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Procedure : 2005/0237(COD)
Document stages in plenary
Document selected : A6-0070/2007

Texts tabled :

A6-0070/2007

Debates :

PV 24/04/2007 - 11
CRE 24/04/2007 - 11

Votes :

PV 25/04/2007 - 11.7
Explanations of votes

Texts adopted :

P6_TA(2007)0150

Texts adopted
WORD 206k
Wednesday, 25 April 2007 - Strasbourg Final edition
Ship inspection and survey organisations ***I
P6_TA(2007)0150A6-0070/2007
Resolution
 Consolidated text

European Parliament legislative resolution of 25 April 2007 on the proposal for a directive of the European Parliament and of the Council on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations (recast version) (COM(2005)0587 – C6-0038/2006 – 2005/0237(COD))

(Codecision procedure: first reading)

The European Parliament ,

–   having regard to the Commission proposal to the European Parliament and the Council (COM(2005)0587)(1) ,

–   having regard to Articles 251(2) and 80(2) of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C6-0038/2006),

–   having regard to Rule 51 of its Rules of Procedure,

–   having regard to the report of the Committee on Transport and Tourism (A6-0070/2007),

1.  Approves the Commission proposal as amended;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend the proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council and Commission.

(1) Not yet published in OJ.


Position of the European Parliament adopted at first reading on 25 April 2007 with a view to the adoption of Directive 2007/.../EC of the European Parliament and of the Council on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime authorities (recast version)
P6_TC1-COD(2005)0237

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 80(2) thereof,

Having regard to the proposal from the Commission ,

Having regard to the opinion of the European Economic and Social Committee(1) ,

Having regard to the opinion of the Committee of the Regions(2) ,

Acting in accordance with the procedure laid down in Article 251 of the Treaty(3) ,

Whereas:

(1)  Council Directive 94/57/EC of 22 November 1994 on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations(4) has been substantially amended several times. Since further amendments are to be made, it should be recast in the interests of clarity.

(2)  In its resolution of 8 June 1993 on a common policy on safe seas(5) , the Council set the objective of removing all substandard vessels from Community waters and gave priority to Community action designed to secure the effective and uniform implementation of international rules by elaborating common standards for classification societies , defined as ship inspection and survey organisations (hereinafter "recognised organisations") .

(3)  Safety and pollution prevention at sea may be effectively enhanced by strictly applying international conventions, codes and resolutions while furthering the objective of ensuring the freedom to provide services.

(4)  The control of compliance of ships with the uniform international standards for safety and prevention of pollution of the seas is the responsibility of flag and port States.

(5)  Member States are responsible for the issuing of international certificates for safety and the prevention of pollution provided for under conventions such as SOLAS 74, Load Lines 66 and Marpol 73/78, and for the implementation of the provisions of those conventions .

(6)  In compliance with such conventions, all Member States may authorise, to varying degrees, recognised organisations to carry out the certification of such compliance and may delegate the issue of the relevant certificates for safety and the prevention of pollution .

(7)  Worldwide, a large number of the existing recognised organisations do not ensure either adequate implementation of the rules or sufficient reliability when acting on behalf of national authorities as they do not have structures and experience adequate to be relied upon and to enable them to carry out their duties in a highly professional manner.

(8)  Furthermore, these recognised organisations produce and implement rules for the design, construction, maintenance and inspection of ships and are responsible for inspecting ships on behalf of flag States and certifying that those ships meet the requirements of the international conventions for the issue of the relevant certificates. To enable them to carry out those duties in a satisfactory manner they need to be strictly independent and to possess highly specialised technical competences and rigorous quality management.

(9)  Recognised organisations should be able to offer their services throughout the Community and compete with each other while providing equal levels of protection of safety and of the environment. The necessary professional standards for their activities should therefore be uniformly established and applied across the Community.

(10)  This objective should be pursued through measures that adequately tie in with the work of the International Maritime Organisation (IMO) and, where appropriate, build on and complement that work.

(11 )  M inimum criteria for the recognition of organis ations should be established .

(12 )  In order to grant initial recognition to organisations wishing to be authorised to work on behalf of Member States, compliance with the minimum criteria could be assessed more effectively in a harmonised and centralised manner by the Commission together with the Member States requesting the recognition.

(13 )  Recognition should be granted only on the basis of the quality and safety performance of the organisation in question . It should be ensured that the extent of that recognition is at all times in keeping with the actual capacity of the organisation concerned. Recognition should furthermore take into account differences in legal status and corporate structure of recognised organisations while continuing to ensure uniform application of the minimum criteria and the effectiveness of the Community controls.

(14 )  The issue of the Cargo Ship Safety Radio Certificate may be entrusted to private bodies having sufficient expertise and sufficient qualified personnel.

(15 )  A Member State may restrict the number of recognised organisations it authorises in accordance with its needs, based on objective and transparent grounds, subject to control exercised by the Commission in accordance with a committee procedure.

(16 )  Since this Directive ensures freedom to provide services in the Community, the Commission should be entitled to negotiate, with those third countries where some of the recognised organisations are located, equal treatment for recognised organisations domiciled in the Community.

(17 )  A close involvement of national authorities in ship surveys and in the issue of related certificates is necessary in order to ensure full compliance with international safety rules, even where Member States rely upon recognised organisations outside their control to carry out statutory duties. It is appropriate, therefore, to establish a close working relationship between those authorities and recognised organisations authorised by them , which may require that recognised organisations have a local representation on the territory of the Member State on behalf of which they perform their duties.

(18 )  Divergence in financial liability regimes between recognised organisations working on behalf of Member States would impede the proper implementation of this Directive. In order to contribute to solving this problem it is appropriate to bring about a degree of harmonisation at Community level of the liability arising out of any marine casualty caused by a recognised organisation, as decided by a court of law, including the settlement of disputes through arbitration .

(19 )  The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(6) .

(20)  In particular, the Commission should be empowered to amend this Directive in order to apply subsequent amendments to the international conventions, protocols, codes and resolutions related thereto, to update the criteria set out in Annex I and to adopt criteria for the measurement of the safety and pollution prevention performance of recognised organisations. Since those measures are of general scope and are designed to amend non-essential elements of this Directive, inter alia by supplementing it with new non-essential elements, they should be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC.

(21 )  The provisions of this Directive, and in particular the minimum criteria and the obligations to be fulfilled by recognised organisations, should be kept up-to-date, taking due account of progress in international fora, in accordance with the committee procedure.

(22 )  It is of the utmost importance that failure by a recognised organisation to fulfil its obligations can be addressed in a prompt, effective and proportionate manner. The primary objective should be to correct any deficiencies with a view to removing any potential threat to safety or the environment at an early stage. The Commission should therefore be given the necessary powers to require that recognised organisations undertake the necessary preventive and remedial action and to impose fines and periodic penalty payments as coercive measures.

(23 )  In accordance with the Community-wide approach, the decision to withdraw the recognition of an organisation which fails to comply with this Directive if the coercive measures prove ineffective or the recognised organisation otherwise presents an unacceptable threat to safety or the environment, has to be taken at Community level, and therefore by the Commission, on the basis of the committee procedure.

(24 )  Member States should nevertheless be left the possibility of suspending authorisation to a recognised organis ation for reasons of serious danger to safety or environment. The Commission should decide urgently in accordance with the committee procedure whether it is necessary to overrule a national measure taken to such effect .

(25 )  Member States should periodically assess the performance of recognised organis ations working on their behalf and provide the Commission and all the other Member States with precise information in relation thereto .

(26 )  The continuous a posteriori monitoring of recognised organisations to assess their compliance with this Directive can be carried out more effectively in a harmonised and centralised manner. Therefore it is appropriate that the Commission, together with Member States that authorise recognised organisations to act on their behalf , be entrusted with this task on behalf of the Community .

(27 )  As part of monitoring the operations of recognised organisations, Community inspectors should have access to ships and ship files regardless of the ship's flag in order to ascertain whether the recognised organisations in question are complying with the minimum criteria laid down in this Directive in respect of all ships in their respective classes .

(28 )  Member States, in their capacity as port authorities, are required to enhance safety and prevention of pollution in Community waters through priority inspection of ships carrying certificates of recognised organisations which do not fulfil the common criteria, thereby ensuring that ships flying the flag of a third State do not receive more favourable treatment.

(29 )  At present there are no uniform international standards to which all ships must conform at the building stage and during their lifetime as regards hull, machinery and electrical and control installations. Such standards may be fixed according to the rules of recognised organisations or to equivalent standards to be decided by the national authorities in accordance with the procedure laid down in Directive 98/34/EC of the European Parliament and of the Council of 22 June 1998 laying down a procedure for the provision of information in the field of technical standards and regulations(7) .

(30)  The ability of recognised organisations rapidly to identify and correct weaknesses in their rules, processes and internal controls is critical for the safety of the ships they inspect and certify. That ability should be enhanced by means of an independent assessment committee which can propose action for the sustained improvement of all recognised organisations and ensure a fruitful interaction with the Commission.

(31)  The rules and regulations of recognised organisations are a key factor for safety and the prevention of accidents and pollution. The recognised organisations have initiated the process that should lead to harmonisation of their rules and regulations. That process should be encouraged and supported by Community legislation, as it should have a positive impact on maritime safety and the competitiveness of the European shipbuilding industry.

(32 )  Recognised organisations should be obliged to update their technical standards and enforce them consistently in order to harmonise safety rules and ensure uniform implementation of international rules within the Community. Where the technical standards of recognised organisations are identical or very similar, mutual recognition of classification certificates should be considered where possible, taking the most demanding and rigorous certificates as the model .

(33 )  Since transparency and the exchange of information between interested parties, as well as the public right of access to information, are fundamental means of preventing accidents at sea, recognised organisations should provide all the relevant statutory information concerning the conditions of the ships in their class to the port State control authorities and make that information publicly available .

(34 )  In order to prevent ships from changing class to avoid carrying out repairs called for by a recognised organisation in its inspection, prior arrangements should be made for the exchange of all relevant information by recognised organisations among themselves concerning the conditions of ships for which a change of class is sought and for the involvement of the flag State when necessary in that process .

(35 )  The European Maritime Safety Agency (EMSA) established by Regulation (EC) No 1406/2002 of the European Parliament and of the Council(8) should provide the support necessary to ensure the correct implementation of this Directive.

(36 )  Since the objective of this Directive , namely the adoption of common rules and standards for recognised organisations operating in the Community and for the relevant activities of maritime authorities , cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale of the action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve that objective .

(37 )  The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive change as compared with Directive 94/57/EC . The obligation to transpose the provisions which are unchanged arises under that Directive.

(38 )  This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Annex II, Part B,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

This Directive establishes measures to be followed by the Member States and recognised organisations they have entrusted with the inspection, survey and certification of ships for compliance with the international conventions on safety at sea and prevention of marine pollution, while furthering the objective of freedom to provide services. This process includes the development and implementation of safety requirements for hull, machinery and electrical, radio and control installations of ships falling under the scope of those international conventions.

Article 2

For the purposes of this Directive, the following definitions shall apply:

   ( a ) "international conventions" means the 1974 International Convention for the Safety of Life at Sea (SOLAS), with the exception of chapter XI-2 of the Annex thereto and the International Ship and Port Facility Security Code, the 1966 International Convention on Load Lines and the 1973/1978 International Convention for the Prevention of Pollution from Ships, together with the protocols and amendments to those conventions , and the related codes of mandatory status in all Member States, in their up-to-date versions ;
   ( b ) "ship" means a ship falling within the scope of the international conventions;
   ( c ) "ship flying the flag of a Member State" means a ship registered in and flying the flag of a Member State in accordance with the legislation of that Member State . Ships not falling under the scope of this definition shall be considered to be ships flying the flag of a third country;
   ( d ) "inspections and surveys" means inspections and surveys that are mandatory under the international conventions and under this and other Community legislation concerning maritime safety ;
   e) "recognised organisation" means a legal entity, its subsidiaries and any other entity under its control which jointly or separately carry out tasks falling under the scope of this Directive and which is recognised in accordance with this Directive ;
   f) "control" means, for the purpose of point (e), rights, contracts or any other means, in law or in fact, which, either separately or in combination, confer the possibility of exercising decisive influence over a legal entity or enable that entity to carry out tasks falling under the scope of this Directive ;
   ( g ) "authorisation" means an act whereby a Member State grants an authorisation or delegates powers to a recognised organisation;
   ( h ) "statutory certificate" means a certificate issued by or on behalf of a flag State in accordance with the international conventions;
   ( i ) "rules and regulations" means the requirements laid down and made public by a recognised organisation relating to the design, construction, equipment, maintenance and survey of ships;
   ( j ) "classification certificate" means 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 regulations of that recognised organisation;
   ( k ) "Cargo Ship Safety Radio Certificate " means the certificate introduced by the amended SOLAS 1974/1978 Radio Regulations, adopted by the IMO;
   ( l ) "country of location" refers to the state where the registered office, central administration or principal place of business of a recognised organisation is located .

Article 3

1.  In assuming their responsibilities and obligations under the international conventions, Member States shall ensure that their competent authorities can ensure the appropriate enforcement of the provisions of the international conventions, in particular with regard to the inspection and survey of ships and the issue of statutory certificates and exemption certificates as provided for by the international conventions. Member States shall act in accordance with the relevant provisions of the Annex and the Appendix to IMO Resolution A.847(20) on guidelines to assist flag States in the implementation of IMO instruments.

2.  For the purposes of paragraph 1, Member States may decide with respect to ships flying its flag:

   i) to authoris e recognised organis ations to undertake fully or in part inspections and surveys related to statutory certificates, including those for the assessment of compliance with the rules referred to in Article 19(2), and, where appropriate, to issue or renew the related certificates; or
   ii) to entrust recognised organis ations with the task of undertaking fully or in part the inspections and surveys referred to in point (i).

The competent authority shall in all cases approve the first issue of an exemption certificate .

However, in relation to the Cargo Ship Safety Radio Certificate, these tasks may be entrusted to a private body recognised by a competent authority and with sufficient expertise and sufficient qualified personnel to carry out specified safety assessment work on radio-communication on behalf of that competent authority .

3.  This Article does not concern the certification of specific items of marine equipment.

Article 4

1.   Member States which wish to grant an authorisation to any organisation which is not yet recognised shall submit a request for recognition to the Commission, together with complete information on, and evidence of, compliance with the criteria set out in Annex I and on the requirement and undertaking that that organisation will comply with the requirements set out in Articles 20 and 21.

2.   The Commission, together with the Member States submitting a request, shall carry out assessments of the organisations for which that request was made in order to verify that those organisations meet and undertake to comply with the requirements referred to in paragraph 1 .

Article 5

The Commission shall, in accordance with the regulatory procedure referred to in Article 9(2), refuse to recognise organisations which fail to comply with the criteria set out in Annex I or the requirements of Articles 20 and 21, as referred to in Article 4(1), or whose performance is considered to constitute an unacceptable threat to safety or the environment on the basis of the criteria laid down in accordance with Article 14.

Article 6

1.  Recognition shall be granted by the Commission in accordance with the regulatory procedure referred to in Article 9(2).

2.  Recognition shall be granted to the relevant parent entity in relation to all legal entities that make up the recognised organisation, that recognition being extended to all legal entities in a recognised organisation that contribute to ensuring that the parent entity provides cover for services provided by such legal entities globally.

3.  Recognition may at any time be limited or extended by the Commission, acting in accordance with the regulatory procedure referred to in Article 9(2), as regards certain types of ships, ships of a certain size, certain trades, or a combination thereof in accordance with the proven capacity of the recognised organisation concerned .

4.  The Commission shall draw up and regularly update a list of the organisations recognised in accordance with this Article. This list shall be published in the Official Journal of the European Union .

Article 7

1.  In applying Article 3(2), Member States shall not refuse to authorise a recognised organisation to undertake the functions referred to in that paragraph , subject to the provisions of paragraph 2 of this Article and to Articles 8 and 16. However, Member States may restrict the number of recognised organisations they authorise to carry out those functions in accordance with their needs provided there are transparent and objective grounds for so doing.

At the request of a Member State, the Commission shall, in accordance with the regulatory procedure referred to in Article 9(2), adopt the appropriate measures.

2.  In order for a Member State to accept that a recognised organisation located in a third State is to carry out on its behalf the tasks referred to in Article 3, or part of them, it may require the third State in question to grant reciprocal treatment for those recognised organisations which are located in the Community.

In addition, the Community may request the third State where a recognised organisation is located to grant reciprocal treatment for those recognised organisations which are located in the Community.

Article 8

1.  Member States which make a decision pursuant to Article 3(2) shall set out a working relationship between their competent authority and the recognised organisations acting on their behalf.

2.  The working relationship shall be regulated by a formalised written and non-discriminatory agreement or equivalent legal arrangement setting out the specific duties and functions assumed by the recognised organisations and including at least:

   a) the provisions set out in Appendix II of IMO Resolution A.739(18) on guidelines for the authorisation of organisations acting on behalf of the administration based on the Annex, Appendices and Attachment to IMO MSC/Circular 710 and MEPC/Circular 307 on a model agreement for the authorisation of recognised organisations acting on behalf of the administration.

Accordingly, when a recognised organisation, its inspectors or its technical staff issue the required certificates on behalf of the authority, they shall be subject to the same legal safeguards and the same jurisdictional protection, including the exercise of any rights of defence, as those to which the authority and its members may have had recourse were the authority to have issued the required certificates itself;

  b) the following provisions concerning financial liability:
   i) if liability arising out of any marine casualty is finally and definitely imposed on the authority by a court of law or as part of the settlement of a dispute through arbitration , together with a requirement to compensate the injured parties for loss of or damage to property or personal injury or death, which is proved in that court of law to have been caused by a wilful act or omission or the gross negligence of the recognised organisation, its bodies, employees, agents or others who act on its behalf, the authority shall be entitled to financial compensation from the recognised organisation to the extent that that loss, damage, injury or death was , as decided by that court, caused by that recognised organisation;
   ii) if liability arising out of any marine casualty is finally and definitely imposed on the authority by a court of law or as part of the settlement of a dispute through arbitration , together with a requirement to compensate the injured parties for personal injury not resulting in death, which is proved in that court of law to have been caused by any negligent or reckless act or omission of the recognised organisation, its employees, agents or others who act on its behalf, the authority shall be entitled to demand financial compensation from that recognised organisation to the extent that that personal injury was , as decided by that court, caused by that recognised organisation; Member States may limit the maximum amount payable by the recognised organisation in such circumstances , which may not , however, be less than EUR 4 000 000 , except where the amount determined in the judgment or settlement is lower, in which case the lower figure shall apply ;
   iii) if liability arising out of any marine casualty is finally and definitely imposed on the authority by a court of law or as part of the settlement of a dispute through arbitration , together with a requirement to compensate the injured parties for loss of or damage to property, which is proved in that court of law to have been caused by any negligent or reckless act or omission of the recognised organisation, its employees, agents or others who act on its behalf, the authority shall be entitled to demand financial compensation from that recognised organisation to the extent that that loss or damage was , as decided by that court, caused by that recognised organisation; Member States may limit the maximum amount payable by the recognised organisation, which may not , however, be less than EUR 2 000 000 , except where the amount determined in the judgment or settlement is lower, in which case the lower figure shall apply ;
   c) provisions for a periodical audit by the authority or by an impartial external body appointed by the authority of the duties the recognised organisations are undertaking on its behalf, as referred to in Article 16(1);
   d) the possibility for random and detailed inspections of ships;
   e) provisions for the compulsory reporting of essential information about their classed fleet and about changes, suspensions and withdrawals of class, as referred to in Article 20(4) .

3.  The agreement or equivalent legal arrangement referred to in paragraph 2 may require the recognis ed organis ation to have a local representation on the territory of the Member State on behalf of which it performs the tasks referred to in Article 3. A local representation with legal personality under the law of the Member State and subject to the jurisdiction of its courts may satisfy such a requirement.

4.  Member States shall provide the Commission with precise information about the working relationship established in accordance with this Article. The Commission shall subsequently inform the other Member States thereof.

Article 9

1.  The Commission shall be assisted by the Committee on Safe Seas and the Prevention of Pollution from Ships (COSS) created by Article 3 of Regulation (EC) No 2099/2002 of the European Parliament and of the Council(9) .

2.  Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3.  Where reference is made to this paragraph, Article 5a(1) to (4), and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

Article 10

1.  This Directive may, without broadening its scope, be amended in accordance with the regulatory procedure with scrutiny referred to in Article 9(3) in order to:

   a) apply, for the purposes of this Directive, subsequent amendments to the international conventions, protocols, codes and resolutions related thereto which are referred to in Article 2(d), Article 3(1) and Article 8(2) and which have entered into force,
   b) update the criteria in Annex I, taking into account, in particular, the relevant decisions of the IMO,
   c) alter the amounts specified in points (ii) and (iii) of Article 8(2)(b).

2.  Following the adoption of new instruments or protocols to the conventions referred to in Article 2(d), the Council, acting on a proposal from the Commission, shall decide, taking into account the Member States" parliamentary procedures as well as the relevant procedures within the IMO, on the detailed arrangements for ratifying those new instruments or protocols, while ensuring that they are applied uniformly and simultaneously in the Member States.

The amendments to the international instruments referred to in Article 2(d) and Article 8 may be excluded from the scope of this Directive pursuant to Article 5 of Regulation (EC) No 2099/2002.

Article 11

Where the Commission considers that a recognised organisation has failed to fulfil the criteria set out in Annex I or failed to fulfil its obligations under this Directive, or that the safety and pollution prevention performance of a recognised organisation has significantly deteriorated, without constituting , however, an unacceptable threat to safety or the environment, it shall require that recognised organisation to undertake the necessary preventive and remedial action to ensure full compliance with the criteria set out in Annex I and the obligations contained in this Directive, and, in particular, to remove any potential threat to safety or the environment and otherwise address the causes of that deterioration in performance.

The preventive and remedial action may include interim protective measures when the potential threat to safety or the environment is immediate.

However, and without prejudice to their immediate implementation, the Commission must give advance notice of the measures that it intends to take to all Member States which have granted an authorisation to the recognised organisation concerned.

Article 12

1.  In addition to the measures taken under Article 11, the Commission may impose fines on a recognised organisation:

   a) whose repeated or serious failure to fulfil either the criteria set out in Annex I or its obligations under this Directive or whose worsening performance reveals grave shortcomings in its structure, systems, procedures or internal controls; or
   b) which has deliberately provided incorrect, incomplete or misleading information to the Commission in the course of its assessment under Article 16(3) or otherwise obstructed that assessment.

2.  Without prejudice to paragraph 1, where a recognised organisation fails to implement the preventive and remedial action required by the Commission, or incurs unjustified delays, the Commission may impose periodic penalty payments on that recognised organisation until the required action is fully implemented.

3.  The fines and periodic penalty payments referred to in paragraphs 1 and 2 shall be dissuasive and proportionate to both the gravity of the case and the economic capacity of the recognised organisation concerned, taking into account particularly the extent to which safety has been compromised.

These fines and periodic penalty payments shall be imposed only after the recognised organisation and the Member States concerned have been given the opportunity to submit their observations.

The aggregate amount of fines and periodic penalty payments imposed shall not exceed 5 % of the total turnover of the recognised organisation in the preceding business year in respect of activities falling within the scope of this Directive.

Article 13

1.  The Commission shall withdraw the recognition of recognised organisations:

   a) whose repeated and serious failure to fulfil either the criteria set out in Annex I or their obligations under this Directive is such that it constitutes an unacceptable threat to safety or the environment;
   b) whose repeated and serious failure in their safety and pollution prevention performance is such that it constitutes an unacceptable threat to safety or the environment;
   c) which prevent or repeatedly obstruct their assessment by the Commission; or
   d) which fail to pay the fines or periodic penalty payments referred to in Article 12(1) and (2).

2.  The Commission shall take a decision for the purposes of paragraph 1(a) and (b) on the basis of all the available information, including:

   a) the results of its own assessment of the recognised organisation concerned, carried out in accordance with Article 16(3);
   b) reports submitted by Member States in accordance with Article 18;
   c) analyses of casualties involving ships classed by the recognised organisation in question ;
   d) any recurrence of the shortcomings described in Article 12(1)(a) ;
   e) the extent to which the fleet in the recognised organisation's class is affected; and
   f) any ineffectiveness of the measures referred to in Article 12(2).

3.  Withdrawal of recognition shall be decided upon by the Commission, on its own initiative or at the request of a Member State, acting in accordance with the regulatory procedure referred to in Article 9(2) and after the recognised organisation concerned has been given the opportunity to submit its observations.

Article 14

The Commission, acting in accordance with the regulatory procedure with scrutiny referred to in Article 9(3) , shall adopt and make public :

   a) criteria to measure the effectiveness of the rules, regulations, and performance of the recognised organisations as regards the safety of, and the prevention of pollution from, their classed ships , having particular regard to the data produced by the Paris Memorandum of Understanding on Port State Control and by other similar regimes ; and
   b) criteria to determine when a given performance, omission or delay is to be considered an unacceptable threat to safety or the environment. Those criteria may take into account specific circumstances affecting smaller-sized or highly specialised recognised organisations.

The Commission shall adopt detailed rules for the implementation of Article 12 and, if appropriate, Article 13 in accordance with the regulatory procedure referred to in Article 9(2) .

Article 15

Notwithstanding the criteria set out in Annex I, where a Member State considers that a recognised organisation can no longer be authorised to carry out on its behalf the tasks specified in Article 3 it may suspend such authorisation by way of the following procedure:

   a) the Member State informs the Commission and the other Member States of its decision without delay and giving substantiated reasons therefor ;
   b) the Commission, having regard to safety and pollution prevention, assesses the reasons put forward by the Member State for suspending its authorisation of the recognised organisation ;
   c) acting in accordance with the regulatory procedure referred to in Article 9(2), the Commission informs the Member State whether or not its decision to suspend the authorisation is sufficiently justified on grounds of a serious risk to safety or the environment. If the decision is not justified, the Commission requests the Member State to withdraw the suspension. If the decision is justified and the Member State, pursuant to Article 7(1), has restricted the number of recognised organisations acting on its behalf, the Commission requests that Member State to grant a new authorisation to another recognised organisation to replace the suspended recognised organisation.

Article 16

1.  Member States shall check that the recognised organisations acting on their behalf for the purposes of Article 3(2) effectively carry out the functions set out in that Article to the satisfaction of their competent authority .

2.  Member States shall, at least every two years , monitor all recognised organisations acting on their behalf and provide the other Member States and the Commission with a report on the results of these monitoring activities at the latest by 31 March of the year following the year in which those activities are carried out .

3.  Recognised organisations shall be assessed by the Commission, together with the Member State which submitted the relevant request for recognition, on a regular basis and at least every two years, in order to verify that those recognised organisations are meeting their obligations under this Directive and are fulfilling the criteria set out in Annex I. This assessment shall be confined to the activities of the recognised organisations that fall within the scope of this Directive.

In selecting recognised organisations for assessment, the Commission shall pay particular attention to safety and pollution prevention performance, to casualty records and to the reports made by Member States pursuant to Article 18.

The assessment may include a visit to regional branches of the recognised organisation, as well as random inspection of ships, both in service and under construction, for the purpose of auditing the organisation's performance. In such cases the Commission shall, where appropriate, inform the Member State in which the regional branch is located that such a visit will take place . The Commission shall provide the Member States with a report on the results of the assessment.

4.  Recognised organisations shall make available to the committee referred to in Article 9(1) on an annual basis the results of their quality system management review .

Article 17

1.  No clauses in a contract of a recognised organisation with a third party or in an authorisation agreement with a flag State may be invoked to restrict the access of the Commission to the information necessary for the purposes of the assessment referred to in Article 16(3).

2.  Recognised organisations shall ensure in their contracts with third parties for the issue of statutory certificates or classification certificates to a ship that such issue shall be made conditional on those parties not opposing the access of the Community inspectors on board that ship for the purposes of Article 16(3).

Article 18

In exercising their inspection rights and obligations as port States, Member States shall report to the Commission and to other Member States and inform the flag State concerned if they find that valid statutory certificates have been issued by recognised organisations acting on behalf of a flag State to a ship which does not fulfil the relevant requirements of the international conventions, or in the event of any failure of a ship carrying a valid classification certificate and relating to items covered by that certificate.

Only cases of ships representing a serious threat to safety and the environment or showing evidence of particularly negligent behaviour on the part of the recognised organisation shall be reported for the purposes of this Article.

The recognised organisation concerned shall be advised of the case at the time of the initial inspection so that it can take appropriate follow-up action immediately.

Article 19

1.  Each Member State shall ensure that ships flying its flag are designed, constructed, equipped and maintained in accordance with the rules and regulations relating to hull, machinery and electrical and control installation requirements of a recognised organisation.

2.  A Member State may decide to use rules it considers equivalent to the rules and regulations of a recognised organisation only on the condition that it immediately notifies them to the Commission in conformity with the procedure provided for by Directive 98/34/EC and to the other Member States and those rules are not objected to by another Member State or the Commission and determined through the procedure referred to in Article 9(2) of this Directive to be not equivalent.

3.  Member States shall cooperate with the recognised organisations they authorise in the development of the rules and/or regulations of those organisations. They shall confer with the recognised organisations with a view to achieving a consistent interpretation of international conventions in accordance with Article 20(1).

Article 20

1.  Recognised organisations shall consult with each other periodically with a view to maintaining equivalence and securing the harmonisation of their rules and regulations and the implementation thereof. They shall cooperate with each other with a view to achieving consistent interpretation of the international conventions, without prejudice to the powers of flag States. Recognised organisations shall, in appropriate cases, agree on the technical and procedural conditions under which they will mutually recognise their respective classification certificates based on equivalent standards, taking the most demanding and rigorous models as their reference and taking particularly into account marine equipment bearing the wheelmark in accordance with Council Directive 96/98/EC of 20 December 1996 on marine equipment (10) .

Recognised organisations shall provide the Commission with periodic reports on fundamental progress in standards and mutual recognition.

2.  The Commission shall, by... (11) , submit a report to the European Parliament and the Council based on an independent study on the level reached in the process of harmonising the rules and regulations and on mutual recognition. In the event of failure by the recognised organisations to fulfil the provisions of Article 20(1), the Commission shall propose to the European Parliament and the Council the appropriate measures.

3 .  Recognised organisations shall demonstrate willingness to cooperate with port State control authorities where a ship of their class is concerned, in particular in order to facilitate the rectification of reported deficiencies or other discrepancies.

4 .  Recognised organisations shall provide to all Member States" authorities which have granted any of the authorisations provided for in Article 3 and to the Commission all relevant information about their classed fleet, transfers, changes, suspensions and withdrawals of class, irrespective of the flag the ships fly.

Information on transfers, changes, suspensions, and withdrawals of class, including information on all overdue surveys, overdue recommendations, conditions of class, operating conditions or operating restrictions issued against their classed ships - irrespective of the flag the ships fly - shall also be communicated electronically to the common inspection database used by the Member States for the implementation of Directive 2007/…/EC of the European Parliament and the Council of ... (12) [on port state control] (13) at the same time as it is recorded within the recognised organisation's own systems and in any case no later than 72 hours after the event that gave rise to the obligation to communicate the information. That information, with the exception of recommendations and conditions of class which are not overdue, shall be published on the website of these recognised organisations.

5 .  The recognised organisations shall not issue statutory certificates to a ship, irrespective of its flag, which has been declassed or is changing class for safety reasons, before giving the opportunity to the competent authority of the flag State to give its opinion within a reasonable time as to whether a full inspection is necessary.

6 .  In cases of transfer of class from one recognised organisation to another, the transferring organisation shall provide the receiving organisation with the complete file of the ship and, in particular, inform it of:

   a) any overdue surveys;
   b) any overdue recommendations and conditions of class;
   c) operating conditions issued against the ship; and
   d) operating restrictions issued against the ship.

New certificates for the ship can be issued by the receiving organisation only after all overdue surveys have been satisfactorily completed and all overdue recommendations or conditions of class previously issued in respect of the ship have been completed as specified by the transferring organisation.

Before completing the new certificates, the receiving organisation must advise the transferring organisation of their date of issue and, for each overdue survey, overdue recommendation and overdue condition of class, confirm the action taken, specifying its starting place and date and the place where, and the date when, it was satisfactorily completed .

Recognised organisations shall establish and implement appropriate common requirements concerning cases of transfer of class where special precautions are necessary. Those cases shall as a minimum include the transfer of class of ships of fifteen years of age or over and the transfer from a non-recognised organisation to a recognised organisation.

Recognised organisations shall cooperate with each other in properly implementing this paragraph.

Article 21

1.  The Member States, together with the recognised organisations, shall establish, by ...(14) , an assessment committee in accordance with the EN 45012 quality standards. The relevant professional associations working in the shipping industry may participate in an advisory capacity. The assessment committee shall carry out the following tasks:

   a) regulation and assessment of the systems for management of the quality of recognised organisations, in accordance with the ISO 9001 quality standard criteria ;
   b) certification of the quality system of recognised organisations ;
   c) issue of binding interpretations of internationally recognised quality management standards, in particular to take account of the specific features of the nature and obligations of recognised organisations, and
   d) adoption of individual and collective recommendations for the improvement of recognised organisations" rules, processes and internal control mechanisms.

The assessment committee shall have the necessary competences to act independently of the recognised organisations and shall have the necessary means to carry out its duties effectively and to the highest professional standards. The assessment committee shall lay down its working methods and rules of procedure.

The assessment committee shall provide the interested parties, including the Commission, with full information on its annual work plan as well as on its findings and recommendations, particularly with regard to situations where safety might have been compromised.

2.  The assessment committee shall be periodically audited by the Commission, which may, acting in accordance with the regulatory procedure referred to in Article 9(2), require that committee to adopt measures which the Commission deems necessary to ensure full compliance with paragraph 1.

The Commission shall report to the Member States on the results of and follow up to its assessment.

Article 22

1.  Recognised organisations which at the entry into force of this Directive had been granted recognition in accordance with Directive 94/57/EC shall retain their recognition, subject to the provisions of paragraphs 2 and 3.

2.  Recognised organisations shall comply with the new provisions laid down in this Directive from the date of its entry into force .

3.  Without prejudice to Articles 11 and 13, the Commission shall re-examine all limited recognitions granted under Directive 94/57/EC in light of Article 6(3) of this Directive by ...(15) , with a view to deciding, in accordance with the procedure referred to in Article 9(2), whether the limitations should be replaced by others or removed. The limitations shall continue to apply until the Commission has acted.

Article 23

In the course of the assessment pursuant to Article 16(3), the Commission shall verify that the holder of the recognition is the relevant legal entity within the recognised organisation to which the provisions of this Directive apply . If that is not the case, the Commission shall amend the recognition accordingly by decision.

Where the Commission amends the recognition, the Member States shall adapt their agreements with the recognised organisation to take account of that amendment.

Article 24

The Commission shall, on a regular basis, inform the European Parliament and the Council of progress in the implementation of this Directive by the Member States.

Article 25

1.  Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with Articles […] and points […] of Annex I [articles, or subdivisions thereof and points of Annex I which have been changed as to their substance by comparison with Directive 94/57/EC ] not later than ...(16) . They shall forthwith communicate to the Commission the text of those measures and a correlation table between those measures and this Directive.

2.  When Member States adopt those measures , they shall contain a reference to this Directive or be accompanied by such reference on the occasion of their official publication. They shall also include a statement that references in existing laws, regulations and administrative provisions to the directives repealed by this Directive shall be construed as references to this Directive. Member States shall determine how such reference is to be made and how that statement is to be formulated.

3.  Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.

Article 26

Directive 94/57/EC, as amended by the Directives listed in Annex II, Part A, is repealed with effect from ...(17) , without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Annex II, Part B.

References to the repealed Directives shall be construed as references to this Directive and shall be read in accordance with the correlation table in Annex III.

Article 27

This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

Articles […] and points […] of Annex I [Articles, or subdivisions thereof, and points of Annex I which are unchanged by comparison with Directive 94/57/EC ] shall apply from ...* .

Article 28

This Directive is addressed to the Member States.

Done at

For the European Parliament For the Council

The President The President

ANNEX I

MINIMUM CRITERIA FOR RECOGNISED ORGANIS ATIONS REFERRED TO IN ARTICLE 3

(hereinafter referred to as "organisations")

A.  GENERAL MINIMUM CRITERIA

1.  To be eligible to obtain or to continue to enjoy Community recognition , an organisation must have legal personality in the State of its location. Its accounts shall be certified by independent auditors.

2.  The organisation must be able to document extensive experience in assessing the design and construction of merchant ships.

3.  The organisation must be equipped at all times with significant managerial, technical, support and research staff commensurate with the size of the fleet in its class, its composition and the organisation's involvement in the construction and conversion of ships. The organisation must be capable of assigning to every place of work, when and as needed, means and staff commensurate with the tasks to be carried out in accordance with general minimum criteria 6 and 7 and with the specific minimum criteria.

4.  The organisation must have and apply comprehensive rules and regulations for the design, construction and periodic survey of merchant ships, having the quality of internationally recognised standards. They must be published and continually upgraded and improved through research and development programmes.

5.  The organisation must have its register of ships published on an annual basis or maintained in an electronic base accessible to the public.

6.  The organisation must not be controlled by shipowners or shipbuilders, or by others engaged commercially in the manufacture, equipping, repair or operation of ships. The organisation must not be substantially dependent on a single commercial enterprise for its revenue. The recognised organisation must not carry out class or statutory work if it is identical with or has business, personal or family links to the shipowner or operator. This incompatibility shall also apply to surveyors employed by the recognised organisation.

7.  The organisation must operate in accordance with the provisions set out in the Annex to IMO Resolution A. 789(19) on specifications on the survey and certification functions of recognised organisations acting on behalf of the administration, in so far as they cover matters falling within the scope of the Directive.

B.  SPECIFIC MINIMUM CRITERIA

1.  The organisation must provide world-wide coverage through its exclusive technical staff or, in exceptional and duly justified cases, through the exclusive technical staff of other recognised organisations.

2.  The organisation must be governed by a code of ethics.

3.  The organisation must be managed and administered in such a way as to ensure the confidentiality of information required by the administration.

4.  The organisation must provide relevant information to the administration, to the Commission and to interested parties.

5.  The organisation, its inspectors and its technical staff will carry out their work without in any way harming the intellectual property rights, including patents, licences, know-how or any other kind of knowledge whose use is legally protected at Community or national level, of shipyards, equipment suppliers and shipowners. Under no circumstances, and without prejudice to Article 17 of the Directive, will either the organisation or the inspectors and technical staff whom it employs pass on or divulge commercially relevant data obtained in the course of their work of inspecting, checking and monitoring ships under construction or repair.

6 .  The organisation's management must define and document its policy and objectives for, and commitment to, quality and must ensure that this policy is understood, implemented and maintained at all levels in the organisation. The organisation's policy must have regard to safety and pollution prevention performance targets and indicators.

7 .  The organisation must ensure that:

   a) its rules and regulations are established and maintained in a systematic manner;
   b) its rules and regulations are complied with and an internal system to measure the quality of service in relation to those rules and regulations is put in place;
   c) the requirements of the statutory work for which the organisation is authorised are satisfied and an internal system to measure the quality of service in relation to compliance with the international conventions is put in place;
   d) the responsibilities, authorities and interrelation of personnel whose work affects the quality of the organisation's services are defined and documented;
   e) all work is carried out under controlled conditions;
   f) a supervisory system which monitors the actions and work carried out by surveyors and technical and administrative staff employed by the organisation is in place ;
   g) surveyors have an extensive knowledge of the particular type of ship on which they carry out their work as relevant to the particular survey to be carried out and of the relevant applicable requirements;
   h) a system for qualification of surveyors and continuous updating of their knowledge is implemented;
   i) records demonstrating achievement of the required standards in the items covered by the services performed, as well as the effective operation of the quality system, are maintained ;
   j) a comprehensive system of planned and documented internal audits of the quality related activities is maintained in all locations;
   k) the statutory surveys and inspections required by the Harmonised System of Survey and Certification for which the organisation is authorised are carried out in accordance with the provision set out in the Annex and Appendix to IMO Resolution A. 948(23)  on Survey Guidelines under the Harmonised System of Survey and Certification;
   l) clear and direct lines of responsibility and control are established between the central and the regional offices of the organisation and between organisations and their surveyors.

8 .  The organisation must have developed and implemented and must maintain an effective internal quality system which is based on appropriate parts of internationally recognised quality standards and which complies with EN ISO/IEC 17020:2004 (inspection bodies) and with EN ISO 9001:2000 as interpreted and certified by the Assessment Committee referred to in Article 21(1) of the Directive .

The Assessment Committee must act independently and must accordingly have access to all the resources needed to be able to operate properly and carry out thorough and consistent work. It must possess highly specialised and extensive technical skills and a code of conduct that safeguards the independence of the auditors" activities.

9 .  The rules and regulations of the organisation must be implemented in such a way that the organisation remains in a position to derive from its own direct knowledge and judgement a reliable and objective declaration concerning the safety of the ships concerned by means of classification certificates on the basis of which statutory certificates can be issued.

10 .  The organisation must have the necessary means of assessing - through the use of qualified professional staff and in accordance with the provisions set out in the Annex to IMO Resolution A.913 (22) on guidelines on implementation of the International Safety Management (ISM) Code by administrations - the application and maintenance of the safety management system, of both shore-based and on board ships, intended to be covered in the certification.

11 .  The organisation must allow participation in the development of its rules and/or regulations by representatives of the administration and other parties concerned.

ANNEX II

Part A

Repealed Directive with its successive amendments

(referred to in Article 26)

Council Directive 94/57/EC

OJ L 319, 12.12.1994, p. 20

Commission Directive 97/58/EC

OJ L 274, 7.10.1997, p. 8

Directive 2001/105/EC of the European Parliament and of the Council

OJ L 19, 22.1.2002, p. 9

Directive 2002/84/EC of the European Parliament and of the Council

OJ L 324, 29.11.2002, p. 53

Part B

List of time-limits for transposition into national law

(referred to in Article 26)

Directive

Time-limit for transposition

94/57/EC

31 December 1995

97/58/EC

30 September 1998

2001/105/EC

22 July 2003

2002/84/EC

23 November 2003

ANNEX III

Correlation Table

Directive 94/57/EC

This Directive

Article 1

Article 1

Article 2, introductory words

Article 2, introductory words

Article 2, first indent

Article 2, point (a)

Article 2, second indent

Article 2, point (b)

Article 2, third indent

Article 2, point (c)

Article 2, fourth indent

Article 2, point (d)

Article 2, fifth indent

Article 2, point (e)

Article 2, point (f)

Article 2, sixth indent

Article 2, point (g)

Article 2, seventh indent

Article 2, point (h)

Article 2, eighth indent

Article 2, point (i)

Article 2 point (j)

Article 2, ninth indent

Article 2, point (k)

Article 2, tenth indent

Article 2, point (l)

Article 2, eleventh indent

Article 2, point (m)

Article 3

Article 3

Article 4(1), first and second sentences

Article 4(1)

Article 4(1), last sentence

Article 6(1)

Article 4(2) and (3)

Articles 5 and 6(2) and (3)

Article 4(4)

Article 6(4)

Article 4(5)

Articles 5, 6, 7 and 8

Articles 7, 8, 9 and 10

Article 9

Articles 11 to 14

Article 10(1)

Article 15

Article 10(2), (3) and (4)

Article 11

Article 16

Article 17

Article 12

Article 18

Article 14

Article 19 (1) and (2)

Article 19(3)

Article 15

Article 20

Article 21 to 24

Article 16

Article 25

Article 26

Article 27

Article 17

Article 28

Annex

Annex I

Annex II

Annex III

(1) OJ C 318, 23.12.2006, p. 195.
(2) OJ C 229, 22.9.2006, p. 38.
(3) Position of the European Parliament of 25 April 2007 .
(4) OJ L 319, 12.12.1994, p. 20. Directive as last amended by Directive 2002/84/EC (OJ L 324, 29.11.2002, p. 53).
(5) OJ C 271, 7.10.1993, p. 1.
(6) OJ L 184, 17.7.1999, p. 23. Decision as amended by Decision 2006/512/EC (OJ L 200, 22.7.2006, p. 11).
(7) OJ L 204, 21.7.1998, p. 37. Directive as last amended by the 2003 Act of Accession.
(8) OJ L 208, 5.8.2002, p. 1. Regulation as last amended by Regulation (EC) No 1891/2006 (OJ L 394, 30.12.2006, p. 1).
(9) OJ L 324, 29.11.2002, p. 1. Regulation as last amended by Commission Regulation (EC) No 93/2007 (OJ L 22, 31.1.2007, p. 12).
(10) OJ L 46, 17.2.1997, p. 25. Directive as last amended by Directive 2002/84/EC (OJ L 324, 29.11.2002, p. 53).
(11)* Three years after the date of entry into force of this Directive.
(12)+ OJ: please insert date and number of this Directive.
(13) OJ L
(14)* 18 months after the date of entry into force of this Directive.
(15)* 12 months after the date of entry into force of this Directive.
(16)* 18 months after the date of entry into force of this Directive.
(17)* The date of entry into force of this Directive.

Last updated: 8 February 2011Legal notice