Commission Regulation (EC) No 179/98 of 23 January 1998 amending Council Regulation (EC) No 3051/95 on the safety management of roll-on/roll-off passenger ferries (ro-ro ferries)
Date: 1998-01-23
Institutions: European Commission
Subjects: International Maritime Organisation, carriage of passengers, ferryboat, supervisory body, transport safety, vessel

24. 1. 98

‹

EN

‹

Official Journal of the European Communities

L 19/35

COMMISSION REGULATION (EC) No 179/98

of 23 January 1998

amending Council Regulation (EC) No 3051/95 on the safety management of
roll-on/roll-off passenger ferries (ro-ro ferries)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European
Community,

Having regard to Council Regulation (EC) No 3051/95 of
8 December 1995 on the safety management of roll-on/
roll-off passenger
(ro-ro ferries) (1), and in particular
Article 9 thereof,

Whereas Regulation (EC) No 3051/95 provides
that
companies and Member States are to comply with the
provisions of the International Safety Management Code,
adopted by the International Maritime Organization
through Assembly Resolution A.741 (18) of 4
(IMO)
November 1993, in resptect of ro-ro ferries operating to
or from ports of the Member States of the Community;

the International Safety Management

Whereas with a view to ensuring uniform implementation
(ISM) Code,
of
guidelines on the implementation of the International
Safety Management (ISM) Code by administrations were
adopted on 23 November 1995 by the IMO by Resolution
A.788 (19);

Whereas it is necessary to take account of developments a
international
level by introducing detailed rules con-
cerning the issuance of interim documents and certifi-
cates and the form of the ISM documents and certificates,
as well as some standards on ISM certification arrange-
ments;

Whereas it is appropriate to ensure that the validity of
certain documents and certificates already issued is not
affected;

Whereas Regulation (EC) No 3051/95 should be amended
accordingly;

Whereas the measures provided for in this Regulation are
in accordance with the opinion of
the Committee
provided for
in Article 12 of Council Directive
93/75/EEC (2), as last amended by Commission Directive
97/34/EC (3),

HAS ADOPTED THIS REGULATION:

Article 1

Regulation (EC) No 3051/95 is hereby amended as
follows:

1. Article 2(d) is replaced by the following:

‘(d) “Recognised organisation” means a body recog-
nised in accordance with the provisions of Dir-
ective 94/57/EC, as amended by Commission Dir-
ective 97/58/EC (*).

(*) OJ L 274, 7. 10. 1997, p. 8.’;

2. the Annex is amended as set out in the Annex to this

Regulation.

Article 2

This Regulation shall enter into force on the 20th day
following its publication in the Official Journal of the
European Communities.

It shall apply from 1 July 1998.

Documents of compliance and safety management certi-
ficates issued by administrations and recognized organiza-
tions before 1 July 1998 shall remain valid until their
date of expiry.

This Regulation shall be binding in its entirety and directly applicable in all Member
States.

Done at Brussels, 23 January 1998.

For the Commission

Neil KINNOCK

Member of the Commission

(1) OJ L 320, 30. 12. 1995, p. 14.

(2) OJ L 247, 5. 10. 1993, p. 19.
(3) OJ L 158, 17. 6. 1997, p. 40.

L 19/36

‹

EN

‹

Official Journal of the European Communities

24. 1. 98

ANNEX

The Annex to Regulation (EC) No 3051/95 is hereby amended as follows:

(a) the title is replaced by the following:

‘Part A

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

(b) the following Part B is added:

‘Part B (1)

PROVISIONS FOR ADMINISTRATIONS CONCERNING THE IMPLEMENTATION OF
THE INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE

1.

ISSUANCE AND VALIDITY OF DOCUMENTS OF COMPLIANCE AND SAFETY
MANAGEMENT CERTIFICATES

1.1. Definitions

(a) “Safety management system (SMS)” means a structured and documented system enabling company
personnel to effectively implement the company safety and environmental protection policy.

(b) “Safety management audit” means a systematic and independent examination to determine
whether the SMS activities and related results comply with planned arrangements and whether
these arrangements are implemented effectively and are suitable to achieve objectives.

(c) “Observation” means a statement of fact made during a safety management audit and substantiated

by objective evidence.

(d) “Objective evidence” means quantitative or qualitative information, records or statements of fact
pertaining to safety or to the existence and implementation of a SMS element, which is based on
observation, measurement or test and which can be verified.

(e) “Non-conformity” means an observed situation where objective evidence indicates the non-fulfil-

ment of a specified requirement.

(f)

“Major non-conformity” means an identifiable deviation which poses a serious threat to personnel
or ship safety or a serious risk to the environment and requires immediate corrective action; in
addition, the lack of effective and systematic implementation of a requirement of the ISM Code is
also considered as a major non-conformity.

(g) “Interim document of compliance” means the document issued to companies in conformity with

paragraph 1.2.

(h) “Interim safety management certificate” means the certificate issued to ro-ro ferries in conformity

with paragraph 1.3.

1.2.

Interim document of compliance

1.2.1. An interim document of compliance may only be issued by an administration to a company when:

1. the company is newly established; or

2. the company assumes for the first time the responsibility for operating a ro-ro ferry not covered by

a document of compliance the company already holds.

(1) The provisions set out in Part B shall be considered an integral part of the corresponding parts of the ISM Code set out

in Part A.

24. 1. 98

‹

EN

‹

Official Journal of the European Communities

L 19/37

1.2.2. Before issuing an interim document of compliance the administration shall verify that the company
has a SMS that meets the objectives of paragraph 1.2.3 of the ISM Code, and has a plan to implement
a SMS that meets the requirements of the ISM Code within the period of validity of the interim docu-
ment of compliance.

1.2.3. The interim document of compliance shall be valid for not more than 12 months.

1.3.

Interim safety management certificate

1.3.1. An interim safety management certificate may only be issued by an administration to a ro-ro ferry

when:

1. the ro-ro ferry is put for the first time into service, after completion of its construction or alteration

resulting in change of type;

2. the operation of the ro-ro ferry is transferred and becomes the responsibility of a company which

previously had not been involved in the operation of the particular ro-ro ferry;

3. the ro-ro ferry is transferred from a flag of another State;

1.3.2. Before issuing an interim safety management certificate the administration shall verify that:

1. the company which operates the ro-ro ferry holds a valid document of compliance or interim docu-

ment of compliance relevant to that ro-ro ferry;

2. the SMS provided by the company for the ro-ro ferry includes key elements of the ISM Code and
has been assessed during the audit for issuance of the document of compliance or demonstrated for
the issuance of the interim document of compliance;

3. the master and relevant senior officer are familiar with the SMS and the planned arrangements for

its implementation;

4. instructions which have been identified as essential to be provided prior to sailing have been given;

5. plans for company audit of the ro-ro ferry within three months exist; and

6. the relevant information on the SMS is given in a working language or languages understood by the

ro-ro ferry’s personnel.

1.3.3. The interim safety management certificate shall be valid for not more than six months. In case the
company has been issued with an interim document of compliance but not yet with a document of
compliance which is valid for the ro-ro ferry, its validity may be extended for a further period not
exceeding six months from the date of the original expiry of the certificate.

1.4. Acceptance and recognition of an interim document of compliance and interim safety

management certificate

1.4.1. An interim document of compliance and an interim safety management certificate complying with
the provisions of this Regulation and issued by the administration of any other Member State or by a
recognised organisation acting on its behalf shall be accepted by each Member State.

1.4.2. An interim document of compliance and an interim safety management certificate issued by, or on
behalf of, the administrations of third countries shall be recognised by a Member State if it is satisfied
that they demonstrate compliance with the provisions of this Regulation.

1.5. Withdrawal of a document of compliance and safety management certificate

1.5.1. The issuing administration shall withdraw the document of compliance if there is evidence of major
non-conformity with the ISM Code. The safety management certificates associated with the document
of compliance shall also be invalidated and withdrawn.

1.5.2. The issuing administration shall withdraw the safety management certificate if there is evidence of

major non-conformity with the ISM Code.

L 19/38

‹

EN

‹

Official Journal of the European Communities

24. 1. 98

2.

CERTIFICATION PROCESS

2.1.

The certification process relevant for the issuance of a document of compliance for a company and a
safety management certificate to 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. periodical or intermediate verification; and
3. renewal verification.

These verifications are carried out at the request of the company to the administration or to the recog-
nized organization 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 observa-
tions on the effectiveness of the safety management system in meeting the specified objectives.

3.

STANDARD OF MANAGEMENT

3.1. Auditors or the audit team managing verification of compliance with the ISM Code shall have com-

petence in relation to:

1. ensuring compliance with the rules and regulations including certification of seafarers, for the ro-ro

ferries operated by the company;

2. the approval, survey and certification activities relevant for the maritime certificates;

3. the terms of reference that must be taken into account under the safety management system as

required by the ISM Code; and

4. practical experience of ship operation.

3.2.

In performing verification of compliance with the provisions of the ISM Code it shall be ensured that
independence exists between the personnel providing consultancy services and those involved in the
certification procedure.

4.

STANDARDS OF COMPETENCE

4.1. Basic competence for performing verification

4.1.1. Personnel who are to participate in the verification of compliance with the requirements of the ISM
Code shall fulfil the minimum criteria for inspectors as laid down in Annex VII paragraph 2 of
Council Directive 95/21/EC (1).

4.1.2. They shall have undergone training to ensure adequate competence and skills for performing verifica-

tion of compliance with the requirements of the ISM Code, particularly with regard to:

1. knowledge and understanding of the ISM Code;
2. mandatory rules and regulations;
3. the terms of reference which the ISM Code requires that 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.

(1) OJ L 157, 7. 7. 1995, p. 1.

24. 1. 98

‹

EN

‹

Official Journal of the European Communities

L 19/39

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 requirements of the
ISM Code, in addition to the basic competence stated above, personnel who are to perform initial veri-
fications or renewal verifications for a document of compliance and a safety management certificate,
must possess the competence to:

1. determine whether the SMS elements conform or do not conform to the requirements of the ISM

Code;

2. determine the effectiveness of the company’s SMS, or that of the ro-ro ferry, to ensure compliance
with rules and regulations as evidenced by the statutory and classification survey records;

3. assess the effectiveness of the SMS in ensuring compliance with other rules and regulations which
are not covered by statutory and classification surveys and enabling verification of compliance with
these rules and regulations; and

4. assess whether the safe practices recommended by the IMO, administrations, classification societies

and maritime industry organizations have been taken into account.

4.2.2. This competence can be accomplished by teams which together possess the total competence

required.

5.

FORMS OF DOCUMENTS OF COMPLIANCE AND SAFETY MANAGEMENT CERTI-
FICATES

The document of compliance, the safety management certificate, the interim document of compliance
and the interim safety management certificate shall be drawn up in the form set out below.

In case these forms are used for companies and ro-ro ferries operating only within one Member State
references to the SOLAS Convention may be deleted.

L 19/40

‹

EN

‹

Official Journal of the European Communities

24. 1. 98

DOCUMENT OF COMPLIANCE

(Official seal)

............................................................
(State)

Issued under the provisions of [the International Convention for the Safety of Life at Sea, 1974, as amended
and] (1) Council Regulation (EC) No 3051/95 on the safety management of roll-on/roll-off passenger ferries
(ro-ro ferries)

Under the authority of the Government of:

.......................................................................................................
(Name of the State)

by:

.............................................................................................................................................................................
(Person or organisation authorised)

Name and address of Company:

..........................................................................................................................

..........................................................................................................................
(See paragraph 1.1.2 of the ISM Code)

THIS IS TO CERTIFY THAT the safety management system of the Company has been audited and that it
complies with the requirements of the International Management Code for the Safe Operation of Ships and
for Pollution Prevention (ISM Code) for the types of ships listed below (delete as appropriate):

Passenger ship
Passenger high-speed craft
Cargo high-speed craft
Bulk carrier
Oil tanker
Chemical tanker
Gas carrier
Mobile offshore drilling unit
Other cargo ship
Ro-ro passenger ship (ro-ro ferry)

This Document of Compliance is valid until ..........................................., subject to periodical verification.

Issued at:

......................................................................................................
(Place of issue of the document)

Date of issue: ................................................................................................

.......................................................................................................................
(Signature of the duly authorised official issuing the document)

(Seal or stamp of issuing authority, as
appropriate)

(1) May be deleted for ships engaged only on voyages within one Member State.

24. 1. 98

‹

EN

‹

Official Journal of the European Communities

L 19/41

ENDORSEMENT FOR ANNUAL VERIFICATION

THIS IS TO CERTIFY THAT, at the periodical verification in accordance with [Regulation 6 of Chapter IX
of the Convention and] (1) Article 5(3) of Council Regulation (EC) No 3051/95, the safety management
system was found to comply with the requirements of the ISM Code.

First annual verification

Signed:

............................................................................
(Signature of authorised official)

Place:

...............................................................................

Date:

................................................................................

Second annual verification

Signed:

............................................................................
(Signature of authorised official)

Place:

...............................................................................

Date:

................................................................................

Third annual verification

Signed:

............................................................................
(Signature of authorised official)

Place:

...............................................................................

Date:

................................................................................

Fourth annual verification

Signed:

............................................................................
(Signature of authorised official)

Place:

...............................................................................

Date:

................................................................................

(1) May be deleted for ships engaged only on voyages within one Member State.

L 19/42

‹

EN

‹

Official Journal of the European Communities

24. 1. 98

SAFETY MANAGEMENT CERTIFICATE

(Official seal)

............................................................
(State)

Issued under the provisions of [the International Convention for the Safety of Life at Sea, 1974, as amended
and] (1) Council Regulation (EC) No 3051/95 on the safety management of roll-on/roll-off passenger ferries
(ro-ro ferries)

Under the authority of the Government of:

.......................................................................................................
(Name of the State)

by:

.............................................................................................................................................................................
(Person or organisation authorised)

Name of ship: ..........................................................................................................................................................

Distinctive number or letters: ................................................................................................................................

Port of registry: ........................................................................................................................................................

Type of ship (2): ........................................................................................................................................................

Gross tonnage: ..........................................................................................................................................................

IMO number: ............................................................................................................................................................

Name and address of Company:

..........................................................................................................................

..........................................................................................................................
(See paragraph 1.1.2 of the ISM Code)

THIS IS TO CERTIFY THAT the safety management system of the ship has been audited and that it
complies with the requirements of the International Management Code for the Safe Operation of Ships and
for Pollution Prevention (ISM Code), following verification that the Document of Compliance for the
Company is applicable to this type of ship.

This Safety Management Certificate is valid until .............................................................................................,
subject to periodical verification and the validity of the Document of Compliance.

Issued at:

......................................................................................................
(Place of issue of the document)

Date of issue: ................................................................................................

.......................................................................................................................
(Signature of the duly authorised official issuing the certificate)

(Seal or stamp of issuing authority, as
appropriate)

(1) May be deleted for ships engaged only on voyages within one Member State.
(2) Insert the type of ship from among the following: passenger ship; passenger high-speed craft; cargo high-speed craft; bulk
carrier; oil tanker; chemical tanker; gas carrier; mobile offshore drilling unit; other cargo ship; ro-ro passenger ship (ro-ro
ferry).

24. 1. 98

‹

EN

‹

Official Journal of the European Communities

L 19/43

ENDORSEMENT FOR PERIODICAL VERIFICATION AND ADDITIONAL VERIFICATION
(if required)

THIS IS TO CERTIFY THAT, at the periodical verification in accordance with [Regulation 6 of Chapter IX
of the Convention and] (1) Article 5(4) of Council Regulation (EC) No 3051/95, the safety management
system was found to comply with the requirements of the ISM Code.

Intermediate verification
(to be completed between the second and
the third anniversary date)

Signed:

............................................................................
(Signature of authorised official)

Place:

...............................................................................

Date:

................................................................................

Additional verification (2)

Signed:

............................................................................
(Signature of authorised official)

Place:

...............................................................................

Date:

................................................................................

Additional verification (2)

Signed:

............................................................................
(Signature of authorised official)

Place:

...............................................................................

Date:

................................................................................

Additional verification (2)

Signed:

............................................................................
(Signature of authorised official)

Place:

...............................................................................

Date:

................................................................................

(1) May be deleted for ships engaged only on voyages within one Member State.
(2) If applicable.

L 19/44

‹

EN

‹

Official Journal of the European Communities

24. 1. 98

INTERIM DOCUMENT OF COMPLIANCE

(Official seal)

............................................................
(State)

Issued under the provisions of [the International Convention for the Safety of Life at Sea, 1974, as amended
and] (1) Council Regulation (EC) No 3051/95 on the safety management of roll-on/roll-off passenger ferries
(ro-ro ferries)

Under the authority of the Government of:

.......................................................................................................
(Name of the State)

by:

.............................................................................................................................................................................
(Person or organisation authorised)

Name and address of Company:

..........................................................................................................................

..........................................................................................................................
(See paragraph 1.1.2 of the ISM Code)

THIS IS TO CERTIFY THAT the safety management system of the Company has been recognised as
meeting the objectives of paragraph 1.2.3 of the International Management Code for the Safe Operation of
Ships and for Pollution Prevention (ISM Code), for the type(s) of ships listed below (delete as appropriate):

Passenger ship
Passenger high-speed craft
Cargo high-speed craft
Bulk carrier
Oil tanker
Chemical tanker
Gas carrier
Mobile offshore drilling unit
Other cargo ship
Ro-ro passenger ship (ro-ro ferry)

This Interim Document of Compliance is valid until: ......................................................................................

Issued at:

......................................................................................................
(Place of issue of the document)

Date of issue: ................................................................................................

.......................................................................................................................
(Signature of the duly authorised official issuing the document)

(Seal or stamp of issuing authority, as
appropriate)

(1) May be deleted for ships engaged only on voyages within one Member State.

24. 1. 98

‹

EN

‹

Official Journal of the European Communities

L 19/45

INTERIM SAFETY MANAGEMENT CERTIFICATE

(Official seal)

............................................................
(State)

Issued under the provisions of [the International Convention for the Safety of Life at Sea, 1974, as amended
and] (1) Council Regulation (EC) No 3051/95 on the safety management of roll-on/roll-off passenger ferries
(ro-ro ferries)

Under the authority of the Government of:

.......................................................................................................
(Name of the State)

by:

.............................................................................................................................................................................
(Person or organisation authorised)

Name of ship: ..........................................................................................................................................................

Distinctive number or letters: ................................................................................................................................

Port of registry: ........................................................................................................................................................

Type of ship (2): ........................................................................................................................................................

Gross tonnage: ..........................................................................................................................................................

IMO number: ............................................................................................................................................................

Name and address of Company:

..........................................................................................................................

..........................................................................................................................
(See paragraph 1.1.2 of the ISM Code)

THIS IS TO CERTIFY THAT the safety management system of the ship complies with the provisions of
[paragraphs 3.3.4 and 3.3.5 of the Guidelines on Implementation of the International Safety Management
(ISM) Code by Administrations and] (1) paragraphs 1.3.2 and 1.3.3 of Part B of the Annex to Council Regula-
tion (EC) No 3051/95.

This Interim Safety Management Certificate is valid until: ...............................................................................

Issued at:

......................................................................................................
(Place of issue of the document)

Date of issue: ................................................................................................

.......................................................................................................................
(Signature of the duly authorised official issuing the certificate)

(Seal or stamp of issuing authority, as
appropriate)

(1) May be deleted for ships engaged only on voyages within one Member State.
(2) Insert the type of ship from among the following: passenger ship; passenger high-speed craft; cargo high-speed craft; bulk
carrier; oil tanker; chemical tanker; gas carrier; mobile offshore drilling unit; other cargo ship; ro-ro passenger ship (ro-ro
ferry).

L 19/46

‹

EN

‹

Official Journal of the European Communities

24. 1. 98

The validity of this Interim Safety Management Certificate is exended to: ...................................................

Date of extension: ........................................................................................

.......................................................................................................................
(Signature of the duly authorised official extending the validity)

(Seal or stamp of issuing authority, as
appropriate)’