Corrigendum to Council Decision 2004/425/EC of 21 April 2004 on the conclusion of an Agreement between
the European Community and the United States of America on the mutual recognition of certificates of confor-
mity for marine equipment
(Official Journal of the European Union L 150 of 30 April 2004)
Decision 2004/425/EC should read as follows:
COUNCIL DECISION
of 21 April 2004
on the conclusion of an Agreement between the European Community and the United States of
America on the mutual recognition of certificates of conformity for marine equipment
(2004/425/EC)
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Com-
munity, and in particular Article 133 in conjunction with
Article 300(2), first subparagraph, first sentence, (3) first sub-
paragraph, first sentence, and (4) thereof,
Having regard to the proposal from the Commission,
Whereas:
(1) The Agreement between the European Community and
the United States of America on the mutual recognition
of certificates of conformity for marine equipment(Agreement) has been signed on behalf of the Com-munity on 27 February 2004, subject to its conclusion.
(2) The appropriate internal procedures should be estab-
lished to ensure the good functioning of the Agreement;
it is therefore necessary to delegate to the Commission
the power to take certain decisions for its implementa-tion.
(3) The Agreement should be approved,
HAS DECIDED AS FOLLOWS:
Article 1
The Agreement between the European Community and the
United States of America on the mutual recognition of certifi-cates of conformity for marine equipment is hereby approvedon behalf of the Community.
The text of the Agreement is attached to this Decision.Article 2
The President of the Council is hereby authorised to designate
the person(s) empowered to transmit, on behalf of the Com-
munity, the note provided for in Article 21(1) of the Agree-ment.
Article 3
1. The Commission, assisted by the special committee
appointed by the Council, shall represent the Community inthe Joint Committee provided for in Article 7 of the Agreementand in any working group that may be established according to
Article 7(4) of the Agreement. The Commission shall proceed,
after consultation with the special committee, to the notifica-tions, exchanges of information and requests for informationspecified in the Agreement.
2. The position of the Community with regard to decisions
to be taken by the Joint Committee shall be determined by the
Commission, following consultation of the special committee.
3. A decision relating to terminating the Agreement,
according to Article 21(3) thereof, shall be taken by theCouncil, acting by qualified majority on a proposal from theCommission.
Done at Luxembourg, 21 April 2004.
For the Council
The President
J. WALSH24.5.2004 L 185/18 Official Journal of the European Union EN
AGREEMENT
between the European Community and the United Sates of America on the mutual recognition of
certificates of conformity for marine equipment
PREAMBLE
The EUROPEAN COMMUNITY, and the UNITED STATES OF AMERICA, hereinafter referred to as 'the Parties',
CONSIDERING the traditional links of friendship that exist between the United States of America (US) and the European
Community (EC);
DESIRING to facilitate bilateral trade in marine equipment and to increase the effectiveness of each Party's regulatory
actions;
RECOGNISING the opportunities offered to regulators by the elimination of unnecessary duplication of their activities;NOTING the shared commitment of the Parties to the work of the International Maritime Organisation (IMO);CONSIDERING that the aim of the Parties is enhancing safety at sea and the prevention of marine pollution;RECOGNISING, on the one hand, that mutual recognition agreements can positively contribute to greater international
harmonisation of standards;
BEARING IN MIND, on the other hand, that the determination of equivalence must ensure that the fulfilment of the
regulatory objectives of the Parties is fully respected and shall not lead to a lowering of their respective levels of safety
and protection;
RECOGNISING that mutual recognition of certificates of conformity based on the equivalence of EC and US marine
equipment regulations is an important means of enhancing market access between the Parties;
RECOGNISING that agreements providing for mutual recognition are of particular interest to small and medium-sized
businesses in the US and the EC;
RECOGNISING that any mutual recognition also requires confidence in the continued reliability of the other Party's
conformity assessments;
BEARING IN MIND that the Agreement on Technical Barriers to Trade, an agreement annexed to the Agreement Estab-
lishing the World Trade Organisation (WTO), encourages WTO Members to enter into negotiations for the conclusion
of agreements for the mutual recognition of results of each other's conformity assessment procedures, as well as to give
positive consideration to accepting as equivalent the technical regulations of other Members, provided they are satisfied
that these regulations adequately fulfil the objectives of their own regulations,
HAVE AGREED AS FOLLOWS:
CHAPTER 1
DEFINITIONS AND PURPOSE
Article1
Definitions
1. The following terms and definitions shall apply to this
Agreement:
(a) 'regulatory authority' means a government agency or entity
that has the authority to issue regulations regarding issuesrelated to safety at sea and prevention of marine pollution,that exercises a legal right to control the use or sale ofmarine equipment within a Party's jurisdiction, and that
may take enforcement action to ensure that products
marketed within its jurisdiction comply with applicablelegal requirements. The Parties' respective regulatory Autho-
rities are identified in Annex III;
(b) 'conformity assessment body' means a legal entity, whether
a regulatory authority or another body, public or private,
that has the authority to issue certificates of conformityunder a Party's domestic laws and regulations. For purposesof this Agreement, the Parties' respective conformity assess-ment bodies are those referred to in Article 6;
(c) 'technical regulations' comprise the mandatory product
requirements, testing and performance standards andconformity assessment procedures laid down in the legisla-tive, regulatory and administrative provisions of the Parties
related to marine equipment, as well as any applicable
guidelines for their application;24.5.2004 L 185/19 Official Journal of the European Union EN
(d) 'certificate of conformity' means the document or docu-
ments issued by a conformity assessment body of a partycertifying that a product fulfils the relevant legislative, regu-latory and administrative requirements of that party. In theUS, this is the certificate of type approval issued by the
United States Coast Guard. In the EC, they are the certifi-
cates, approvals and declarations provided for by Directive96/98/EC;
(e) 'equivalence of technical regulations' means that the tech-
nical regulations of the Parties related to a specific product
are sufficiently comparable to ensure that the objectives of
each Party's respective regulations are fulfilled. Equivalenceof technical regulations does not require that the respectivetechnical regulations are identical;
(f) 'international instrument' means the relevant international
conventions, resolutions, codes and circulars of the Interna-
tional Maritime Organisation (IMO), and the relevanttesting standards.
2. Other terms concerning conformity assessment used in
this Agreement shall have the meaning given elsewhere in thisAgreement or in the definitions contained in Guide 2 (1996
edition) of the International Organisation for Standardisation
(ISO) and the International Electrotechnical Commission (IEC).In the event of an inconsistency between ISO/IEC Guide 2 anddefinitions in this Agreement, the definitions in this Agreementshall prevail.
Article 2
Purpose of the Agreement
1. This Agreement establishes the conditions under which
the importing Party's regulatory authority shall accept the certi-
ficates of conformity issued by the exporting Party's conformity
assessment bodies in accordance with the technical regulationsof the exporting Party, hereinafter referred to as 'mutual recog-nition'.
2. This Agreement also lays down a framework for regula-
tory cooperation with the objective of maintaining andfurthering mutual recognition between the EC and the US oftheir respective regulatory requirements for marine equipment;
of encouraging the improvement and evolution of regulatory
requirements for the purpose of enhancing the safety at seaand the prevention of marine pollution; and ensuring a consis-tent application of this Agreement. This cooperation will takeplace fully respecting the Parties regulatory autonomy and theirevolving policies and regulations as well as their shared
commitment to the evolution of the relevant international
instruments.3. This Agreement is intended to evolve as programs and
policies of the Parties evolve. The Parties will review this Agree-ment periodically, in order to assess progress and identifypotential enhancements to this Agreement as US and EC poli-cies evolve over time. Particular attention will also be given to
the evolution of the international instruments.
CHAPTER 2
MUTUAL RECOGNITION
Article 3
Basic obligations
1. With respect to each product listed in Annex II, the
United States shall accept as complying with its own legislative,
regulatory and administrative provisions as referred to in
Annex I, without any further conformity assessment, certifi-cates of conformity issued by the EC conformity assessmentbodies in accordance with the legislative, regulatory and admin-istrative provisions of the EC.
2. With respect to each product listed in Annex II, the Euro-
pean Community and its Member States shall accept ascomplying with their own legislative, regulatory and adminis-trative provisions as referred to in Annex I, without any further
conformity assessment, certificates of conformity issued by the
US conformity assessment body in accordance with the legisla-tive, regulatory and administrative provisions of the UnitedStates.
3. The technical regulations applicable in the US and the EC
to each such product within the scope of this Agreement arespecified in Annex II.
Article 4
Equivalence of technical regulations
1. The mutual recognition obligations referred to in Article
3 are based on the determination by the Parties that the tech-
nical regulations applicable to each product listed in Annex IIare equivalent.
2. Determination of equivalence of technical regulations of
the Parties shall be based on their implementation of the rele-vant international instruments in their respective legislation,regulations and administrative provisions, except where a Partyregards the instrument would be an ineffective or inappropriatemeans of fulfilment of its regulatory objectives. In the latter
case, equivalency shall be determined on a mutually acceptable
basis.24.5.2004 L 185/20 Official Journal of the European Union EN
Article 5
Marking
The Parties may maintain their respective requirements with
regard to the marking, numbering and identification ofproducts. With respect to the products listed in Annex II, theEC conformity assessment bodies shall have the right to issuethe marking and numbering required by the US legislation and
regulations, as allocated to them by the US Coast Guard. The
US conformity assessment body shall be given the identificationnumber provided for in Directive 96/98/EC, as allocated to itby the Commission of the European Communities, which shallbe affixed next to the marking required by that Directive.
Article 6
Conformity assessment bodies
1. For the purpose of issuing certificates of conformity in
accordance with the provisions of this Agreement, thefollowing shall apply:
(a) The US recognises the notified bodies that have been desig-
nated by the EC Member States under Directive 96/98/EC
as conformity assessment bodies;
(b) The EC and its Member States recognise the United States
Coast Guard together with the laboratories it has accepted
under 46 CFR 159.010, as a conformity assessment body.
2. Each Party recognises that the conformity assessment
bodies of the other Party are authorised to perform thefollowing procedures in relation to the legislative, regulatoryand administrative provisions referred to in Annex I:
(a) testing and issuing of test reports,
(b) performing quality assurance functions or system certifica-
tion.
3. The Regulatory Authorities of the Parties are responsible
for the following procedures, but may delegate some or all ofthese functions to conformity assessment bodies:
(a) reviewing equipment design and test results against identi-
fied standards,
(b) issuing certificates of conformity.
4. Prior to the entry into force of this Agreement the Parties
shall exchange their respective lists of conformity assessment
bodies. The Parties shall inform each other promptly of any
changes to their list of conformity assessment bodies. TheParties shall maintain on the World Wide Web updated lists oftheir conformity assessment bodies.
5. Each Party shall require that its conformity assessment
bodies record and retain details of their investigations of thecompetence and compliance of their sub-contractors and main-
tain a register of all sub-contracting. These details will be avail-
able to the other Party on request.6. Each Party shall require that its conformity assessment
bodies, upon request of a regulatory authority of the otherParty listed in Annex III, make available to the regulatoryauthorities, copies of the certificates of conformity and relatedtechnical documentation they have issued.
CHAPTER 3
JOINT COMMITTEE
Article 7
Joint Committee
1. The Parties hereby establish a Joint Committee consisting
of representatives of each Party. The Joint Committee shall be
responsible for the effective functioning of this Agreement.
2. Each Party shall have one vote in the Joint Committee.
The Joint Committee shall make its decisions by unanimity.The Joint Committee shall determine its own rules of proce-dure.
3. The Joint Committee may consider any matter relating to
the effective functioning of this Agreement. The Joint
Committee shall have the authority to take decisions in thecases provided for in this Agreement. The Parties shall take thenecessary measures to implement such decisions of the JointCommittee. In particular, the Joint Committee shall be respon-
sible for:
(a) developing and maintaining the list in Annex II of products
and associated legislative, regulatory and administrativeprovisions that the Parties have determined to be equiva-
lent;
(b) discussing issues and resolving problems that may arise
concerning the implementation of this Agreement,including concerns that technical regulations of the Parties
applicable to a specific product in Annex II may no longer
be equivalent;
(c) addressing technical, conformity assessment and technology
issues in order to ensure a consistent application of this
Agreement, in particular in relation to the relevant interna-
tional instruments;
(d) amending the Annexes;
(e) providing guidance and, if necessary, developing guidelines
to facilitate the successful implementation and applicationof this Agreement;
(f) establish and maintain a work plan for aligning and harmo-
nising the technical requirements of the Parties;
4. The Joint Committee may establish Joint Working Groups
comprised of appropriate Regulatory Authorities' representa-tives and appropriate experts deemed necessary, in order to
address and advise the Joint Committee on specific issues
related to the functioning of this Agreement.24.5.2004 L 185/21 Official Journal of the European Union EN
CHAPTER 4
REGULATORY COOPERATION
Article 8
Preservation of regulatory authority
Nothing in this Agreement shall be construed to limit the
authority of a Party to determine, through its legislative, regula-tory and administrative measures, the level of protection itconsiders appropriate for enhancing safety at sea and
improving the prevention of marine pollution, or otherwise act
with regard to risks within the scope of this Agreement.
Article 9
Exchange of information and contact points
1. The regulatory authorities of the Parties listed in Annex
III will establish appropriate means of exchanging informationon any regulatory problems concerning products subject to this
Agreement.
2. Each Party shall designate at least one contact point,
which may be the regulatory authorities listed in Annex III, toprovide answers to all reasonable inquiries from the other Partyand other interested parties such as manufacturers, consumers,
trade unions, regarding procedures, regulations, and other
matters related to this Agreement. The Parties shall exchange,and make publicly available, lists of contact points.
3. With regard to the exchange of information and notifica-
tions under this Agreement a Party shall have the right to
communicate in its official language or languages. If a Party
deems that information it receives must be translated into itsofficial language or languages, that Party shall undertake thenecessary translation and bear the cost.
4. Each Party agrees to make available to the public its list
of products for which it has issued certificates of conformityunder its respective legislative, regulatory and administrativeprovisions on the World Wide Web and update it on a regularbasis.
Article 10
Regulatory changes
1. When a Party introduces new technical regulations
related to this Agreement, it shall do so on the basis of existing
international instruments, except when a Party considers theinstrument would be an ineffective or inappropriate means forfulfilment of its regulatory objectives.
2. Each Party shall notify the other Party of changes to tech-
nical regulations related to the subject matter of this Agreement
at least 90 days before their entry into force. Where considera-tions of safety, health or environmental protection require
more urgent action, a Party shall notify the other Party as soonas practicable.
3. The Parties and their regulatory authorities shall inform
and consult with one another, as permitted by their respective
laws and regulations, on:
(a) proposals to amend or introduce new technical regulations
as laid down in their respective legislative, regulatory andadministrative provisions referred in, or related to, provi-sions listed in Annexes I and II;
(b) timely incorporation of amended or new international
instruments into their respective legislation, regulations and
administrative provisions; and
(c) the renewal of existing and valid certificates of conformity
when the renewal is required by amended or new legisla-
tive, regulatory and/or administrative provisions.
The Parties will provide each other the opportunity to
comment on such proposals.
4. In the event of changes to the legislation, regulations, and
administrative provisions referred to in Annex I and II, the
Joint Committee shall consider whether or not the equivalence
of the technical regulations with respect to products listed inAnnex II has been maintained.
If it is agreed in the Joint Committee that equivalence is main-
tained, then the product shall be retained in Annex II.
If it is agreed in the Joint Committee that equivalence cannot
be maintained, references to products and the relevant technicalregulations for which equivalence cannot be maintained shallbe removed from Annex II. The Joint Committee shall updateAnnex II by a decision to reflect the changes. Upon the discon-
tinuance of mutual recognition, the Parties are no longer
bound by the obligations referred to in Article 3 of this Agree-ment for the specific product. However, the importing Partyshall continue to recognise previously issued certificates ofconformity for products that have been placed on the market
of that Party prior to the discontinuance of mutual recognition,
unless a regulatory authority in the Party decides otherwisebased on health, safety or environmental considerations orfailure to satisfy other requirements within the scope of thisAgreement.
If the Parties, within the Joint Committee, cannot agree on
whether or not equivalence of their technical regulations withrespect to a product listed in Annex II is maintained, thenmutual recognition with respect to that product shall besuspended according to the terms of Article 15.
5. The Parties shall make available on the World Wide Web
an up-to-date version of Annex II.24.5.2004 L 185/22 Official Journal of the European Union EN
Article 11
Regulatory cooperation
1. The Parties agree to cooperate in the IMO and other rele-
vant international organisation such as the International Orga-nisation for Standardisation (ISO), the International Electrotech-nical Commission (IEC) and the International Telecommunica-tions Union (ITU), with a view to establishing and improving
international rules for enhancing the safety at sea and the
prevention of marine pollution.
2. The Parties will consider what technical work, data and
information exchange, scientific and technological cooperationor other cooperative activities can be pursued between them
with a view to improving the quality and level of their tech-
nical regulations applicable to marine equipment and makingefficient use of resources for regulatory development.
3. For products that are not included in Annex II upon
entry into force of this Agreement or for which equivalence of
technical regulations has been discontinued or suspended, theParties undertake to examine their respective technical regula-tions with a view to establishing, to the extent possible, mutualrecognition. The Parties will set out a work program and time-
table for alignment of their technical regulations, including the
initiation of appropriate international standards work. TheParties shall endeavour to align their technical regulations tothe extent possible on the basis of existing international instru-ments in pursuit of the objective of their domestic legislationto enhance safety at sea and improve the prevention of marine
pollution.
4. When the Parties have determined that equivalence can
be established for a product and associated legislative, regula-tory and administrative provisions, the Joint Committee shall
take a decision to amend Annex II accordingly.
Article 12
Cooperation on conformity assessment
1. The Parties and their authorities responsible for confor-
mity assessment issues shall consult as necessary to ensure the
maintenance of confidence in conformity assessment proce-
dures and conformity assessment bodies. This can take theform of, for example, comparison of methods to verify andmonitor the technical competence and ability of conformityassessment bodies, and, with the consent of both Parties, jointparticipation in audits/inspections related to conformity assess-
ment activities or other assessment of conformity assessment
bodies.2. The Parties shall encourage their conformity assessment
bodies to take part in coordination and cooperation activitiesorganised by the Parties either separately or jointly.
CHAPTER 5
SURVEILLANCE AND SAFEGUARD MEASURES
Article 13
Surveillance of conformity assessment bodies
1. The Parties shall ensure that their conformity assessment
bodies are capable and remain capable of properly assessingconformity of products or processes, according to the applic-able legislation, regulations and administrative provisions. Inthis regard, the Parties shall maintain, or cause to maintain,
ongoing surveillance, as applicable, over their conformity
assessment bodies and/or recognised laboratories, by means ofregular audit or assessment.
2. In case a Party has objective reasons for contesting the
technical competence of a conformity assessment body of theother Party, it shall inform the other Party thereof. Suchcontestation shall be exercised when justified in an objectiveand reasoned manner. The other Party shall in a timely mannerpresent information in order to refute the contestation or to
correct the deficiencies which form the basis of the contesta-
tion. If necessary the matter shall be discussed in the JointCommittee. If agreement cannot be reached on the competencyof the conformity body, the contesting Party may refuse togrant its marking and/or numbering to the contested confor-
mity assessment body and refuse to recognise the certificates of
conformity issued by the contested conformity assessmentbody.
Article14
Market surveillance
1. Nothing in this Agreement shall be construed to limit the
authority of a regulatory authority to take all appropriate andimmediate measures whenever it ascertains that a product may:
(a) although correctly installed, maintained and used for its
intended purpose, compromise the health and/or safety ofthe crew, the passengers or, where applicable, otherpersons, or adversely affect the marine environment;
(b) not meet the legislative, regulatory, or administrative provi-
sions within the scope of the Agreement; or
(c) otherwise fail to satisfy a requirement within the scope of
the Agreement.24.5.2004 L 185/23 Official Journal of the European Union EN
Such measures may include withdrawing the products from the
market, prohibiting their placement on the market, restrictingtheir free movement, initiating a product recall, and preventingthe recurrence of such problems, including through a prohibi-tion on imports. If the regulatory authority takes such action, it
shall inform the other Party no later than 15 days after taking
such action, providing its reasons for such action.
2. Nothing in this Agreement shall prevent the Parties from
removing products from the market that do not in factconform to a Party's technical regulations.
3. The Parties agree that any applicable border inspections
and checks of products which have been certified, labelled ormarked as conforming with the importing Party's requirementsspecified in Annex I shall be completed as expeditiously as
possible. With regard to any inspections related to internal
movement within their respective territories, the Parties agreethat these shall be completed in no less a favourable mannerthan for like domestic products.
Article 15
Suspending mutual recognition
1. In case a Party considers that equivalence of technical
regulations with respect to one or more products listed inAnnex II is not being or cannot be maintained, it shall inform
the other Party thereof and give the objective reasons for this.
Any contestation of equivalence shall be discussed in the JointCommittee. If no decision is reached by the Joint Committeewithin 60 days of the referral to it the mutual recognition obli-gation with respect to such products shall be suspended by oneor both Parties. The suspension shall remain in effect until
agreement has been reached by the Joint Committee.
2. The Joint Committee shall update Annex II by a decision
to reflect the suspension of mutual recognition for the productsin question. The Parties agree to cooperate according to theterms of Article 11 in view of establishing equivalence again,
to the extent possible.
3. Upon suspension of mutual recognition of technical regu-
lations referred to in Annex II the Parties are no longer boundby the obligations referred to in Article 3 of this Agreement for
the specific product. However, the importing Party shall
continue to recognise previously issued certificates of confor-mity for products that have been placed on the market of thatParty prior to the suspension of mutual recognition, unless aRegulatory Authority in the Party decides otherwise based onhealth, safety or environmental considerations or failure to
satisfy other requirements within the scope of this Agreement.
Article 16
Alert system
The Parties will put into place a two-way alert system between
their regulatory authorities in order to inform each other ofproducts that have been found not to comply with applicable
technical regulations or can pose an imminent danger tohealth, safety or the environment.
CHAPTER 6
ADDITIONAL PROVISIONS
Article 17
Confidentiality
1. Each Party agrees to maintain, to the extent required
under its laws, the confidentiality of information exchanged
under this Agreement. In particular, neither Party shall disclose
to the public, nor permit a conformity assessment body todisclose, information exchanged under this Agreement thatconstitutes trade secrets, confidential commercial or financialinformation, or information that relates to an ongoing investi-
gation.
2. A Party or a conformity assessment body may, upon
exchanging information with the other Party or with a confor-
mity assessment body of the other Party, designate the portionsof the information that it wishes to be exempt from disclosure.
3. Each Party shall take all precautions reasonably necessary
to protect information exchanged under this Agreement fromunauthorised disclosure.
Article 18
Fees
Each Party shall endeavour to ensure that fees imposed for
services related to the subject matter of this Agreement shall becommensurate with the services provided. Each Party shall
ensure that, for conformity assessment procedures covered
under this Agreement, it shall charge no fees with respect toconformity assessment services provided by the other Party.
Article 19
Territorial application
1. This Agreement shall apply, on the one hand to the terri-
tories in which the Treaty establishing the European Com-munity is applied, and under the conditions laid down in thatTreaty and, on the other hand, to the territory of the UnitedStates.
2. Without prejudice to paragraph 1, this Agreement applies
to ships entitled to fly the flag of either Party, or one of the
Parties' Member States, operating in international voyages.24.5.2004 L 185/24 Official Journal of the European Union EN
Article 20
Agreements with other countries
1. Except where there is written agreement between the
Parties, obligations contained in mutual recognition agreements
concluded by either Party with a party not a signatory to thisAgreement (a third party) shall have no force and effect withregard to the other Party in terms of acceptance of the resultsof conformity assessment procedures in the third party.
2. In view of furthering trade facilitation in marine equip-
ment with other countries, the EC and the US undertake toexamine the possibility of establishing a multilateral agreement
on the subject matter covered by this Agreement with other
interested countries.
CHAPTER 7
FINAL PROVISIONS
Article 21
Entry into force, amendments and termination
1. This Agreement shall enter into force on the first day of
the second month following the date on which the Parties haveexchanged letters confirming the completion of their respectiveprocedures for the entry into force of this Agreement.2. This Agreement may be amended as specified in Article 7
or by the Parties.
3. Either Party may terminate this Agreement by giving the
other Party six months notice in writing.
4. Following termination of this Agreement, a Party shall
continue to accept the certificates of conformity issued by
conformity assessment bodies under this Agreement prior to
termination, unless a regulatory authority in the Party decidesotherwise based on health, safety and environmental considera-tions or failure to satisfy other requirements within the scopeof this Agreement.
Article 22
Final provisions
1. This Agreement shall not affect the rights and obligations
of the Parties under any other international agreement.
2. The Parties will review the functioning of this Agreement
on a regular basis, the first time no later than two years after
its entry into force.
3. This Agreement is drawn up in two originals in the
Danish, Dutch, English, Finnish, French, German, Greek, Italian,Portuguese, Spanish and Swedish languages, each text beingequally authentic. In the event of inconsistencies of interpreta-tion, the English text shall be determinative.24.5.2004 L 185/25 Official Journal of the European Union EN
ANNEX I
LEGISLATION, REGULATIONS AND ADMINISTRATIVE PROVISIONS
— EC legislation, regulations and administrative provisions:
Council Directive 96/98/EC of 20 December 1996 on marine equipment, as amended.
The Parties recognise that the ‘Guide to the Implementation of Directives Based on the New Approach and Global
Approach’ provides useful guidelines for the implementation of in particular conformity assessment procedures
falling under this Directive.
— US legislation, regulations and administrative provisions:
46 USC. 3306
46 CFR Parts 159 to 16524.5.2004 L 185/26 Official Journal of the European Union EN
ANNEX II
Product Coverage For Mutual Recognition
Life saving appliances
Product item identificationApplicable international instruments for construction, performance and testing
requirements1EC technical regulations, item number
indicated in Annex A.1 of Directive
96/98/EC, as amendedUS technical regulations
Lifebuoy self-activating smoke signals (pyrotech-
nics)
Note: Expiration date not to exceed 48 months
after month of manufacture.LSA Code, sections 1.2, and 2.1.3;
Recommendation on Testing, Part 1, paragraphs 4.1 to 4.5, and 4.8, and Part 2,
section 4;
IMO MSC Circ.980, section 3.3.A.1/1.3 Guidelines for Approval of 'SOLAS'
Pyrotechnic Devices, October 1998
Rocket parachute flares (pyrotechnics)
Note: Expiration date not to exceed 48 months
after month of manufacture.LSA Code, sections 1.2, and 3.1;
Recommendation on Testing, Part 1, paragraphs 4.1 to 4.6, and Part 2, section
4;
IMO MSC Circ.980, section 3.1.A.1/1.8 Guidelines for Approval of 'SOLAS'
Pyrotechnic Devices, October 1998
Hand flares (pyrotechnics)
Note: Expiration date not to exceed 48 months
after month of manufacture.LSA Code, sections 1.2, and 3.2;
Recommendation on Testing, Part 1, paragraphs 4.1 to 4.5, and 4.7, and Part 2,
section 4;
IMO MSC Circ.980, section 3.2.A.1/1.9 Guidelines for Approval of 'SOLAS'
Pyrotechnic Devices, October 1998
Buoyant smoke signals (pyrotechnics)
No te: Expiration date not to exceed 48 months
after month of manufacture.LSA Code, sections 1.2, and 3.3;
Recommendation on Testing, Part 1, paragraphs 4.1 to 4.5, and 4.8; and Part 2,
section 4;
IMO MSC Circ.980, section 3.3.A.1/1.10 Guidelines for Approval of 'SOLAS'
Pyrotechnic Devices, October 1998
Line-throwing appliances (pyrotechnics)
Note: Expiration date not to exceed 48 months
after month of manufacture.LSA Code, sections 1.2, and 7.1;
Recommendation on Testing, Part 1, section 9; and Part 2, section 4;IMO MSC Circ.980, section 7.1.A.1/1.11 Guidelines for Approval of 'SOLAS'
Pyrotechnic Devices, October 1998
Rigid liferafts
Note: The emergency pack is not covered by the
AgreementLSA Code, sections 1.2, 4.1 and 4.3;
Recommendation on Testing, Part 1, paragraphs 5.1 to 5.16, and 5.20;IMO MSC Circ.811;IMO MSC Circ.980, section 4.2;
IMO MSC Circ.1006 or other appropriate standard for hull or fire-retardant
covering.A.1/1.13 Rigid Liferaft – Coast Guard (G-
MSE-4) Review Checklist, 27 July
199824.5.2004 L 185/27 Official Journal of the European Union EN
Product item identificationApplicable international instruments for construction, performance and testing
requirements1EC technical regulations, item number
indicated in Annex A.1 of Directive
96/98/EC, as amendedUS technical regulations
Automatically self-righting rigid liferafts
Note: The emergency pack is not covered by the
AgreementLSA Code, sections 1.2, 4.1 and 4.3;
Recommendation on Testing, Part 1, paragraphs 5.1 to 5.16, and 5.18 to 5.21;IMO MSC Circ.809;
IMO MSC Circ.811;
IMO MSC Circ.980, section 4.2;IMO MSC Circ.1006 or other appropriate standard for hull or fire-retardant
covering.A.1/1.14 Rigid Liferaft – Coast Guard (G-
MSE-4) Review Checklist, 27 July
1998
Canopied reversible rigid liferafts
Note: The emergency pack is not covered by the
AgreementLSA Code, sections 1.2, 4.1 and 4.3;
Recommendation on Testing, Part 1, paragraphs 5.1 to 5.16, 5,18, and 5.21;
IMO MSC Circ.809;IMO MSC Circ.811;
IMO MSC Circ.980, section 4.2;
IMO MSC Circ.1006 or other appropriate standard for hull or fire-retardant
covering.A.1/1.15 Rigid Liferaft – Coast Guard (G-
MSE-4) Review Checklist, 27 July
1998
Float-free arrangements for liferafts (hydrostatic
release units)LSA Code, sections 1.2 and 4.1.6.3;
Recommendation on Testing, Part 1, section 11;
IMO MSC Circ.980, section 4.3.1;A.1/1.16 46 CFR 160.062
Release mechanism for
(a) Lifeboats and rescue boats and
(b) Liferafts
Launched by a fall or falls
Limited to Davit-launched liferaft automatic release
hookLSA Code, sections 1.2 and 6.1.5;
Recommendation on Testing, Part 1, section 8.2;
and Part 2, paragraphs 6.2.1 through 6.2.4;A.1/1.26 (Nothing in addition to international
instruments)
Marine evacuation systems LSA Code, sections 1.2 and 6.2;
Recommendation on Testing, Part 1, section 12,IMO MSC Circ.980, section 6.2.A.1/1.27 (Nothing in addition to international
instruments)
(1) 'LSA Code' refers to the International Life-Saving Appliance Code adopted on 4 June 1996 (IMO Resolution MSC.48(66)).
'Recommendation on Testing' refers to the IMO recommendation on Testing of Life-Saving Appliances adopted on 6 November 1991 (IMO Resolution A.689( 17)) as amended on 11 December 1998 (IMO Resolution MSC.81(70).24.5.2004 L 185/28 Official Journal of the European Union EN
Fire protection
Product item identificationApplicable international instruments for construction, performance and testing require-
mentsEC technical regulations, item number
indicated in Annex A.1 of Directive
96/98/EC, as amendedUS technical regulations
Primary deck coverings FTP Code Annex 1, Parts 2
IMO Resolution A.687(17);MSC/Circ. 916;MSC/Circ. 1004.A.1/3.1 (Nothing in addition to international
instruments)
'A' and 'B' Class division fire integrity, including:
Bulkheads (without windows)
DecksFire doors (with windows no larger than 645 cm
2)
Ceilings and liningsSOLAS II-2/3.2; II-2/3.4;
FTP Code Annex 1, Part 3, and Annex 2;
IMO Resolution A.754 (18);MSC/Circ.916;MSC/Circ.1004;
MSC/Circ.1005.A.1/3.11 (Nothing in addition to international
instruments)
Non-combustible materials SOLAS II-2/3.33;
FTP Code Annex 1, Part 1, and Annex 2.A.1/3.13 (Nothing in addition to international
instruments)
Fire doors
Limited to fire doors without windows or with
total window area no more than 645 cm
2in each
door leaf.
Approval limited to maximum door size tested.Doors must be used with a fire tested frame
design.SOLAS II-2/9.4.1.1.2, II-2/9.4.1.2.1, and II-2/9.4.2;
FTP Code Annex 1, Part 3;IMO Resolution A.754 (18);
MSC/Circ. 916;
MSC/Circ. 1004.A.1/3.16 (Nothing in addition to international
instruments)
Fire door control systems SOLAS II-2/9.4.1.1.4;
1994 HSC Code 7.9.3.3;2000 HSC Code 7.9.3.3;
FTP Code Annex 1, Part 4.A.1/3.17 (Nothing in addition to international
instruments)24.5.2004 L 185/29 Official Journal of the European Union EN
Product item identificationApplicable international instruments for construction, performance and testing require-
mentsEC technical regulations, item number
indicated in Annex A.1 of Directive
96/98/EC, as amendedUS technical regulations
Surface materials and floor coverings with low
flame-spread characteristics
Limited to exposed surfaces of ceilings, walls, and
floors. Does not apply to pipes, pipe coverings, or
cables.SOLAS II-2/3.29;
1994 HSC Code 7.4.3.4.1 and 7.4.3.6;2000 HSC Code 7.4.3.4.1 and 7.4.3.6;
FTP Code, Annex 1, Parts 2
IMO Resolution A.653 (16);ISO 1716 (1973);
MSC/Circ. 916, MSC/Circ. 1004 and MSC/Circ. 1008.A.1/3.18 (Nothing in addition to international
instruments)
Draperies, curtains and other suspended textile
materials and filmsSOLAS II-2/3.40.3;
FTP Code Annex 1, Part 7.A.1/3.19 (Nothing in addition to international
instruments)
Upholstered furniture FTP Code Annex 1, Part 8;
IMO Resolution A.652 (16).A.1/3.20 (Nothing in addition to international
instruments)
Bedding components FTP Code Annex 1, Part 9;
IMO Resolution A.688 (17).A.1/3.21 (Nothing in addition to international
instruments)
Fire dampers SOLAS II-2/9.4.1.1.8, and II-2/9.7.3.1.2;
FTP Code Annex 1, Part 3;
IMO Resolution A.754 (18);
MSC/Circ. 916.A.1/3.22 (Nothing in addition to international
instruments)
Penetrations through 'A' class divisions by electric
cables, pipes, trunks, ducts etc.SOLAS II-2/9.3.1;
FTP Code Annex 1, Part 3;IMO Resolution A.754 (18);MSC/Circ. 916, and MSC/Circ. 1004.A.1/3.26 (Nothing in addition to international
instruments)
Penetrations through 'B' class divisions by pipes
other than steel or copperSOLAS II-2/9.3.2.1;
FTP Code Annex 1, Part 3;
IMO Resolution A.754 (18);
MSC/Circ. 916, and MSC/Circ. 1004.A.1/3.27 (Nothing in addition to international
instruments)24.5.2004 L 185/30 Official Journal of the European Union EN
Navigation equipment
Product item identificationApplicable international instruments for construction, performance and testing require-
mentsEC technical regulations, item number
indicated in Annex A.1 of Directive
96/98/EC, as amendedUS technical regulations
Magnetic compass SOLAS V/19.2.1.1;
IMO Resolution A.382 (X),;IMO Resolution A.694 (17);ISO 449 (1997), ISO 694 (2000), ISO 1069 (1973), ISO 2269 (1992),
IEC 60945 (1996).A.1/4.1 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.101.
Transmitting magnetic heading device (TMHD) IMO Resolution MSC 86 (70) annex 2;
IMO Resolution A.694 (17);ISO 11606 (2000), IEC 60945 (1996), IEC 61162.A.1/4.2 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.102.
Gyro compass IMO Resolution A.424 (XI);
IMO Resolution A.694 (17);
ISO 8728 (1997), IEC 60945 (1996), IEC 61162.A.1/4.3 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.103.
Echo-sounding equipment IMO Resolution A.224 (VII) as amended by IMO Resolution MSC74 (69) Annex
4, IMO Resolution A.694 (17);
ISO 9875 (2000), IEC 60945 (1996), IEC 61162.A.1/4.6 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.107.
Speed and distance measuring equipment (SDME) 1994 HSC Code 13.3.2;
2000 HSC Code 13.3.2;IMO Resolution A.824 (19) as amended by
IMO Resolution MSC 96(72);
IMO Resolution A.694 (17);A.1/4.7 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.105.
Rate-of-turn indicator IMO Resolution A.694 (17);
IMO Resolution A.526 (13);IEC 60945 (1996), IEC 61162.A.1/4.9 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.106.
Loran-C equipment IMO Resolution A.694 (17);
IMO Resolution A.818 (19);
IEC 61075 (1991), IEC 60945 (1996), IEC 61162.A.1/4.11 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.135.24.5.2004 L 185/31 Official Journal of the European Union EN
Product item identificationApplicable international instruments for construction, performance and testing require-
mentsEC technical regulations, item number
indicated in Annex A.1 of Directive
96/98/EC, as amendedUS technical regulations
Chakya equipment IMO Resolution A.694 (17);
IMO Resolution A.818 (19);IEC 61075 (1991), IEC 60945 (1996), IEC 61162.A.1/4.12 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.136.
GPS equipment IMO Resolution A.819 (19), IMO Resolution A.694 (17);
IEC 60945 (1996), IEC 61108-1 (1994), IEC 61162.A.1/4.14 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.130.
GLONASS equipment IMO Resolution MSC 53 (66);
IMO Resolution A.694 (17);
IEC 61108-2 (1998), IEC 60945 (1996), IEC 61162.A.1/4.15 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.131.
Heading control system HCS SOLAS V/24.1;
IMO Resolution A.342 (IX);
as amended by IMO Resolution MSC 64 (67) Annex 3;
IMO Resolution A.694 (17);A.1/4.16 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.110.
Automatic radar plotting aid (ARPA)
(Radar equipment used with ARPA must have
separate EU and US certifications.)IMO Resolution A.823 (19);
IMO Resolution A.694 (17);
IEC 60872-1 (1998), IEC 61162.A.1/4.34 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.120.
Automatic tracking aid (ATA)
(Radar equipment used with ATA must have sepa-
rate EU and US certifications.)IMO Resolution MSC 64(67), Annex 4, Appendix 1;
IMO Resolution A.694 (17);
IEC 60872-2 (1999), IEC 60945 (1996), IEC 61162.A.1/4.35 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.111.
Electronic plotting aid (EPA)
(Radar equipment used with EPA must have sepa-
rate EU and US certifications.)IMO Resolution MSC 64(67), Annex 4, Appendix 2;
IMO Resolution A.694 (17);IEC 60872-3 (2000), IEC 60945 (1996), IEC 61162.A.1/4.36 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.121.
Integrated bridge system IMO Resolution MSC.64 (67) Annex 1;
IMO Resolution A.694 (17);
IEC 61209 (1999), IEC 60945 (1996), IEC 61162.A.1/4.28 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.140.
Voyage datar (VDR) IMO Resolution A.861(20);
IMO Resolution A.694 (17);IEC 61996 (2000), IEC 60945 (1996), IEC 61162.A.1/4.29 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.150.24.5.2004 L 185/32 Official Journal of the European Union EN
Product item identificationApplicable international instruments for construction, performance and testing require-
mentsEC technical regulations, item number
indicated in Annex A.1 of Directive
96/98/EC, as amendedUS technical regulations
Gyro compass for high speed craft IMO Resolution A.821 (19);
IMO Resolution A.694 (17);ISO 16328 (2001), IEC 60945 (1996), IEC 61162.A.1/4.31 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.203.
Universal automatic identification system equip-
ment (AIS)IMO Resolution MSC.74 (69) Annex 3;
IMO Resolution A.694 (17);ITU R. M. 1371-1 (10/00)A.1/4.32 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.155.
NOTE: In addition, the radio trans-
mitter is required to be authorized by
the US Federal Communications
Commission
Track control system IMO Resolution MSC.74 (69) Annex 2;
IMO Resolution A.694 (17);IEC 62065 (2002), IEC 60945 (1996), IEC 61162.A.1/4.33 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.112.
Radar reflector IMO Resolution A.384 (X);
IEC 60945 (1996), ISO 8729 (1997).A.1/4.39 Navigation and Vessel Inspection
Circular NVIC 8-01, enclosure (4),
2/165.160.24.5.2004 L 185/33 Official Journal of the European Union EN
ANNEX III
REGULATORY AUTHORITIES
— European Community
Belgium Ministère des communications et de l'infrastructure
Administration des affaires maritimes et de la navigation
Rue d'Arlon 104
B – 1040 Bruxelles
Ministerie voor Verkeer en Infrastructuur
Bestuur voor Maritieme Zaken en Scheepvaart
Aarlenstraat 104
B – 1040 Brussel
Denmark Søfartsstyrelsen
Vermundsgade 38 C
DK – 2100 København Ø
Germany Bundesministerium für Verkehr,
Bau- und Wohnungswesen (BMVBW)
Invalidenstraße 44
D – 10115 Berlin
Greece ΥΠΟΥΡΓΕΙΟ ΕΜΠΟΡΙΚΗΣ ΝΑΥΤΙΛΙΑΣ
Γρ.Λαµπράκη 150
GR – 185 18 Πειραιας
(Ministry of Merchant Marine
150,Gr. Lampraki str.
GR – 185 18 Piraeus)
Spain Ministerio de Fomento
Dirección General de la Marina Mercante.
C/ Ruíz de Alarcón 1
ES-28071 Madrid
France Ministère de l'équipement, du transport et du logement
Direction des affaires maritimes et des gens de mers
3, place de Fontenoy
F-75700 Paris
Ireland Maritime Safety Division
Department of the Marine and Natural Resources
Leeson Lane
Dublin 2
Italy Ministero delle Infrastrutture e dei Trasporti
Unita di Gestione del trasporto maritimo
Via dell'arte, 16
IT – 00144 – Roma
Luxembourg Commissariat aux affaires maritimes
26 place de la Gare
L-1616 Luxembourg
The Netherlands Ministerie van Verkeer en Waterstaat
Directoraat-Generaal Goederenvervoer (DGG)
Directie Transportveiligheid
Nieuwe Uitleg 1,
Postbus 20904
NL-2500 EX Den Haag24.5.2004 L 185/34 Official Journal of the European Union EN
Austria Bundesministerium für Verkehr, Innovation und Technologie
Oberste Schiffahrtsbehörde
Abteilung II/20Radetzkystrasse 2
A-1030 Wien
Portugal Ministério das Obras Públicas, Transportes e
Habitação
Palácio Penafiel
rua S. Mamede ao Caldas 21
Finland Liikenne- ja viestintäministeriö / kommunikationsministeriet
PO Box 235
FIN-00131 Helsinki
Sweden Sjöfartsverket
S-601 78 Norrköping
United Kingdom Maritime and Coastguard Agency
Spring Place
105 Commercial Road
Southampton SO15 1EG
Commission of the European Commu-
nitiesDirectorate General for Energy and Transport
Maritime Safety Unit
200, rue de la Loi
B-1049 Brussels
— United States of America
United States Coast Guard
Office of Design and Engineering
Standards (G-MSE)
2100 Second Street S.W.
Washington DC 2059324.5.2004 L 185/35 Official Journal of the European Union EN