Management Code for all Ro-Ro passenger ferries 
operating regular services to or from European ports, in compliance with international law; 

1  OJC 

2  OJC 

3  OJ  c 

10 

Whereas strict and mandatory  application  is required to ensure the establishment  and proper 
maintenance of safety management systems by companies operating seagoing Ro-Ro passenger 
ferries  both  at company  and  at ship level; 

Whereas the safety of ships is the primary responsibility of flag States and 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 service from  their ports 
is for the Member States to require their effective  compliance with safety  rules as a condition 
to operate  on a regular  service  from  their ports; 

Whereas a Member State must have the possibility of suspending the operation of certain Ro-
Ro  ferries  from  its  ports  where  it  considers  that  they  pose  a  serious  threat  to  safety  or 
environment,  subject  to a decision  of the Commission  assisted  by an advisory  committee. 

Whereas  verification  of  compliance  with  the  safety  rules  every  year  should  guarantee 
continued  efforts  by companies to maintain the required  safety  management  level; 

Whereas Member  States might find  necessary to delegate or rely  upon specialised  bodies in 
order to fulfil  their obligations under this Regulation; whereas the appropriate way of ensuring 
a uniform  and adequate level of control is to require that such bodies should comply with the 
requirements  of  Council  Directive  94/5 7/EC  on  common  rules  and  standards  for  ship 
inspection and survey organisations and for the relevant activities of maritime administrations4; 

Whereas recourse to a committee  of a consultative  nature  is necessary  in order to assist  the 
Commission to ensure that the standards set by the Regulation, including the requirements for 
recognised  organisations,  remain  adequate  and  as  far  as  possible  in  line  with  international 
standards; 

Whereas  action  at  Community  level  is  the  best  way  to  ensure  mandatory  and  anticipated 
enforcement  of  the  provisions  of  the  Code  and  effective  control  of  its  application,  while 
avoiding  distortion  of  competition  between  different  Community  ports  and  Ro-Ro  ferries; 
whereas  only  a  Regulation,  which  is  of  direct  applicability,  can  ensure  anticipated  and 
mandatory  enforcement  of  the  provisions  of the  Code; whereas  anticipated  implementation 
requires that the Regulation  be applicable  as from  1 July  1996. 

HAS ADOPTED THIS REGULATION : 

OJ L 319 of 12.12.94 p.20 

11 

Article 1 

The purpose of this Regulation is to enhance the safe management, operation, and pollution 
prevention  of  Ro-Ro  ferries  operating to  or from  ports  of  the  European  Community  on a 
regular service by ensuring: 

the establishment and proper maintenance of  shipborne and shorebased safety 
management systems by Companies, and 
the control thereof by flag  and port State administrations 

Article 2 

For the purpose of this Regulation and of the ISM Code, 

"Ro-Ro ferry" means a seagoing passenger vessel with arrangements to enable road and rail 
vehicles to roll on and roll off the vessel, and carrying more than  12 passengers; 

"Company" means the owner of a Ro-Ro ferry or any other organisation or person such as 
the manager, or the bareboat charterer, who has assumed the responsibility  for operation of 
the Ro-Ro ferry from the owner; 

"Recognised  Organisation" means a body recognised  in compliance  with  the  provisions  of 
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 administrations1 ; 

"ISM Code" means the International Management Code for the Safe Operation of Ships and 
for  Pollution  Prevention  as  adopted  by  the  International  Maritime  Organisation  through 
Assembly  Resolution A.741(18) of 4 November  1993, and annexed to this Regulation; 

"Administration" means the Government of the State whose flag  the Ro-Ro ferry is entitled 
to fly; 

"Document of Compliance" means the document issued to Companies in conformity with this 
Regulation; 

"Safety Management Certificate" means the certificate  issued to Ro-Ro ferries in conformity 
with  this Regulation. 

1  OJ L 319 of  12.12.94  p.20 

12 

Article 3 

The  Regulation  shall  apply  to  Companies,  irrespective  of  their  place  of  incorporation, 
establishment or business, which operate at least one Ro-Ro ferry operating to or from  a port 
of the European Community  on a regular service regardless of its flag. 

Article 4 

All  Companies  shall  comply  with all  the provisions  of  paragraphs  1.2  to  13.5  of  the ISM 
Code,  as  amended  hereby,  as  if  the  provisions  thereof  were  mandatory  and not  only  of a 
recommendatory  nature, as a condition to provide regular services to or from a port of the 
European Community. 

Article 5 

1. Member States shall comply  with the provisions of items  13.2,  13.4 and  13.5 of the ISM 
Code,  as  amended  hereby,  as  if  the  provisions  thereof  were  mandatory  and not  only  of a 
recommendatory nature, in relation to Companies and Ro-Ro ferries. 

2. For the purposes of this Regulation, Member States may only authorise, or rely upon, fully 
or in part, a Recognised Organisation. 

3.  For the purposes of paragraph 13.2 of the ISM Code as amended hereby, a Document of 
Compliance issued by the authorities of a Member State in the territory of which a Company 
conducts its business or by a Recognised Organisation acting on their behalf shall be accepted 
by other Member States. 

4.  For the purposes  of  paragraph  13.5  of  the ISM Code,  as amended  hereby,  a periodical 
verification  shall take place at least once every year. 

Article 6 

1. Member States shall satisfy themselves of the effective  compliance with the provisions of 
this Regulation  prior to allowing  Companies to provide  regular Ro-Ro  ferry  services to or 
from their ports. 

13 

2. For the purposes of paragraph 1, each Member State shall accept certificates issued by the 
authorities of any other Member State. 

3. Each Member State shall recognise the Documents of Compliance and Safety Management 
Certificates issued by the Administrations of  third countries or by Recognised Organisations 
acting on their behalf if it is satisfied that they guarantee the observance of the provisions of 
this Regulation. 

Article 7 

Where a Member  State considers that a Company, notwithstanding  the fact  that it  holds a 
Document of Compliance, cannot operate on a regular service to or from its ports for reasons 
of serious danger to safety of life or property, or 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) 

(b) 

(c) 

the Member State  shall  inform the Commission and the other Member States of its 
decision without delay, giving substantiated reasons therefor; 

the  Commission  shall  examine  whether  the  suspension  is justified  for  reasons  of 
serious danger to safety  and environment; 

acting  in  accordance  with  the  procedure  laid  down  in  article  9  paragraph  2,  the 
Commission shall inform the Member State whether or not its decision to suspend the 
authorisation is justified  for reasons of serious danger to safety  or environment and, 
if  it is not justified,  decide to revoke the suspension decision taken by the Member 
State. 

Article 8 

In order to take account of developments at international  level 

(1) 

the definition  of  "ISM Code" in article 2, 

(2) 

the Annex, 

(3) 

the definition  of  "Recognised Organisation" in article 2, 

14 

may be amended , in particular to introduce into the Annex guidelines for Administrations for 
the  implementation  of  the  ISM  Code,  in accordance  with the  procedure  laid  down  in  article 
9  paragraph  2. 

Article  9 

1. The Commission  shall  be assisted by the Committee  established  by article  12 paragraph 1 
of  Council  Directive  93/75/EC2 

2.Where  reference  is  made  to this  paragraph  the  following  procedure  shall  apply: 

(a) 

(b) 

(c) 

(d) 

the  representative  of  the  Commission  shall  submit  to  the  Committee  referred 
to  in paragraph  1 a draft  of  the  measures  to  be taken; 

the Committee  shall deliver its opinion within a time limit which the chairman 
may  lay  down  according  to the  urgency  of  the  matter,  if  necessary  by  taking 
a  vote; 

the  opinion  shall  be  recorded  in  the  minutes;  in  addition  each  Member  State 
shall  have  the  right  to  have  its  position  recorded  in  the  minutes; 

the  Commission  shall  take the utmost account  of the opinion delivered  by the 
committee.  It  shall  inform  the  committee  of  the  manner  in  which  its  opinion 
has been taken  into  account. 

Article  10 

This Regulation shall enter into force on  1 January  1996. It shall be applicable as from  1 July 
1996. 
This Regulation  shall  be binding  in its entirety and directly  applicable  in all  Member  States. 

OJ  L  No  247,  5.10.93  p. 19  concerning  minimum  requirements  for  vessels 
bound  for  or  leaving  Community  ports  and  carrying  dangerous  or  polluting 
goods 

15 

INTERNATIONAL  MANAGEMENT  CODE FOR THE  SAFE OPERATION  OF SHIPS AND FOR 
POLLUTION  PREVENTION  (INTERNATIONAL  SAFETY MANAGEMENT  (ISM) CODE) 

ANNEX 

SAFETY AND POLLUTION PREVENTION  MANAGEMENT  REQUIREMENTS 

CONTENTS 

Preamble 

1 

General 

1.1 

Definitions 

1.2 

Objectives 

1.3 

Application 

1.4 

Functional  requirements  for  a safety management  system  (SMS) 

2 

3 

4 

5 

6 

Safety  and environmental protection  policy 

Company  responsibilities  and  authority 

Designated  person(s) 

Master's  responsibility  and  authority 

Resources  and personnel 

7 

Development  of plans for shipboard  operations 

8 

9 

Emergency  preparedness 

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

10  Maintenance  of the ship and equipment 

11 

Documentation 

12  Company  verification, review  and  evaluation 

13 

Certification, verification  and  control 

S6 

PREAMBLE 

The purpose of this Code  is to provide  an international  standard  for the 

1 
safe management and operation of ships and  for pollution prevention. 

The  Assembly adopted  resolution A.443(XI) by which it invited  all 
2 
Governments  to take the necessary  steps  to safeguard  the shipmaster  in the 
proper  discharge of his responsibilities  with  regard  to maritime  safety and 
the protection of the marine environment. 

The  Assembly also adopted  resolution A.680(17) by which  it further 

3 
recognized  the need for appropriate  organization of management  to enable it to 
respond  to the need of those on board ships  to achieve and maintain high 
standards  of safety and environmental pro-tection. 

Recognizing  that- no two shipping  companies or shipowners  are  the same, 

4 
and  that  ships operate under a wide  range of different conditions, the Code is 
based on general principles  and objectives. 

5 

The Code is expressed  in broad  terms  so  that it can have a widespread-
pplication.  Clearly, different  levels of management, whether  shore-based or 

at sea, will  require varying  levels of knowledge  and awareness of the items 
outlined. 

The  cornerstone of good safety management  is commitment  from  the top.  In 

6 
mat-.ters of safety and pollution prevention  it is the commitment, competence, 
attitudes  and motivation of  individuals  at all  levels  that determines  the end 
result. 

1 

GENERAL 

l.i  DefinitiqRs, 

1.1.1  "International Safety Management  (ISM) Code" means  the  International 
Management Code for the Safe Operation of Ships and for Pollution.Prevention 
as adopted by the Assembly, as may be amended by the Organization. 

1.1.2  "Company" means the Owner of the ship or any other organization or 
person  such as the Manager; or the Bareboat Charcere^r, who has assumed the 
responsibility  for operation of the ship  from  the Shipowner  and who on 
assuming  such responsibility has agreed  to take over all the duties and 
responsibility  imposed by the Code. 

» 1.1.3  "Administration" means  the Government of the State whose  flag the ship 

is,entitled to fly. 

AV 

1.2  Objectives 

1.2.1  The objectives  of  the Code are to ensure  safety  at sea, prevention of 
human  injury or  loss of  life, and avoidance  of damage  to the environment,  in 
particular,  to the marine  environment,  and  to property. 

1.2.2  Safety management  objectives  of  the Company  should,  inter alia: 

.1  provide  for  safe practices  in ship operation  and a safe working 

environment; 

.2  establish  safeguards  against  all  identified  risks; and 

.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  compliance  with mandatory  rules  and  regulations; and 

.2  that  applicable  codes, guidelines  and standards  recommended  by  the 

Organization,  Administrations,  classification societies  and maritime 
industry  organizations  are  taken  into account. 

1.3  Application 

The requirements  of  this Code may be applied  to all ships. 

1•4'  Functional  requirements  for a Safety Management  System  (SMS) 

Every Company  should develop,  implement  and maintain a Safety Management 

System  (SMS) which  includes  the following  functional  requirements: 

.1  a safety  and environmental  protection policy; 

.2  instructions  and procedures  to ensure safe operation of ships and 

protection of the environment  in compliance with  relevant 
international  and flag State  legislation;  f 

.3  defined  levels, of authority  and lines of communication  between,  and 

amongst,  shore and shipboard personnel; 

/ 

.4  procedures  for reporting  accidents  and non-conformities with the 

provisions  of  this Code; ' 

.5  procedures  to prepare  for and  respond  to emergency  situations; and 

.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. 

A8 

2.2  The Company  should ensure that the policy  is implemented and maintained 
at all  levels of  the organization both  ship based as well  as shore based. 

3 

COMPANY  RESPONSIBILITIES  AND  AUTHORITY 

If 
t he  owner, 

t he  e n t i ty  who  is  r e s p o n s i b le 
t he  owner  must  r e p o rt 

f or 
t he 

t he  o p e r a t i on  of 
f u ll  name  and  d e t a i ls  of  such  e n t i ty 

t he  s h ip 

is  o t h er 

3 .1 
t h an 
to 

t he  A d m i n i s t r a t i o n. 

The  Company  s h o u ld  d e f i ne  and  d o c u m e nt 

3 .2 
i n t e r r e l a t i on  of  a ll  p e r s o n n el  who  m a n a g e,  p e r f o rm  and  v e r i fy  work  r e l a t i ng 
and  a f f e c t i ng 

t he  r e s p o n s i b i l i t y,  a u t h o r i ty  and 
to 

s a f e ty  and  p o l l u t i on  p r e v e n t i o n. 

The  Company 

3 .3 
b a s ed  s u p p o rt  a re  p r o v i d ed 
o ut 

f u n c t i o n s. 

t h e ir 

is 

r e s p o n s i b le  f or  e n s u r i ng 
to  e n a b le 

t he  d e s i g n a t ed  p e r s on  or  p e r s o ns 

r e s o u r c es  and  s h o re 
to  c a r ry 

t h at  a d e q u a te 

4 

DESIGNATED  PERSON(S) 

To  e n s u re 

t he  s a fe  o p e r a t i on  of  e a ch  s h ip  and  to  p r o v i de  a  l i nk  between 
t h o se  on  board,  e v e ry  company,  as  a p p r o p r i a t e, 

t he  company  and 
d e s i g n a te  a  p e r s on  or  p e r s o ns  a s h o re  h a v i ng  d i r e ct  a c c e ss 
of  management. 
p e r s o ns  s h o u ld 
of 
b a s ed  s u p p o rt  a re  a p p l i e d,  as 

t he  o p e r a t i on  of  e a ch  ship  and  to  e n s u re 

The  r e s p o n s i b i l i ty  a nd  a u t h o r i ty  of 

i n c l u de  m o n i t o r i ng 

r e q u i r e d. 

t he  d e s i g n a t ed  p e r s on  or 
t he  s a f e ty  and  p o l l u t i on  p r e v e n t i on  a s p e c ts 
r e s o u r c es  and  s h o re 

t h at  a d e q u a te 

s h o u ld 
t he  h i g h e st 

-
l e v el 

to 

5 

MASTER'S  RESPONSIBILITY  AND  AUTHORITY 

5 .1  The  Company  s h o u ld  c l e a r ly  d e f i ne  a nd  document 
r e s p o n s i b i l i ty  w i th  r e g a rd 

t o: 

t he  m a s t e r 's 

--

.1 

.2 

.3 

.4 

.5 

i m p l e m e n t i ng 
Company; 

t he  s a f e ty  and  e n v i r o n m e n t al  p r o t e c t i on  p o l i cy  of 

t he 

m o t i v a t i ng 

t he  crew  in  t he  o b s e r v a t i on  of 

t h at  p o l i c y; 

/' 

i s s u i ng  a p p r o p r i a te  o r d e rs  a nd 
m a n n e r; 

i n s t r u c t i o ns 

in  a  c l e ar  and  s i m p le 

v e r i f y i ng 

t h at  s p e c i f i ed 

r e q u i r e m e n ts  a re  o b s e r v e d;  and 

r e v i e w i ng 
management. 

t he  SMS  and  r e p o r t i ng 

i ts  d e f i c i e n c i es 

to 

t he  shore  b a s ed 

5 .2  The  Company  s h o u ld  ensure 
c o n t a i ns  à  c l e ar  s t a t e m e nt  e m p h a s i z i ng 
s h o u ld  e s t a b l i sh 
t he 
p r e v e n t i on  and 

t he  SMS  t h at 
to  make  d e c i s i o ns  w i th 

r e s p o n s i b i l i ty 

r e q u e st 

t h at 

in 

to 

t he  SMS  o p e r a t i ng  on  b o a rd 
t he  M a s t e r 's  a u t h o r i t y. 

t he  s h ip 
The  Company 
t he  o v e r r i d i ng  a u t h o r i ty  and 
to  s a f e ty  and  p o l l u t i on 

r e s p e ct 

t he  m a s t er  has 

the  Company's  a s s i s t a n ce  as  may  be  n e c e s s a r y. 

>to> 

6 

RESOURCES AND PERSONNEL 

6.1  The Company  should ensure that  the master is: 

.1  properly qualified  for command; 

.2 

fully conversant with the Company's  SMS; and 

.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  familiarization with  their duties. 
Instructions  which are essential  to be provided prior  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 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 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  OPERATIONS 

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  various  tasks involved  should be defined 
and  assigned  to qualified personnel. 

3 

EMERGENCY  PREPAREDNESS 

8.1  The Company"should establish procedures  to identify, describe and  respond 
to potential emergency shipboard  situations. 

., 

8.2  -,The Company  should establish programmes  for drills  and exercises to 
prepare  for emergency actions. 

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

SLO 

9 

REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS 
OCCURENCES 

9.1  The SMS should  include procedures  ensuring  that non-conformities, 
accidents  and hazardous situations  are  reported  to the Company,  investigated 
and analysed with the objective of improving  safety  and pollution prevention. 

9.2  The Company  should establish procedures  for  the  implementation of 
corrective action. 

10  MAINTENANCE OF THE SHIP AND EQUIPMENT 

10.1  The Company should establish procedures  to ensure that the ship is 
maintained  in conformity with the provisions  of  the relevant rules and 
regulations  and with any additional  requirements which may be established by • 
the Company. 

10.2  In meeting  these requirements  the Company  should ensure that: 

.1  inspections  are held at appropriate  intervals; 

.2  any non-conformity  is reported with  its possible cause, if known; 

.3  appropriate  corrective  action  is taken; and 

.4  records of these activities  are maintained. 

10.3  The Company  should establish procedures  in SMS to identify equipment and 
technical  systems the sudden operational  failure of which may result in 
hazardous  situations.  The SMS should provide  for. specific measures aimed at 
promoting  the  reliability of such equipment or  systems.  These measures should 
include  the  regular  testing of stand-by  arrangements'* and equipment or 
technical systems  that are not in continuous use. 

10.4  The  inspections mentioned  in 10-2 as well as the measures  referred 
to 10.3  should be integrated in the ship's operational maintenance/routine. 

11 

DOCUMENTATION 

1.1  The Company should establish and maintain procedures  to control all 

aocuments and data which are relevant  to the SMS. 

j 

11.2  The Company  should ensure that: 

.1  valid documents are available  at all relevant locations; 

.2  changes  to documents are" reviewed  and approved by authorized 

personnel; and 

3 

obsolete documents are promptly  removed. 

SLA 

11.3  The documents  used  to describe and  implement  the SMS may be referred  to 
as the "Safety Management Manual".  Documentation should be kept in a form 
that the Company considers most effective.  Each ship should carry on board 
all documentation  relevant to that ship. 

12  COMPANY VERIFICATION, REVIEW AND  EVALUATION 

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

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

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

12.4  Personnel carrying out audits should be  independent of  the areas being 
audited unless  this is impracticable due  to the size and the nature of the 
Company. 

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

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

13 

CERTIFICATION,  VERIFICATION  AND  CONTROL 

13.1  The  ship should be operated by a Company which is issued 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 ISM Code by  the Administration, by an 
organization  recognized by the Administration or by the Government,of the 
country, acting on behalf of the Administration in which the Company has 
chosen  to conduct  its business.  This document  should be accepted as evidence 
that the Company  is capable of complying with  the requirements of the Code. 

,/ 

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  recognized by it. 

13.4  A Certificate, called a Safety Management Certificate, should be  issued 
to a ship by the Administration or organization recognized by the 
Administration.  The Administration should, when  issuing the certificate, 
verify  that the Company and its shipboard management operate  in accordance 
with the approved SMS. 

13.5  The administration or an organization  recognized by the Administration 
should periodically  verify  the proper  functioning of the ship's SMS as 
approved. 

^=L. 

ISSN 0254-1475 

COM(95) 28  final 

DOCUMENTS 

EN 

07 

Catalog number  :  CB-CO-95-036-EN-C 

ISBN 92-77-85314-X 

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