Ship Safety

Safety at sea: ship inspection and survey organisations

The European Union (EU) has established a legal framework that applies to the recognition and monitoring of the activities of organisations responsible for carrying out ship inspections and surveys on behalf of EU countries in their capacity as flag states.

Regulation (EC) No 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations.

It creates a system of licensing (recognition), which is subject to a number of criteria and obligations to ensure that a recognised organisation applies the same rigour to all ships in its register, irrespective of the flag the ships fly.

EU recognition scheme

EU countries must submit a request to the European Commission (EC) to gain recognition for an organisation.

Recognition is granted and managed centrally by the EC. It is a prerequisite for any organisation to be authorised by an EU country to perform statutory inspections and surveys of ships flying its flag (Directive 2009/15/EC).

To obtain recognition, the organisation must comply with the following minimum criteria:

have a legal personality;
have professional excellence;
have experience;
be independent;
be governed by a code of ethics; and
use a certified quality management system.

The EC may require the organisation to take preventive and remedial action if it fails to fulfil the requirements or when its performance in the areas of pollution prevention and safety has worsened significantly.

Fines, periodic penalty payments and withdrawal of recognition

The EC may impose fines on a recognised organisation when worsening performance or serious or repeated failure to meet the minimum criteria or obligations of this regulation reveals serious shortcomings in the organisation’s structure, systems, procedures or internal controls. A fine may also be imposed if the organisation provides deliberately incorrect or incomplete information in the context of its assessment.

The EC may also decide to issue periodic penalty payments against the recognised organisation if it does not implement the required remedial and preventive measures.

The EC may decide, upon request from an EU country or on its own initiative, to withdraw recognition under specific circumstances. These may arise, in particular, when there is either serious and repeated failure to meet the regulation’s minimum criteria or requirements, or poor performance constitutes an unacceptable threat to safety or the environment.

Commission Regulation (EU) No 788/2014 lays down detailed rules for the imposition of fines and periodic penalty payments and the withdrawal of recognition.

Assessment of organisations

The EC, together with the EU country which submitted the request for recognition, must assess the recognised organisations at least every 2 years. Assessors must check compliance with the obligations and minimum criteria and pay special attention to safety, pollution prevention and casualty records.

Rules and procedures

Recognised organisations are requested to consult with each other with the aim of harmonising their rules and procedures and defining the conditions required for the mutual recognition of the class certificates issued for materials, equipment and components. Certificates of marine equipment conforming to Directive 96/98/EC (or, after 18 September 2016, Directive 2014/90/EU) must be accepted by recognised organisations for classification purposes.

Independent quality assessment and certification entity

Recognised organisations must set up an independent quality assessment and certification entity which is responsible for assessing and certifying their quality management systems. The work of the entity must be periodically assessed by the EC.

KEY TERMS

Rules and procedures: the technical standards produced by a recognised organisation for the design, construction, equipment, maintenance and survey of ships.

Recognised organisation: an organisation recognised in accordance with Regulation (EC) No 391/2009.

Class certificate: a document issued by a recognised organisation certifying the fitness of a ship for a particular use or service in accordance with the rules and procedures laid down by that organisation.

REFERENCES

Directive 2009/15/EC, adopted at the same time as Regulation (EC) No 391/2009, sets up the legal framework governing relations between Member States and recognised organisations.

Regulation (EC) No 391/2009

EU sea safety: ship inspection and survey organisations

The European Union (EU) has established a legal framework governing the relationships between EU countries and the recognised organisations* designated to carry out inspections, surveys and the certification of ships on their behalf.

Directive 2009/15/EC of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations.

It lays down the rules and conditions under which an EU country, as a flag state, may authorise a recognised organisation to perform statutory inspections and certifications on its behalf.

Authorisation of recognised organisations

EU countries must ensure their administrations implement the relevant international conventions* concerning the inspection and certification of ships flying their flag.

An EU country may authorise organisations to undertake fully or in part the inspections and surveys related to the issuing or renewal of ships’ statutory certificates*. It may entrust these duties only to recognised organisations.

Duties relating to the issue of cargo ship safety radio certificates may, however, be assigned to approved private bodies with sufficient expertise and qualified personnel.

An EU country must not refuse to authorise any recognised organisations. It may however decide to limit the number of organisations to be authorised on the basis of objective and non-discriminatory criteria.

Organisations located in non-EU countries can be recognised at EU level and subsequently authorised by EU countries’ administrations. In these cases, reciprocal authorisation arrangements may be requested.

Working relationships

When an EU country authorises a recognised organisation, it sets up a ‘working relationship’ with it. This is governed by an agreement, containing clauses relating to financial liability, the periodic audit of duties, random and detailed inspections of ships and the compulsory reporting of class-related information (a ship ‘class’ is a group of ships with the same design). Authorised organisations may be required to have local representation in the country concerned.

EU countries must inform the European Commission of the working relationships that they have established.

An EU country may suspend or withdraw a recognised organisation’s authorisation if it considers that the organisation no longer meets the conditions to fulfil its duties.

Monitoring

EU countries must ensure that recognised organisations acting on their behalf carry out their duties effectively. They should monitor them every 2 years and should inform EU countries and the Commission of the results of these monitoring activities.

When monitoring ships as a port state, an EU country must inform the Commission and other EU countries if:

a ship with a valid statutory certificate does not in fact fulfil the relevant requirements of international conventions;
a ship carrying a valid class certificate* is found deficient in regard to items covered by that certificate.

An EU country should only report cases of ships posing a serious threat to safety and the safety and the environment or where there is evidence of particularly negligent behaviour on the part of the recognised organisation. Organisations must be kept informed so that they may take the necessary corrective measures.

BACKGROUND

This directive was adopted in parallel with Regulation (EC) No 391/2009 on common rules and standards for ship inspection and survey organisations. The 2 instruments repeal Directive 94/57/EC. The regulation creates a system of licensing at EU level which is a prerequisite for any organisation to be authorised by an EU country in the context of Directive 2009/15/EC.

Recognised organisation: an organisation recognised in accordance with Regulation (EC) No 391/2009 on common rules and standards for ship inspection and survey organisations (see background).

International conventions: the International Convention for the Safety of Life at Sea of 1 November 1974 (SOLAS 74) with the exception of Chapter XI-2 of the Annex thereto; the International Convention on Load Lines of 5 April 1966; the International Convention for the Prevention of Pollution from Ships of 2 November 1973 (MARPOL); together with the protocols and amendments thereto and the related codes of mandatory status in all EU countries, with the exception of paragraphs 16.1, 18.1 and 19 of part 2 of the IMO instruments implementation code, and of sections 1.1, 1.3, 3.9.3.1, 3.9.3.2 and 3.9.3.3 of part 2 of the IMO code for recognised organisations, in their up-to-date version.

* Statutory certificate: a certificate issued by or on behalf of a flag state in accordance with the international conventions.

* Class certificate: a certificate of the fitness of a ship for a particular use or service issued in accordance with the recognised organisation’s rules and procedures.

REFERENCES

Directive 2009/15/EC

Directive 2014/111/EU

Regulation (EC) No 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations (Official Journal L 131 of 28.5.2009, pp. 11-23). Consolidated version.

Safety of ro-ro passenger ships and high-speed passenger craft

Directive (EU) 2017/2110 on a system of inspections for the safe operation of ro-ro passenger ships and high-speed passenger craft in regular service

It lays down rules for a system of inspections and safe operation of ro-ro passenger ships and high-speed passenger craft in regular service.

Scope and definitions

The directive applies to the following, carrying 12 or more passengers:

ro-ro passenger ships, defined as ships equipped for road or rail vehicles to roll on and roll off the vessels when in port;
high speed passenger ships, defined as craft capable of a maximum speed of at least 3.7 x v0.1667 in metres per second, (where v = the craft’s displacement in cubic metres), but excluding hydrofoil-type craft;
regular service is when the craft operate between the same 2 or more ports, or a series of voyages from and to the same port without intermediate calls, to a published timetable; or with systematic regular or frequent crossings.

Inspections

EU countries must carry out inspections as follows:

pre-commencement inspection before craft are put into regular service;
subsequent inspections every 12 months;
regular service inspections 4-8 months after annual inspections;
inspections after major repairs or modification, or when there is a change of management.

The inspections should meet the statutory requirements of the EU country concerned, and cover subdivision and stability, machinery and electrical installations, loading and stability, fire protection, maximum number of passengers, life-saving appliances and the carriage of dangerous goods, radiocommunications and navigation.

Compliance with the the following is verified:

information for the master on shore-based navigational guidance systems is available;
a table with the shipboard working arrangements is posted including a schedule of service at sea and in port; and the maximum hours of work or the minimum hours of rest required for watchkeepers;
the master is not constrained from taking any decisions necessary for safe navigation and operation, in particular in severe weather and in heavy seas;
the master keeps a record of navigational activities and incidents important for safety;
any damage to shell doors and deficiencies in securing the doors, are promptly dealt with;
an up-to-date voyage plan is available before the departure;
general information about the services and assistance available to elderly and disabled persons on board is made known.

The inspection checklist also includes:

emergency generator start up;
emergency lighting;
emergency power for radios;
public address system;
fire drill, including a demonstration of the ability to use firemen’s outfits;
operation of the emergency fire-pump with two firehoses connected to the fire main line in operation;
testing the remote emergency stop controls for fuel supply to boilers, main and auxiliary engines, and ventilation fans;
testing of controls for the closing of fire dampers;
testing of fire detection and alarm systems;
testing fire door closing;
bilge pump operation;
remote and local closing of watertight bulkhead doors;
demonstration that key crew members are acquainted with the damage control plan;
launch and recovery of at least one rescue boat and one lifeboat, testing propulsion and steering;
checking that lifeboats and rescue boats correspond to the inventory;
testing steering gear and auxiliary steering gear.

There must also be evidence that crew have undergone training in:

crowd-management;
safety training for personnel providing direct safety assistance to passengers, particularly elderly and disabled persons, in an emergency; and
crisis management and human behavior.

The following are checked during regular service inspections:

passenger information;
loading and stability information;
‘secured for sea’ procedures;
safety announcements;
log book entries;
dangerous goods;
securing freight vehicles;
vehicle decks;
closure of watertight doors;
fire patrols;
communications in an emergency;
common working language between crew members;
safety equipment;
navigational and radio equipment;
supplementary emergency lighting;
means of escape;
engine room cleanliness;
rubbish disposal;
planned maintenance;
making a voyage.

Rectification of deficiencies

The inspector draws up a report, with a copy going to the ship’s master. EU countries should ensure that any deficiencies are rectified. Companies have the right of appeal. Where deficiencies are clearly hazardous to health or safety or pose an immediate danger to health or life, the craft is made subject to a prohibition from departure order until the deficiency has been rectified and all danger averted.

Costs

Where inspections confirm deficiencies leading to prohibition of departure, all costs relating to the inspections will be the responsibility of the operator.

DOCUMENTS

Directive (EU) 2017/2110 of the European Parliament and of the Council of 15 November 2017 on a system of inspections for the safe operation of ro-ro passenger ships and high-speed passenger craft in regular service and amending Directive 2009/16/EC and repealing Council Directive 1999/35/EC (OJ L 315, 30.11.2017, pp. 61-77)

It entered into force on 20 December 2017. EU countries have until 21 December 2019 to transpose this legislation into national law and have to apply it thereafter.

Directive 2009/16/EC of the European Parliament and of the Council of 23 April 2009 on port State control (OJ L 131, 28.5.2009, pp. 57-100)

Successive amendments to Directive 2009/16/EC have been incorporated into the original document. This consolidated version is of documentary value only.

Maritime safety: port State control

Directive 2009/16/EC on port State control

It aims to reduce substandard shipping in EU waters by:
ensuring ships respect EU and international maritime safety and environmental rules;
establishing common criteria for ship inspections.
It recasts Directive 95/21/EC on port State control of shipping which had been substantially amended several times.

KEY POINTS

The legislation applies to any eligible ship and its crew calling at, or anchored in, an EU port.
EU governments must ensure they have a sufficient number of qualified inspectors with the necessary resources to carry out the inspections.

All eligible ships using an EU port are given a risk profile in the THETIS inspection database. This is based on criteria such as the type and age of a vessel, and determines the thoroughness and frequency of the inspections.
To make the planning of inspections easier, THETIS is linked to the SafeSeaNet system which provides information on ships in, or expected at, all EU ports.

Annual inspections are compulsory for ships with a high-risk profile and are optional for others.
Priority is given to inspecting vessels that infrequently dock at EU ports.

Initial inspections check that certificates and documents are in order and assess a ship’s overall condition.
If deficiencies are discovered, the ship is subject to a more detailed inspection.
More detailed inspections are reserved for high-risk profile vessels, passenger ships, and oil, gas, chemical and bulk carriers over 12 years of age.
Any deficiencies discovered must be rectified. If these are clearly a risk to safety, health or the environment, the vessel is detained until they are made good.
National authorities may refuse port access to ships which have been detained more than twice during the previous 2 to 3 years.
Shipowners or operators may appeal against any detention or refusal of access.

The European Commission maintains and updates the inspection database. It regularly publishes details of companies with low or very low compliance rates on the THETIS website.

The legislation does not cover:
fishing or naval support vessels;
warships;
certain types of wooden ships; or
private yachts.

The directive was amended by Directive (EU) 2017/2110 which widens the scope of Directive 2009/16/EC to include inspections of ro-ro (roll-on/roll-off) passenger ships and high-speed passenger ships in regular service. Before these ships start to operate on a regular service, the relevant authorities must inspect them to ensure that they fulfil the requirements for the safe operation of a regular service. If a ship has been inspected by another EU country within the previous 8 months and deemed satisfactory to safely operate a regular service, the ship does not need to undergo a further inspection.

DOCUMENT

Directive 2009/16/EC of the European Parliament and of the Council of 23 April 2009 on port State control (Recast) (OJ L 131, 28.5.2009, pp. 57-100)It has applied since 17 June 2009. Directive 2009/16/EC revised and replaced Directive 95/21/EC (and its subsequent amendments). The new rules contained in Directive 2009/16/EC had to become law in the EU countries by 2010

Successive amendments to Directive 2009/16/EC have been incorporated in the original text. This consolidated version is of documentary value only.

Safer and less polluting equipment on EU ships

Safety standards for equipment on board ships are set internationally. European legislation is necessary to ensure these requirements are applied uniformly on board ships flying the flag of any European Union (EU) country.

Directive 2014/90/EU of the European Parliament and of the Council of 23 July 2014 on marine equipment and repealing Council Directive 96/98/EC.

The directive:

improves safety at sea;
prevents marine pollution;
ensures international safety standards for equipment on EU ships are interpreted in the same way across the EU.

It imposes extra conditions on the national authorities responsible for certifying equipment on ships flying their flag (under international conventions) when issuing, endorsing or renewing certificates.

KEY POINTS

The directive applies to all ships flying an EU flag, whether or not the vessel was in the EU when the equipment was fitted.
Equipment that meets the safety standards is stamped with a certification mark (the ‘wheel mark’).

Alternatively (instead of the wheel mark), equipment manufacturers may attach an electronic tag to their products. This should make it easier to prevent counterfeiting and to monitor the market.

Manufacturers must keep all technical documentation for at least 10 years after the initial approval of the equipment is given.
If national authorities believe any equipment covered by the legislation presents a risk to maritime safety, people’s health or the environment, or if it does not comply with the legislation, its supplier must withdraw it.

BACKGROUND

International maritime safety conventions require countries to ensure that the equipment on ships sailing under their flag meet certain design, construction and performance standards.

However, countries are given a significant degree of discretion in how they do this, which can lead to varying levels of safety and could disrupt the free flow of goods across the EU.

By implementing standardised EU certification rules, these problems are avoided and the single market works as it was designed to.

REFERENCES

Directive 2014/90/EU

Maritime safety: European Maritime Safety Agency

The European Maritime Safety Agency (EMSA) seeks to ensure a high, uniform and effective level of maritime safety and maritime security in the European Union. It also works to prevent pollution and respond to pollution caused by ships or by oil and gas installations.

Regulation (EC) No 1406/2002 of the European Parliament and of the Council of 27 June 2002 establishing a European Maritime Safety Agency.

This regulation sets up EMSA, which is based in Lisbon. The agency provides technical assistance and support to the European Commission and EU countries in regard to the development, application and evaluation of EU law on maritime safety, security and pollution.

EMSA has core and support tasks.

Core tasks

Assistance in the preparatory work for updating and developing relevant EU laws.
Visits and inspections in the EU countries for the effective implementation of relevant binding EU legal acts.
Training activities and technical assistance for national administrations.

Supporting pollution response actions in cases of pollution caused by ships and oil and gas installations (EMSA provides operational assistance only on the request of the affected country).

EMSA also operates the European Union Long-Range Identification and Tracking of Ships European Data Centre and the EU’s Maritime Information and Exchange System (SafeSeaNet). The agency may also provide operational support concerning investigations where there have been deaths or serious injuries.

Support tasks

EMSA only assumes these tasks if they create substantial added value and avoid duplication of effort and do not infringe on EU countries’ rights and obligations. These tasks relate to environmental matters, the earth observation programme GMES (now Copernicus) and inland waterways.

EMSA visits and inspections

EMSA visits countries to assist the Commission and national administrations to check the effective implementation of EU rules and ensure a high and uniform level of safety. The agency carries out inspections with classification societies, as well as in non-EU countries regarding the training and certification of seafarers.

Structure

EMSA is an EU body and has legal personality. Its staff consists of officials recruited by the agency and EU officials and EU countries’ civil servants temporarily assigned or seconded to the agency. It is headed by an executive director who is completely independent in the performance of his/her duties.

Its Administrative Board comprises representatives from the Commission and each EU country, all of whom have a vote. It also includes representatives from Iceland and Norway and professionals from four maritime sectors, none of whom can vote. Its term of office is 5 years and is renewable once.

Budget

Regulation (EU) No 911/2014 provides for a multiannual funding plan of €160.5 million for EMSA’s response to pollution activities for the 2014-20 period. EMSA’s overall budget comprises a main contribution from the EU budget and additional contributions from non-EU countries involved in its work. The agency may also charge for publications, training and any other service that it provides.

BACKGROUND

Two accidents (the Erika in 1999 and the Prestige in 2002) resulted in oil spills in European waters. Both caused serious environmental and economic damage to the French and Spanish coasts. This prompted the setting-up of EMSA in 2003 to ensure that Europe is prepared for large-scale oil spills.

REFERENCES

Regulation (EC) No 1406/2002

Regulation (EC) No 1644/2003

Regulation (EC) No 724/2004

Regulation (EC) No 2038/2006

Regulation (EU) No 100/2013

The successive amendments and corrections made to Regulation (EC) No 1406/2002 have been incorporated into the basic text. This consolidated version is for reference purposes only.

Liability of ship owners in the event of accidents

Passengers involved in maritime accidents must have an adequate level of compensation for any loss or damage they suffer. To ensure this, ship owners must have appropriate insurance arrangements in place.

Regulation (EC) No 392/2009 of the European Parliament and of the Council of 23 April 2009 on the liability of carriers of passengers by sea in the event of accidents

It lays down harmonised rules on liability and insurance for shipping companies carrying passengers by sea. It introduces into European law the provisions of the 1974 Athens Convention on the carriage of passengers and their luggage by sea and guidelines from the International Maritime Organisation.

KEY POINTS

The legislation applies to all ships flying an EU country flag, travelling to or from a European port, or under a European contract of carriage (i.e. a contract between the carrier and its passengers defining rights, duties and liabilities).
The legislation currently applies to both international and domestic voyages, but it does not apply to domestic voyages in the course of which the ship is less than 5 miles from the coastline.

The operators’ liability covers passengers and their luggage and vehicles, as well as mobility equipment for persons with reduced mobility.
For any injury or damage caused by a shipping incident (i.e. shipwreck, capsizing, collision or stranding, fire or explosion, or other defect of the ship), victims do not need to prove fault on the part of the carrier in order to be compensated.

Ship operators must make an advance payment to cover the immediate economic needs of a passenger who is killed or injured in a shipping incident. This payment does not imply the shipping company acknowledges liability.

The minimum advance payment for the death of a passenger is €21,000.
Shipping companies must provide passengers with understandable information on their rights.

This information must be available at all points of sale, including by phone and the internet, and provided before, or at the latest on, departure.
The European Commission, no later than 3 years after the legislation takes effect (31 December 2012), must produce a report on how it is being applied.
EU governments may postpone application of the legislation for ships involved in purely domestic voyages covered by the regulation. For vessels which travel less than 20 miles from the shore, the deadline is 31 December 2018 at the latest. For all others, the deadline is 31 December 2016.

REFERENCES

Regulation (EC) No 392/2009

Regulation (EU) No 911/2014 of the European Parliament and of the Council of 23 July 2014 on multiannual funding for the action of the European Maritime Safety Agency in the field of response to marine pollution caused by ships and oil and gas installations (Official Journal L 257, 28.8.2014, pp. 115-120).

Directive 2009/16/EC of the European Parliament and of the Council of 23 April 2009 on port State control (Official Journal L 131, 28.5.2009, pp. 57-100).

Directive 2005/35/EC of the European Parliament and of the Council of 7 September 2005 on ship-source pollution and on the introduction of penalties for infringements (Official Journal L 255, 30.9.2005, pp. 11-21).

Directive 2002/59/EC of the European Parliament and of the Council of 27 June 2002 establishing a Community vessel traffic monitoring and information system and repealing Council Directive 93/75/EEC (Official Journal L 208, 5.8.2002, pp. 10-27).