EUROPEAN COMMISSION

Brussels, 23.5.2018

COM(2018) 314 final

2018/0159(NLE)

Proposal for a

COUNCIL RECOMMENDATION

on safety goals and functional requirements for passenger ships below 24 meters in length

{SWD(2018) 238 final}

EXPLANATORY MEMORANDUM

1.CONTEXT OF THE PROPOSAL

•Reasons for and objectives of the proposal

On 20 December 2017, the amendments to Directive 2009/45/EC of the European Parliament and of the Council 1 entered into force, excluding small passenger ships (i.e. ships below 24 m in length) from its scope, with effect from 21 December 2019. This resulted from the recommendations of the Regulatory Fitness and Performance Programme (REFIT) Fitness Check on EU passenger ship safety legislation 2 .

Directive 2009/45/EC has brought about a common high safety level across the EU and important internal market benefits. However, it failed to do so regarding small ships (below 24 meters in length) for which several key safety aspects have not been harmonised (reflecting the difficulty to apply the current prescriptive standards in a common manner to the large variety of small ships and conditions they operate in throughout the EU). It became also clear that the wide range of services that these vessels are built for produces a very broad range of designs and technical solutions. This made identifying a common set of detailed rules extremely challenging and necessitated a different regulatory approach.

Furthermore, only ca. 60 small steel ships out of ca 1950 small ships in total have been certified under Directive 2009/45/EC. This is due to the fact that a large majority of small ships is currently built in other materials than steel (wood, ca. 1000 ships, composite material, ca. 590 ships, and aluminium, ca. 170 ships). For such ships, no common standards or safety benchmark currently exist, either at EU or international level. Every Member State has a different approach to regulating their safety leading to differences in measures, approaches and interpretations, which makes the construction of ships for a wider internal market a challenge.

The absence of harmonised safety standards presents an important challenge especially for smaller European shipowners, relying on the second hand market with small passenger ships (72% out of ca. 360 shipowners with passenger ships under Directive 2009/45/EC have only one domestic passenger ship). In case the ship is not certified according to the Directive, mutual recognition should, in principle, apply. In practice, however, every ship is close to being a prototype, i.e. built for a specific purpose according to technical specifications determined by its future owner. In case of the flag change, the ship needs to be therefore modified and re-certified – with the associated additional costs that this implies.

Concerning the accident statistics, as reported in the accompanying Staff Working Document, the data since 2011 has not shown any imminent safety concern. For small domestic passenger ships outside the scope of the Directive, 555 accidents were recorded between 2011 and 2017 in the European Marine Casualty Information Platform (EMCIP), with 165 injured people and 11 fatalities. This means approximately 2 fatalities every 100 accidents and 1 person injured every 3 accidents.

Nonetheless, the absence of certain requirements in some Member States (e.g. on subdivision of small ships) or the variety of requirements concerning e.g. fire insulation, creates the need for further consideration of the achieved safety level (determined by additional measures tailored to local and geophysical conditions, such as navigation restrictions).

The proposed safety goals and functional requirements for small passenger ships below 24 m in length provide for recommended principles for the safety of these vessels that would, if embraced by Member States and further developed, pave the way for a more common approach as regards safety for small passenger ships operating on domestic voyages within EU waters.

This new approach, based on performance rather than prescriptive requirements, would leave a degree of freedom to adjust for local circumstances where necessary and promote innovative designs. It also better reflects the wide variety of designs, materials and operation of small passenger ships, which are more sensitive to local operational conditions.

The proposal therefore seeks to invite Member States to embrace the recommended performance based safety approach for small passenger ships.

•Consistency with existing policy provisions in the policy area

The proposal is fully consistent with Directive (EU) 2017/2108, particularly its recital 8 where the co-legislators invited the Commission to adopt guidelines for small passenger ships as soon as possible, so Member States can take them into account when determining their own national safety standards. Such guidelines should take into consideration any international agreements and conventions by the International Maritime Organization (IMO), as appropriate, and should avoid introducing additional requirements that go beyond existing international rules. The objective is to pave the way for a more common approach as regards safety for small passenger ships operating on domestic voyages within EU waters. 

The proposal is fully in line with the REFIT fitness check recommendations on developing guidelines or standards for small vessels, based on functional requirements as part of a goal based standard framework. The recommendation builds primarily on experiences gained and lessons learned at international level in the framework of IMO.

•Consistency with other Union policies

The proposal delivers on the Commission's Better Regulation agenda by ensuring that the EU action is necessary, adds value and keeps pace with evolving political, societal and technological developments. It also delivers on the goals of the 2018 Maritime Transport Strategy 3 by ensuring, among others, quality ferry services in regular intra-EU passenger transport.

2.LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

•Legal basis

The proposal is based on Article 292 of the Treaty on the Functioning of the European Union (TFEU), according to which the Council adopts recommendations acting on a proposal from the Commission, in conjunction with Article 100 (2) TFEU which foresees measures related to sea transport.

•Subsidiarity (for non-exclusive competence)

This initiative aims at facilitating the transfer of ships between national registers and allowing for the competition to take place on equal footing, without compromising the safety level. It also provides for a recommended common safety level at the EU for small passenger ships operating on domestic voyages within EU waters. Neither of these objectives could be achieved by unilateral action at the level of Member States.

•Proportionality

The recommendation provides Member States with a non-binding benchmark on safety level of small passenger ships, which, should Member States decide to guide themselves by the common safety goals and functional requirements, would send a clear signal on the internal market potential and could be further built upon. The REFIT fitness check recommended the performance based standards framework for small passenger ships as the only regulatory approach that would be proportionate and generate EU added value. This approach leaves a degree of freedom to adjust for local circumstances where necessary and promotes innovative designs.

•Choice of the instrument

In view of the novelty of the proposed approach, its uptake by EU Member States is key to its success. Therefore, the proposed safety goals and functional requirements are put forward to Member States as an inspiration and guidance. This initiative takes the form of a Commission Proposal for a Council Recommendation, to seek the endorsement of the proposed approach by the Council in a non-binding instrument.

3.RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

•Ex-post evaluations/fitness checks of existing legislation

This initiative follows on the recommendations of the fitness check driven by the Commission's Regulatory Fitness and Performance (REFIT) Programme. The fitness check showed that the key objectives of the EU passenger ship safety legislation related to passenger safety and internal market remain highly relevant. However, among others it also identified a number of substantial issues, including the possibility to develop harmonised standards for ships built from non-steel or equivalent materials, currently not covered by the EU regulatory framework. Results of the fitness check and the corresponding follow-up actions were described in the Commission's report.

•Stakeholder consultations

The proposed safety goals and functional requirements for small passenger ships (the Small Passenger Ship Guide) 4 have been developed with national experts and stakeholder organisations in the framework of the Passenger Ship Safety (PSS) Expert Group, which has been enlarged for this purpose to include stakeholder observers. The technical work has been coordinated by the European Maritime Safety Agency, which organised a specific workshop on 13 November 2017 in addition to the regular meetings of the PSS Expert Group and coordinated a correspondence group set up for this purpose.

While the large majority of experts from national competent authorities and stakeholder organisations have been supportive to this initiative, there were some questions on the need for and value added of this initiative. The overview of and feedback provided to these questions is reported in the accompanying Staff Working Document.

Furthermore, an online consultation was organised between July and November 2017 5 . This consultation was targeted at economic operators involved in building of and trading with passenger ships below 24 meters in length, such as shipyards, designers, owners and operators thereof. All other stakeholders could contribute to this consultation as they felt fit. This consultation was launched to collect views of economic operators, especially the small and very small ones, on the extent to which common EU rules for small passenger ships could facilitate the internal market with small passenger ships. The consultation also aimed at gathering anecdotal evidence in support thereof. It complemented the above mentioned consultation with national authorities and stakeholders that focused on the technical development of the safety goals and functional requirements themselves.

Overall, the results have shown that this initiative is strongly supported by economic operators (as well as a few national administrations who also submitted their replies or positions) and that common EU safety rules for small passenger ships are seen to have very positive or positive impact on establishing and facilitating internal market with these vessels, increasing competition and possibly also innovation on the market. In their general comments the respondents stressed that any common EU rules should be based on existing practices and should be sufficiently flexible to allow for local operating conditions and expertise to be well reflected.

In view of the novelty of the recommended approach, the adoption of common EU rules has been considered premature. Further development of common performance based safety framework for small passenger ships would necessitate to identify and assess, jointly with the Member States and stakeholders, how this could be done at the EU level and impacts thereof.

•Collection and use of expertise

Concerning the data on the fleet and accidents, this initiative builds on the data collected during the REFIT fitness check process and reported in the Commission Staff Working Document 'Adjusting course: EU Passenger Ship Safety Legislation Fitness Check', adopted in 16 October 2015 6 . Findings of external study carried out in support of the fitness check have also been used 7 , as well as the results of the previous work on this issue. The European Maritime Safety Agency (EMSA) provided the key technical assistance in this process, including an overview of the most relevant existing practices for these ships.

•Impact assessment

The proposal does not define any specific safety standards or procedures and is therefore not expected to have any direct significant impacts or policy alternatives that could be assessed ex-ante. The recommended safety goals and functional requirements have been developed on the basis of existing practices and jointly with Member States' experts and stakeholder organisations. At this stage, they are put forward to Member States as an inspiration and guidance, to demonstrate that a more common approach to the safety of passenger ships is feasible. In no case they are intended to be applied in a mandatory manner.

The proposal is accompanied by a Commission Staff Working Document that describes the relevant existing practices and reports on the stakeholder input. Should the Commission decide in the future to follow-up on this initiative with the development of specific safety standards or procedures, an impact assessment will be carried out.

•Regulatory fitness and simplification

This initiative is based on the so-called performance based standards framework that has been identified in the REFIT fitness check as the only regulatory approach that would be proportionate and generate EU added value. Should Member States decide to guide themselves by the common safety goals and functional requirements for this type of ships at EU level, this would send a clear signal on the internal market potential that could be further built upon.

Given that this initiative does not, at this stage, aim at defining any specific safety standards or procedures and given that its uptake will be left entirely to the decision of Member States, it is not expected to have any immediate quantifiable savings and benefits. Such impacts would be quantified in case this initiative is successfully taken up and further developed.

•Fundamental rights

The proposal has no consequences for the protection of fundamental rights

4.BUDGETARY IMPLICATIONS

The proposal has no implications for the Union budget.    

5.OTHER ELEMENTS

•Implementation plans and monitoring, evaluation and reporting arrangements

•Explanatory documents (for directives)

Explanatory documents are not required for this type of initiative.

•Detailed explanation of the specific provisions of the proposal

As regards the scope of the proposed safety goals and functional requirements (the Small Passenger Ship Guide), the aim is to cover all small passenger ships below 24 m in length, irrespectively of the material they are built from. The Small Passenger Ship Guide has been inspired by the existing performance based regulatory approaches and corresponds to the first two tiers of the goal based standard model of the International Maritime Organization and the experience with its application.

The structure of the proposed Small Passenger Ship Guide follows the safety categories and sub-categories in existing maritime conventions and codes, i.e. safety category (Chapter) and safety sub-category (Regulation), including (a) functional requirement; (b) hazard addressed; and (c) performance requirement.

The experience has shown that defining a separate layer of goals for each specific functional requirement proved to have relatively little added value. Accordingly, in the Small Passenger Ship Guide, the goals and functional requirements have been merged. Nonetheless, and on the basis of the feedback from experts, a number of general goals have been designed for the Guide in its entirety (rather than for each requirement).

The functional requirements have been extracted from or inspired by existing sources and experiences at international as well as national level, including the 1974 SOLAS Convention, the ongoing work at the International Maritime Organization, national legislation of Sweden as well as rules of ANEP 77. Where available, the same sources were used to establish the hazards addressed and the corresponding performance requirements. The wording of the functional requirements has been fine-tuned together with the experts, as described in detail in the accompanying Staff Working Document. In case of diverging views, the solution supported by the majority of experts has been retained.

Finally, the Small Passenger Ship Guide has been carefully worded to avoid, as much as possible, qualitative wording and specific technical solutions to avoid ambiguity and not to hinder innovation.

2018/0159 (NLE)

Proposal for a

COUNCIL RECOMMENDATION

on safety goals and functional requirements for passenger ships below 24 meters in length

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 292 and Article 100(2) thereof,

Having regard to the proposal from the European Commission,

Whereas:

(1)Directive (EU) 2017/2108 of the European Parliament and of the Council 8 which was adopted on 15 November 2017 excluded passenger ships below 24 meters in length (‘small passenger ships’) made of steel or an equivalent material from the scope of Directive 2009/45/EC of the European Parliament and of the Council 9 following the recommendations of the Regulatory Fitness and Performance Programme (REFIT) fitness check on EU passenger ship safety legislation 10 . This amendment will be applicable from 21 December 2019.

(2)The fitness check has shown that the prescriptive requirements of Directive 2009/45/EC which derived from the 1974 International Convention for the Safety of Life at Sea (the ‘1974 SOLAS Convention’) have proven difficult to adapt to small passenger ships. In the absence of specific safety concerns and adequate standards provided by Directive 2009/45/EC, ships below 24 m in length have been therefore excluded from the scope of that Directive.

(3)Small passenger ships are built mainly from materials other than steel and the vast majority of this fleet was therefore already certified under national legislation. Member States have different approaches to regulating the safety of small passenger ships, which leads to differences in safety rules and standards. Such divergence constitutes an important challenge especially for smaller ship-owners in the Union, who rely on the second hand market of small passenger ships. This has been confirmed by the results of the open consultation, with the majority of respondents being micro or small enterprises. The consultation has shown that a more common approach to safety rules for small passenger ships could have a positive impact on the functioning of the internal market in this field.

(4)An internal market for recreational craft has been established by Directive 94/25/EC of the European Parliament and of the Council 11 , harmonising safety characteristics of recreational craft in all Member States and removing thereby obstacles to trade therein between Member States. This is not the case for small passenger ships.

(5)The fitness check recommended a performance standards framework as the only approach that could be proportionate and could generate added value at Union level. Such approach would leave a degree of freedom to adjust to local circumstances, where necessary, and promote innovative designs, subject to verification that the required safety level is met. In comparison to a prescriptive regulatory framework, it would better reflect the wide variety of designs, materials and operation of small passenger ships, as well as the fact that Member States are better placed to assess the local limitations on navigation for small passenger ships in terms of distance to coast or port and weather conditions.

(6)The safety goals and functional requirements annexed to this Recommendation are based on such performance standards framework, as well as the existing international, Union and national experience. They have been developed jointly with Member States' experts and stakeholders and could, if embraced by Member States and further developed, provide a reference for passengers sailing domestically on those ships in Union waters. They could facilitate access for Union manufacturers and operators to the wider Union market as well.

(7)The present Recommendation includes safety goals and functional requirements which are better adapted to small passenger ships. Member States should therefore be invited to guide themselves by the safety goals and functional requirements annexed in this recommendation, in view of achieving a more common approach towards safety rules applicable to small passenger ships.

HAS ADOPTED THIS RECOMMENDATION:1.Member States are invited to pave the way towards a more common approach to safety rules for passenger ships below 24 meters in length (‘small passenger ships’) that operate on domestic voyages within the Union waters and are neither recreational craft as defined in Article 3(2) of Directive 2013/53/EU nor passenger ships falling within the scope of Article 3(1) of Directive 2009/45/EC, as amended by Directive (EU) 2017/2108 and applicable from 21 December 2019.

2.To that effect it is recommended that, from 21 December 2019, Member States:

(a)guide themselves, where relevant, by the safety goals and functional requirements for small passenger ships expressed in the Annex;

(b)support further development of the goals and requirements referred to in point (a) within the performance based framework, including the identification and assessment of alternative forms of their verification and implementation;

(c)encourage the involvement of stakeholders in such process.

3.This Recommendation does not interfere with the right of Member States to define safety rules applicable to small passenger ships referred to in point 1.

Done at Brussels,

(1)    Directive (EU) 2017/2108 of the European Parliament and of the Council of 15 November 2017 amending Directive 2009/45/EC on safety rules and standards for passenger ships (OJ L 315, 30.11.2017, p. 40–51).

(2)    COM(2015)508.

(3)    Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions - Strategic goals and recommendations for the EU’s maritime transport policy until 2018 (COM/2009/0008).

(4)    Initially developed under the working title "Small Craft Code".

(5)    Consultation website: https://ec.europa.eu/info/consultations/targeted-consultation-safety-goals-and-functional-requirements-small-passenger-ships .

(6)    SWD(2015)197.

(7)    Tractebel, 2015. Support Study for the Fitness Check (FC) – Evaluation of Passenger Ship Safety Legislation (published at the EU bookshop: https://publications.europa.eu/en/web/general-publications/publications )

(8)    Directive (EU) 2017/2108 of the European Parliament and of the Council of 15 November 2017 amending Directive 2009/45/EC on safety rules and standards for passenger ships (OJ L 315, 30.11.2017, p. 40).

(9)    Directive 2009/45/EC of the European Parliament and of the Council of 6 May 2009 on safety rules and standards for passenger ships (OJ L 163, 25.6.2009, p. 1).

(10)    COM(2015) 508.

(11)    Repealed and replaced by Directive 2013/53/EU of the European Parliament and of the Council of 20 November 2013 on recreational craft and personal watercraft (OJ L 354, 28.12.2013, p. 90).

EUROPEAN COMMISSION

Brussels,23.5.2018

COM(2018) 314 final

ANNEX

to the

Proposal for a Council Recommendation

on safety goals and functional requirements for passenger ships below 24 meters in length

{SWD(2018) 238 final}

ANNEX

Small Passenger Ship Guide

IGeneral Provisions

I.1.Definitions

Unless stated otherwise, for the purposes of this Guide the definitions in Directive 2009/45/EC apply.

The following definitions also apply:

(a)‘survival systems’ means systems independent from the parent ship which can accommodate all persons on board to protect them from hazards to life or health in case the ship needs to be evacuated;

(b)‘evacuation time’ means time needed to place all persons on board in survival systems.

I.2.Scope

This Guide concerns newly built passenger ships with a full deck of less than 24 meters in length, when engaged on domestic voyages.

This Guide does not concern passenger ships which are:

(i)    ships of war and troopships;

(ii)    sailing ships;

(iii)    ships not propelled by mechanical means;

(vii)    pleasure yachts;

(viii)    ships exclusively engaged in port areas;

(ix)    offshore service ships;

(x)    tenders;

(xi)    high speed craft;

(xii)    traditional ships;

(xiii) cable ferries; or

(xiv) wooden ships of primitive build.

I.3.Goals

The main goals of this Guide are the following:

(1)The design, construction and maintenance of the ship and its systems should 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.

(2)Fire should be prevented, detected, contained and extinguished whilst maintaining essential safety systems during and after the outbreak of a fire.

(3)Reduction of the risk to life, the ship, its cargo and the environment due to fire.

(4)Save and sustain human life during and after an emergency situation, including a potential evacuation of the ship.

(5)Ensure effective communications and transmission and reception of distress alerts.

(6)Ensure safe navigation.

I.4.Operational Conditions

(1)The intended operational conditions (both parameters and limitations) and plying limits should be defined for each ship. Those conditions would determine the standards that the ship should meet.

(2)A ship should only operate within its intended operational conditions that should be reflected in the official documentation of the ship.

I.5.Safety Management System

Each ship should be subjected to a continuous safety management system adapted to the operations undertaken. The safety management system should 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.

I.6.Transportation of Cargo

Where transportation of cargo and dangerous goods is permitted by national legislation for the passenger ships falling under the scope of this Guide, the following principles should be considered:

(1)Cargo transported on ships should be handled in such a way that the safety of those on board, the ship and its surroundings is not jeopardised.

(2)Cargo should be stowed and secured in such a way that the risk of the cargo shifting during transportation is minimised. Cargo areas, load carriers and cargo securing arrangements should be designed and maintained so that they can absorb the forces that can arise as a result of acceleration during transportation.

(3)Dangerous goods should be transported in such a way that the safety of those on board, the ship and its surroundings is not jeopardised and so that the impact on the surrounding environment is minimised.

I.7.Technical Innovation

Where an innovative solution implies additional hazards to those identified in this Guide, specific measures should be taken to address those hazards.

I.8.Shipborne Marine Equipment

Save for the areas covered by Union product harmonisation legislation insofar as it is applicable to shipborne marine equipment 1 , marine equipment installed on passenger ships falling under the scope of this Guide should comply with the requirements of Directive 2014/90/EU of the European Parliament of the Council 2 . In exceptional, duly justified circumstances, where the competent flag State administration permits the installation of equipment which does not comply with the requirements of that Directive, it should ensure that such equipment provides an equivalent level of safety in the intended operational conditions.

II-1Construction, stability, ship control and power installations

II-1.1.Structural strength

Functional Requirements

The ship structure should be designed, constructed and maintained to provide the required strength to withstand the loads and stresses that the ship will be subject to in the intended operational conditions.

Hazards Addressed

Structural failure due to insufficient scantlings for the loads and stresses that the ship will be subject to.

Performance Requirements

The design, construction and maintenance of the structure should comply with the standards specified for classification by the rules of a recognised organisation, or equivalent rules used by an Administration of the flag State, in accordance with Regulation (EC) No 391/2009 of the European Parliament and of the Council 3 .

II-1.2.Anchoring

Functional Requirements

A ship should be capable of being held at the sea-bed without the use of power.

Hazards Addressed

Loss of control –the ship could drift freely, potentially resulting in collision or grounding 4 .

Performance Requirements

Means should be provided to allow holding the ship at the sea-bed independently of the availability of power or propulsion, or both.

II-1.3.Mooring

Functional Requirements

A ship should be capable of being moored and, afterwards, without the use of power, remain secured alongside the pier or any other mooring site.

Hazards Addressed

·Free drifting of the ship in port.

·Breaking of mooring elements.

·Safety of persons embarking and disembarking.

Performance Requirements

(a)Means should be provided to allow securing the ship alongside the pier or any other mooring site, independently of the availability of power or propulsion, or both.

(b)The weakest element in the respective system should be capable of withstanding the expected loads when the ship is moored alongside.

(c)It should be ensured that the ship is maintained in position while passengers are embarking or disembarking.

II-1.4.Towing System

Functional Requirements

Facilities should be provided to allow the ship to be towed.

Hazards Addressed

Loss of control – it must be possible to tow the ship in case of loss of propulsion or steering, or both.

Performance Requirements

The strength of the system should be sufficient to withstand towing loads under the worst case operational conditions.

II-1.5.Tanks

Functional Requirements

Tank arrangements should be designed and liquids should be stored in such a way that damage to the persons on board and to the ship is prevented.

Hazards Addressed

·Explosion due to concentration of dangerous gases in tanks.

·Spill of liquids stored in tanks.

·Structural damage due to over-pressurisation of tanks.

·Loss of power: entry of water into tanks containing fuel or lubrication oil, causing the failure of propulsion or power generation.

Performance Requirements

(a)Arrangements to prevent the ignition of vapours in a tank should be put in place.

(b)It should be possible to determine the level of fluid in a tank and in inaccessible void spaces.

(c)Arrangements to prevent under or overpressure should be put in place.

(d)The entry of rain or sea water into tanks containing fuel or lubrication oil should be prevented even if arrangements to prevent overpressure or ignition of vapours are broken.

(e)Safe tank entry should be provided where necessary.

II-1.6.Embarking and disembarking 5

Functional Requirements

Passengers and crew should be able to embark safely on the ship and disembark safely from the ship.

Hazards Addressed

·Injuries to persons while embarking or disembarking.

·Persons being injured by vehicles while embarking or disembarking.

Performance Requirements

(a)Means should be provided to avoid passengers and crew being injured when embarking or disembarking, with particular attention to the possibility of falling between the ship and the pier or any other mooring site.

(b)The floor used for embarking and disembarking should be slip resistant, especially when wet.

(c)Pedestrians should be separated from vehicular traffic.

(d)Embarking and disembarking facilities for passengers with reduced mobility should be designed for their specific needs.

II-1.7.Freeboard

Functional Requirements

(1)The ship should have sufficient freeboard and bow height for the intended operational conditions:

1.1.To provide a reserve of buoyancy.

1.2.To prevent excessive shipping of seas.

(2)The structural strength and stability of the ship should be sufficient for the draught corresponding to the freeboard assigned.

Hazards Addressed

·Sinking or capsizing.

·Structural damage due to overloading.

Performance Requirements

(a)The ship should, in the intended operational conditions, have a freeboard which:

a.1.allows the ship to remain afloat with a reserve of buoyancy;

a.2.prevents that shipping of seas impairs the ship buoyancy, particularly in the fore part.

(b)The draught corresponding to the freeboard assigned (maximum draught) should be marked in such a way that it is visible to an external observer.

(c)The fore and aft draughts should be marked in such a way that they are visible to an external observer.

(d)It should be verified that the structural strength and stability are sufficient for the loading condition corresponding to the freeboard assigned (maximum draught).

II-1.8.Stability

Functional Requirements

(1)The ship should have a resistance to inclination so as to prevent capsize when disturbed and, sufficient restoring energy to return to upright once the disturbance is removed, in the intended operational conditions.

(2)Following the flooding of any single watertight space in contact with the shell, the ship should be able to stay afloat in such a condition as to allow all persons on board to evacuate the ship.

Hazards Addressed

·Sinking or capsizing in intact condition

·Sinking or capsizing in a damage condition.

Performance Requirements

(a)At the foreseen loading conditions, the ship should, in the intended operational conditions of wave and wind:

a.1.resist roll or list caused by a disturbance;

a.2.return to upright from a roll or list caused by a disturbance, subsequent to the removal of the disturbance.

(b)Following the flooding of any single watertight space in contact with the shell, the ship should remain afloat and retain suitable stability:

b.1.at an angle compatible with the deployment of the relevant survival systems as indicated in chapter III.

b.2.at an angle compatible with the possibility of passengers to move through the ship.

(c)When calculating the condition at which the ship will remain afloat and retain suitable stability following damage, the heeling moments that will occur linked to this situation in terms of passenger location, deployment of life-saving appliances and weather and sea state conditions should be also considered.

II-1.9.Water and Weather Tightness

Functional Requirements

The ship should be designed to provide a level of water and weather tightness which protects the ship against breaking seas and ingress of water which could jeopardise the buoyancy or stability, in the intended operational conditions.

Hazards Addressed

Sinking or capsizing due to the unintended accumulation of water inside the ship.

Performance Requirements

(a)The ship should have watertight and weathertight boundaries to prevent the accumulation of water in spaces which could jeopardise the designed stability or buoyancy parameters in the intended operational conditions.

(b)All ships should be designed with a level below which it should be watertight in the intended operating conditions: watertight level.

(c)The external ship’s structure and fittings should be weathertight above the watertight level until, at least, the next deck or level.

(d)The fore region of the ship should provide watertight protection to the remainder of the ship from the consequences of a collision.

(e)A system capable of removing accumulated liquid from any watertight space in the intended operational conditions should be fitted. In machinery spaces, a high-level alarm system should be provided.

(f)All exposed decks should be free draining.

II-1.10.Protection of persons on board

Functional Requirements

Any system, equipment or fitting installed on the ship should be designed and installed in such a way that it does not cause injury to any person on board.

Hazards Addressed

Injury to persons on-board.

Performance Requirements

(a)Persons on board should be protected from all the following:

a.1.moving parts;

a.2.hot elements;

a.3.parts which could cause an electrical shock;

a.4.slippery surfaces;

a.5.excessive noise and vibration levels;

a.6.elements under load;

a.7.toxic substances.

(b)Means should be provided to protect all persons on board from falling overboard.

II-1.11.Propulsion and Steering

Functional Requirements

It should be possible to control the speed and course of the ship in the intended operational conditions, including potential failure scenarios.

Hazards addressed

Inability to manoeuvre due to lack of propulsion or steering capability, potentially resulting in collision or grounding.

Performance Requirements

(a)Redundancy of propulsion and steering equipment, including any auxiliary services, should be provided taking into account the ship size and the operational area.

(b)It should be possible to control the main functions of the propulsion machinery (mechanical, electrical, etc.) from the bridge, including speed and direction of thrust, at any value of list and trim within the intended operational conditions.

(c)Operational indicators which provide an early alert of any failure mode of the propulsion or steering should be available to the master in the bridge.

(d)Failure modes which could leave the ship without control of propulsion or steering should be indicated by a visible and audible alarm in the bridge and, if manned, in the relevant machinery space.

(e)It should be possible to have local control of speed and steering.

(f)Means of communicating orders from the bridge to the local control positions for propulsion and steering should be provided.

(g)It should be possible to start and stop the main propulsion system and operate it, from a dead ship position, without recourse to external power sources.

(h)The design, construction and maintenance of the main and auxiliary machinery needed to control the speed and course of the ship should comply with the standards specified for classification by the rules of a recognised organisation, or equivalent rules used by an Administration of the flag State, in accordance with Regulation (EC) No 391/2009.

II-1.12.Emergency Power Source

Functional Requirements

Essential safety systems should be powered from, at least, two different power sources independent from each other, one of them, the emergency power source, being exclusively dedicated to essential safety systems.

Hazards addressed

·Essential safety systems failing due to lack of power.

·Failure in starting or operating emergency power sources due to temperature or list and trim conditions.

Performance Requirements

(a)The emergency power source should be activated automatically in case of failure of the other power sources feeding essential safety systems.

(b)The emergency power source and associated distribution system should be placed in such a way that the system does not fail in the event of fire, ingress of water or other accident affecting the other power sources feeding essential safety systems.

(c)The essential safety systems are, when fitted, all the following:

c.1.drainage equipment;

c.2.fire detection equipment;

c.3.emergency firefighting pump and, where relevant, sprinkler systems;

c.4.the necessary communication equipment to alert all the persons on-board, to alert and talk with search and rescue services and transmit active signals which allow the localisation of the ship;

c.5.alarms and alerts;

c.6.navigation lights and necessary equipment to maintain navigational functions;

c.7.emergency lighting including that necessary for escape routes;

c.8.any other system needed to allow all persons on board to evacuate the ship.

(d)The essential safety systems should be maintained for, at least, the time expected to receive assistance or rescue from external means.

(e)The emergency power sources should:

e.1.operate efficiently at any list and trim within the intended operational and foreseeable damage conditions and

e.2.be capable of being readily operated at any temperature within the intended operational conditions.

(f)The design, construction and maintenance of the emergency power sources and their distribution system should comply with the standards specified for classification by the rules of a recognised organisation, or equivalent rules used by an Administration of the flag State, in accordance with Regulation (EC) No 391/2009.

II-2Fire Safety

II-2.1.Ignition

Functional Requirements

(1)The ignition of combustible materials and flammable liquids, gases and vapours should be prevented.

(2)Combustible materials, flammable liquids and areas where flammable gasses or vapours can accumulate should be identified as well as potential ignition sources such as batteries for propulsion.

Hazards addressed

Ignition of combustible material or flammable liquids and gases and vapours.

Performance Requirements

(a)Means should be provided to avoid and control leaks of flammable liquids.

(b)Means should be provided to limit the accumulation of flammable gases and vapours.

(c)Ignition sources should be separated from combustible materials, flammable liquids and gases.

(d)Flammable liquids and gases should be stored in dedicated spaces.

(e)Additional safety measures should be taken, including the use of the International Code of Safety for Ships using Gases or other Low-flashpoint Fuels (IGF Code), if a fuel with a flashpoint below 60°C is used.

II-2.2.Fire Growth

Functional Requirements

(1)Means of control for the air supply to every enclosed space should be provided.

(2)Means of control to stop the flow of flammable liquids should be provided.

(3)The fire load of the spaces on board should be limited.

Hazards addressed

Spread of fire.

Performance Requirements

(a)It should be possible to close all ventilation ducts of spaces with high fire risk and of spaces that require high fire protection from a position outside the space.

(b)It should be possible to stop any powered ventilation from a position outside the space where the ventilation is installed.

(c)The ventilation of the accommodation spaces should be independent of the ventilation from any space with high fire risk.

(d)Means of control should be provided for stopping any system using flammable liquids, e.g. fuel pumps, lubricating oil pumps, thermal oil pumps and oil separators (purifiers).

(e)The following exposed surfaces should have low-flame spread characteristics:

e.1.corridors and stairways forming part of an escape route;

e.2.ceilings and linings in accommodation spaces, service spaces and control stations.

(f)Combustible material, where installed, should have a limited calorific value. Such a limit should depend on the construction material of the ship, but in no case should be higher than 45MJ/m2.

(g)The maximum fire load in each space should be limited in accordance with MSC.1/Circ. 1003 or other equivalent standard.

II-2.3.Smoke generation and Toxicity

Functional Requirements

The quantity of smoke and toxic products released from materials during fire, including surface finishes, should be limited.

Hazards addressed

Danger to life from smoke and toxic products generated during a fire in spaces where persons have access.

Performance Requirements

(a)Paints, varnishes and other finishes used on exposed interior surfaces should not be capable of producing excessive quantities of smoke and toxic products.

(b)Primary deck coverings, if applied within accommodation and service spaces and control stations, should be of approved material which should not give rise to smoke or toxic or explosive hazards at elevated temperatures.

II-2.4.Fire Detection and Alarm

Functional Requirements

Fixed fire detection and fire alarm system installations should be suitable for the nature of the space, fire growth potential and potential generation of smoke and gases.

Hazards addressed

Non-detection of a fire on board at an early stage as to provide enough time for fire extinguishing or safe abandonment, or both.

Performance Requirements

(a)Fire detection means should be provided in high fire risk spaces and spaces classified as requiring high fire protection in accordance with point II-2.5(a).

(b)Fire detection means should provide a signal in the bridge in case of fire. Such a signal should be accompanied with an audible alarm.

(c)If the audible alarm in the bridge is not acknowledged in a reasonable time, then it should be audible in every space of the ship where crew has access.

(d)The alarm level sound should be adjusted according to the level of noise on the ship in normal operation, so that it can be perceived by the crew.

(e)It should be possible to identify the space where the fire has been detected.

II-2.5.Structural Fire Protection

Functional Requirements

(1)Fires should be contained in the space of origin, so as to provide sufficient time for fire extinguishing or for all persons on board to evacuate the ship, or for both.

(2)Each ship should be subdivided by thermal and structural boundaries.

Hazards addressed

Persons on board injured by a fire before they reach a survival system.

Performance Requirements

(a)The spaces on board should be classified as follows:

a.1.Spaces with high fire risk, including:

·spaces containing internal combustion machinery;

·ro-ro spaces;

·spaces containing flammable liquids;

·certain high capacity electrical battery compartments.

a.2.Spaces that require high fire protection, including:

·escape routes, including stairways and corridors;

·control stations;

·accommodation spaces;

·assembly and embarkation spaces;

·propulsion and steering machinery spaces;

·compartments used for electrical energy conversion, distribution and storage equipment (batteries).

(b)Between a space with high fire risk and a space that requires high fire protection there should be thermal boundary(ies) providing structural fire protection (SFP).

(c)The SFP of the thermal boundary should avoid the passage of flame and smoke for 60 minutes as a general rule. This time could be decreased as a function of the evacuation time calculated in accordance with point II-2.6, but should in no case be lower than 30 minutes.

(d)In thermal boundaries made of steel the average temperature of the unexposed side should not rise more than 140 °C above the original temperature, nor should the temperature, at any one point, including any joint, rise more than 180 °C above the original temperature during the SFP time when subject to the standard fire test.

(e)Where materials other than steel are used in the thermal boundaries, the insulation should be such that the structural core does not reach a temperature such that it loses its structural properties during the SFP time. For example, for aluminium the temperature to be considered is 200 oC.

(f)For non-steel ships, every limit of a high fire risk space in contact with the shell should be provided with a thermal boundary.

(g)The fire protection of the ventilation ducts should be the same as that of the space where they are installed.

II-2.6.Evacuation Time

Functional Requirements

The time needed to evacuate the ship should be calculated 6 or demonstrated on board, or both, for each ship.

Hazards addressed

Fatalities or injuries in case of an emergency requiring the evacuation of the ship.

Performance Requirements

(a)In determining the evacuation time, all means of escape should be considered serviceable.

(b)The evacuation time expressed in minutes should be below the following value:

Maximum time = (SFP-7)/3

Where SFP is the structural fire protection time in minutes.

II-2.7.Fire-Fighting

Functional Requirements

Fires should be suppressed and extinguished in the space of origin.

Hazards addressed

Spread of fire.

Performance Requirements

(a)It should be possible to reach each space of the ship where persons have access and open decks with a jet of water with an effective pressure and a capacity adapted to the ship under consideration.

(b)At least two water fire pumps should be installed in the ship, one of them powered from the emergency power source (emergency fire pump).

(c)The emergency fire pump and its suction should be located in a space separate from those with other fire pumps and separated with a thermal barrier from propulsion machinery spaces.

(d)All high fire risk spaces should be provided with a fixed fire-fighting system.

(e)Automatic sprinkler systems should be located in sleeping accommodation spaces.

(f)Portable fire extinguishers should be located in the vicinity of the entrance of spaces with high fire risk or high fire protection need.

(g)The medium used for either fixed or portable fire-fighting means should:

g.1.be appropriate according to the most likely type of fire to be encountered in the protected space and

g.2.not be harmful to the human health unless there are:

·means to ensure that the space can be totally enclosed with any opening being closed from outside the space; and

·means to ensure that no person is inside the space before starting the relevant fire-fighting.

II-2.8.Means of Escape

Functional Requirements

Persons on board should be able to reach a survival system through accessible escape routes, that are visibly marked, clear of obstacles and protected from fire and flooding.

Hazards addressed

Persons on board being unable to leave the ship in case of evacuation.

Performance Requirements

(a)Ships should be provided with at least two different means of escape from each space normally occupied, eventually leading to embarkation positions.

(b)The two means of escape should be arranged in a way that in any plausible fire scenario both means of escape would not be blocked.

(c)The means of escape should:

c.1.be provided with handholds;

c.2.not be obstructed;

c.3.be clearly marked, with marks visible in low visibility conditions;

c.4.be provided with illumination powered by two sources of power, one of them being the emergency source of power; and

c.5.be wide enough to allow the free movement of persons on board, including persons wearing protective equipment, transportation of persons on stretchers and disabled persons.

(d)Plans showing the escape routes should be displayed inside each cabin, if applicable, and in public spaces.

IIILife-Saving Appliances and Arrangements

III.1.General Readiness of Life-Saving Appliances

Functional requirements

All life-saving appliances (LSA) should be in a state of continuous readiness independently of ship’s supplies in the intended operational conditions.

Hazards Addressed

·Injury to the persons on board during normal operations, training, maintenance or emergency situations.

·Malfunction or delay when using LSA either in a real emergency or during training or drills.

Performance Requirements

Life-saving appliances should be:

(a)easily accessible;

(b)not obstructed and not locked;

(c)operable and deployed independently of ship's power supplies;

(d)maintained in a state of continuous readiness;

(e)able to operate in the intended operational conditions; and

(f)able to be deployed at any list or trim within the intended operational and foreseeable damage conditions.

III.2.Provision of Emergency Information

Functional requirements

Provide readily available emergency information and instructions to all persons on board depending on their assignment to life-saving appliances.

Hazards Addressed

Lack of adequate information and instructions to passengers regarding emergency procedures, potentially causing additional delays, confusion or panic.

Performance Requirements

(a)Information and instructions to all persons on board should be:

a.1.presented in a way that makes it likely to be understood (e.g. style and language); and

a.2.conspicuously distributed throughout the ship.

(b)Information and instructions regarding emergency procedures, location and use of equipment, should include at least:

b.1.directions to assembly stations;

b.2.location of LSA; and

b.3.operation and use of LSA.

(c)Instructions for LSA should be readable and understandable in low visibility conditions (e.g. emergency lighting), and stowage locations for LSA should be clearly marked.

III.3.Communication

Functional requirements

(1)Means should be provided to alert and guide Search and Rescue (SAR) services to the location of the ship and the survival systems.

(2)Means should be provided to allow the master or crew to communicate simultaneously with all persons on board during emergencies.

(3)Means should be provided for alerting all persons on board about emergencies.

Hazards Addressed

·Difficulties to be detected by SAR in case of emergency (either the ship or any survival system at sea).

·Inability to establish effective two-way communication between crew members to support escape, evacuation and rescue activities.

·Inability to provide in due time effective information and instructions to the persons on board regarding any emergency.

·Inability to alert persons on board in a timely manner to an emergency situation.

·Delays and organizational failures.

Performance Requirements

(a)The following means should be provided to guide SAR services to the ship and to the survival systems:

a.1.an electronic signal which can be automatically and remotely detected by SAR services (including signals emitted by satellite navigation systems such as Galileo);

a.2.a signal which can be perceived visually in the vicinity; and

a.3.a portable communication system for use between the survival systems and SAR.

(b)Means for internal communication should:

b.1.provide two-way communication between crew members independently of the space of the ship where they are located;

b.2.provide continuous audible information and instructions in all the spaces where persons have access.

(c)Means for alerting all persons on board should:

c.1.be audible in all spaces where persons have access; and

c.2.be suitable for verbal communications on board.

III.4.Evacuation

Functional requirements

(1)Each ship should have assembly stations where all persons on board should be mustered before being transferred to survival systems.

(2)It should be possible to transfer any person from the assembly station to a survival system without injury and with “dry feet”, i.e., without the need to enter in the water even for limited time.

(3)Means for the survivability of all persons after evacuation should be provided.

Hazards Addressed

·Inadequate survival systems which are neither sufficient, suitable nor accessible for all persons on board.

·Passengers are not properly assembled, causing delays and confusion in evacuation.

·Possibility that certain survival systems may not be available as a result of loss due to fire, flooding or other damages.

·Damages to the survival systems or to the persons, or both, during launching.

·Drowning.

·Hypothermia.

Performance Requirements

(a)Each ship should carry survival systems distributed throughout the ship with sufficient capacity, such that, in the event that any one survival system is lost or rendered unserviceable, the remaining survival systems can accommodate the total number of persons the ship is certified to carry.

(b)The distribution, deployment arrangements and capacity of the survival systems should allow all persons that the ship is certified to carry to be accommodated on either side of the ship. 7

(c)Assembly stations should provide sufficient space for the mustering of all persons on board.

(d)No person should be expected to jump more than 1 metre in height to the survival system. For greater heights, a device to facilitate the embarkation should be provided (e.g. evacuation slide or embarkation ladder).

(e)The launching of the survival system should be carried out without any obstacle or interference with other structures, especially with the propeller.

(f)Each ship should carry an individual flotation device appropriate for each person on board.

(g)Suitable thermal protection for persons should be provided depending on the operational conditions.

III.5.Rescue

Functional requirements

Means should be provided for the recovery of persons from the water.

Hazards Addressed

Inability to recover a person from the water effectively and rapidly, which might cause deterioration of survivor health or even loss of life.

Performance Requirements

(a)The ship should carry flotation aids that can be launched from the ship to a person in the water.

(b)The recovery of a person from the water should be carried out either by the ship or by a dedicated unit.

IVRadio communications

Functional Requirements

(1)The ship should be capable of transmitting and receiving relevant maritime safety information.

(2)Every ship should be capable of transmitting and receiving distress alerts.

(3)It should be possible to communicate with external assistance means, either aerial or maritime, during a SAR operation.

Hazards Addressed

·Incapability of receiving and transmitting relevant maritime safety information.

·Lack of communication with external means in case of emergency.

·Incapability of assisting surrounding ships in distress.

Performance Requirements

Every ship should be capable of:

(a)transmitting ship-to-shore distress alerts;

(b)receiving shore-to-ship distress alerts;

(c)transmitting and receiving ship-to-ship distress alerts (also by means of satellite systems);

(d)transmitting and receiving search and rescue co-ordinating communications;

(e)transmitting and receiving on-scene communications;

(f)transmitting and receiving maritime safety information;

(g)transmitting and receiving general radio communications to and from shore-based radio systems or networks; and

(h)transmitting and receiving bridge-to-bridge communications.

VNavigation

Functional Requirements

The ship should be designed, constructed, equipped and maintained so that, while at sea, it can:

(1)be independently navigated; and

(2)provide alerts to the crew of all navigation hazards, fixed or mobile.

Hazards Addressed

·Collisions and groundings.

·Failure to ascertain the position of the ship.

Performance Requirements

(a)Detailed information about the geographical sea area where the ship is operating should be made available.

(b)Means should be provided to establish the position, course and speed of the ship (such as satellite navigation systems including Galileo).

(c)Means should be provided to assist in navigation and in collision avoidance (such as satellite navigation systems including Galileo).

(d)The bridge configuration should provide adequate all-round visibility for the navigational watch.

(e)Means should be provided to establish the propeller’s direction of rotation and power demand and the rudder’s position in relation to the ship’s principal direction.

(f)Means should be provided to determine the water depth.

(g)It should be possible to detect the ship by surrounding ships.

(1)    It should be recalled that Union harmonisation legislation regarding product safety applies to certain shipborne marine equipment, in particular, Directive 2014/53/EU of the European Parliament and of the Council of 16 April 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of radio equipment and repealing Directive 1999/5/EC (OJ L 153, 22.5.2014, p. 62).

(2)    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 (OJ L 257, 28.8.2014, p. 146).

(3)    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 (OJ L 131, 28.5.2009, p. 11).

(4)    It is acknowledged that holding the ship at sea bed cannot be guaranteed at any situation. It will depend on many factors like type of ground, sea depth, environmental conditions, etc. but in appropriate circumstances it could mitigate the free drifting of a ship.

(5)    Shore-based systems are not covered.

(6)    MSC.1/Circ.1533 and MSC.1/Circ.1166, as amended, could serve as reference for the calculation concept.

(7)    This requirement does not necessarily mean that 100% capacity is needed on each side of the ship. It is possible to use survival systems which could be deployed from either side of the ship.