Directive 2001/105/EC of the European Parliament and of the Council of 19 December 2001 amending Council Directive 94/57/EC on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations (Text with EEA relevance)
Date: 2001-12-19
Institutions: Council of the European Union, European Parliament
Subjects: International Maritime Organisation, international standard, maritime transport, roadworthiness tests, transport safety, vessel

22.1.2002

EN

Official Journal of the European Communities

L 19/9

DIRECTIVE 2001/105/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 19 December 2001

amending Council Directive 94/57/EC on common rules and standards for ship inspection and
survey organisations and for the relevant activities of maritime administrations

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

(5)

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

Having regard to the proposal from the Commission (1),

In particular, for the purposes of Directive 94/57/EC, it
is appropriate to apply the amendments to the inter-
national conventions together with the protocols and
related codes of mandatory status, referred to in Article
2(d) of Directive 94/57/EC, which entered into force
after the adoption of the Directive as well as the relevant
International Maritime Organisation (IMO) Resolutions.

Having regard to the opinion of the Economic and Social
Committee (2),

Having regard to the opinion of
Regions (3),

the Committee of

the

(6) With a view to promoting the effective implementation
of the obligations of the flag States laid down in the
international conventions, the IMO Assembly adopted
on 27 November 1997 Resolution A.847(20) on guide-
lines to assist flag States in the implementation of IMO
instruments.

Acting in accordance with the procedure laid down in Article
251 of the Treaty (4), in the light of the joint text approved by
the Conciliation Committee on 13 November 2001,

(7)

Whereas:

(1)

(2)

(3)

(4)

Safety and pollution prevention at sea may be enhanced
by a proper and compulsory implementation by flag
States of the existing relevant conventions in force at
international

level.

Council Directive 94/57/EC (5) established a system of
Community-wide recognition of organisations that,
in
compliance with the international conventions, may be
authorised to a various extent to inspect ships and issue
the relevant safety certificates on behalf of the Member
States.

The practical implementation of that Directive showed
that some adjustments to the Community-wide recogni-
tion of organisations might have contributed greatly
towards the strengthening of such a system while simpli-
fying the monitoring and reporting obligations imposed
on Member States.

Since the adoption of Directive 94/57/EC some develop-
ments have occurred in the relevant
legislation at
Community and international level requiring that further
adjustments to Directive 94/57/EC be made.

(1) OJ C 212 E, 25.7.2000, p. 114 and OJ C 154 E, 29.5.2001, p. 51.
(2) OJ C 14, 16.1.2001, p. 22.
(3) OJ C 22, 24.1.2001, p. 19.
(4) Opinion of the European Parliament of 30 November 2000 (OJ C
228, 13.8.2001, p. 150), Council Common Position of 26 February
2001 (OJ C 101, 30.3.2001, p. 1), and Decision of the European
Parliament of 16 May 2001 (not yet published in the Official
Journal). Decision of the European Parliament of 24 October 2001
and Decision of the Council of 6 December 2001.

(5) OJ L 319, 12.12.1994, p. 20. Directive as amended by Commission

Directive 97/58/EC (OJ L 274, 7.10.1997, p. 8).

IMO adopted the International Safety Management (ISM)
Code through Assembly Resolution A.741(18) of 4
November 1993 which was made mandatory through
the new Chapter IX of the International Convention for
the Safety of Life at Sea (SOLAS) Convention.

(8) With a view to ensuring a uniform implementation of
the ISM Code, guidelines on the implementation of the
ISM Code by maritime administrations were adopted on
23 November 1995 by IMO through Resolution
A.788(19).

(9) With a view to harmonising the statutory surveys and
inspections to be carried out by the flag administrations
pursuant to the international conventions, IMO adopted
Resolution A.746(18) of 4 November 1993 on Survey
Guidelines under the Harmonised System of Survey and
Certification.

(10) A good record of safety and pollution prevention
performance — measured in respect of all ships classed
by an organisation, irrespective of the flag they fly — is
an important indication of the performance of an organ-
isation and is therefore essential for granting the initial
recognition and maintaining it.

(11)

In order to grant the initial recognition to the organ-
isations wishing to be authorised to work on behalf of
the Member States, compliance with the provisions of
Directive 94/57/EC can be assessed more effectively in a
harmonised and centralised manner by the Commission
together with the Member States requesting the recogni-
tion.

L 19/10

EN

Official Journal of the European Communities

22.1.2002

(12)

(13)

(14)

(15)

(16)

(17)

(18)

Similarly, the continuous a posteriori monitoring of the
recognised organisations to assess their compliance with
the provisions of Directive 94/57/EC can be carried out
more
effectively in a harmonised and centralised
manner. Therefore it is appropriate that the Commis-
sion, together with the Member State requesting the
recognition, be entrusted with this task on behalf of the
whole Community.

In addition to the authority of Member States to suspend
the authorisation of an organisation working on their
behalf, a similar authority should apply at Community
level, the Commission being allowed, on the basis of the
Committee procedure, to suspend the recognition of an
organisation for a limited period of time where the
safety and pollution prevention performance of
the
organisation is worsening and it fails to take the appro-
priate corrective measures.

In accordance with the Community-wide approach, the
decision to withdraw the recognition of an organisation
in the
which fails to fulfil
Directive,
including cases where safety and pollution
prevention performance becomes unsatisfactory, has to
be taken at Community level, and therefore by the
Commission, on the basis of the Committee procedure.

the provisions set out

Since Directive 94/57/EC ensures freedom to provide
services in the Community, the Community should be
entitled to negotiate with those third countries where
some of the recognised organisations are located equal
treatment for the recognised organisations located in the
Community.

The divergence in the financial liability regimes of the
organisations working on behalf of the Member States
represented a difficulty in the proper implementation of
Directive 94/57/EC. 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 incident caused by a recognised organisation,
as decided by a court of law, including settlement of a
dispute through arbitration procedures.

the implementation of
The measures necessary for
Directive 94/57/EC should be adopted in accordance
with Council Decision 1999/468/EC of 28 June 1999
laying down the procedures for the exercise of imple-
menting powers conferred on the Commission (1).

transparency

to information,

and exchange of

Since
information
between interested parties, as well as public right of
for
are
access
preventing accidents at sea, the recognised organisations
should provide
information
relevant
concerning the conditions of the ships in their class to

fundamental

statutory

tools

all

(1) OJ L 184, 17.7.1999, p. 23.

the port State control authorities and make it available
to the general public.

(19)

In an attempt to prevent ships from changing class in
order to avoid carrying out necessary repairs, the recog-
nised organisations should exchange all relevant infor-
mation among themselves concerning the conditions of
ships changing class.

(20) An organisation should not be controlled by shipowners
or shipbuilders, or by others engaged commercially in
the manufacture, equipping, repair or operation of ships.
An organisation should not be substantially dependent
on a single commercial enterprise for its revenue. When
submitting their request for recognition, classification
societies and their surveyors should give an undertaking
in writing on an individual basis not to accept statutory
work where there is a likelihood of a conflict of inter-
ests, i.e. where there is identity with the owner or oper-
ator of the ship to be inspected or there are business,
personal or family links to the owner or operator of the
ship.

(21)

The qualitative criteria to be met by the technical organ-
isations in order to be recognised at Community level
and to maintain such recognition should include provi-
sions to ensure that only exclusive surveyors can carry
out the inspections and surveys required by international
conventions, i.e. statutory tasks related to the issue of
relevant safety certificates. Those organisations must
have tight control over all their personnel and offices,
including all branches and offices within and outside the
Community, and they must establish their own safety
and pollution prevention performance targets and indi-
cators. Those organisations must put in place a system
to measure the quality of their services.

(22) Directive 94/57/EC should be amended accordingly,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Directive 94/57/EC is hereby amended as follows:

1.

in Article 2, points (b), (c), (d), (i) and (j) shall be replaced
by the following:

‘(b) “ship flying the flag of a Member State” means a ship
registered in and flying the flag of a Member State in
accordance with its
legislation. Ships not corre-
sponding to this definition are assimilated to ships
flying the flag of a third country;

(c) “inspections and surveys” means

inspections and
surveys that it is mandatory to carry out under the
international conventions;

22.1.2002

EN

Official Journal of the European Communities

L 19/11

(d) “international conventions” means the 1974 Inter-
national Convention for the Safety of Life at Sea
(SOLAS), 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 thereto, and
related codes of mandatory status in all Member
States,

in force on 19 December 2001;

(i) “class certificate” means a document issued by a classi-
fication society certifying the structural and mechan-
ical fitness of a ship for a particular use or service in
accordance with the rules and regulations laid down
and made public by that society;

(j) “cargo ship safety radio certificate” means the certifi-
cate introduced by the amended SOLAS 1974/1978
Radio Regulations, adopted by the IMO;’

2.

in Article 3, the following sentence shall be added at the
end of paragraph 1:

‘Member States shall act in accordance with the relevant
provisions of the Annex and the Appendix to IMO Resolu-
tion A.847(20) on guidelines to assist flag States in the
implementation of IMO instruments.’;

3. Article 4 shall be replaced by the following:

recognitions shall be limited exclusively to the Member
State or States which have submitted a request for such
recognition.

All the organisations which are granted recognition
3.
shall be closely monitored by the committee set up under
Article 7, particularly those referred to in paragraph 2
above, with a view to possible decisions concerning
whether or not to extend the limited recognition. With
regard to these latter organisations, a decision on the
extension of such recognition shall not take into account
the criteria set out under paragraphs 2 and 3 of section A
of the Annex but shall take into account the safety and
pollution prevention performance records of the organ-
isation, referred to in Article 9(2). Any decision on the
extension of the limited recognition shall specify under
which conditions,

if any, such extension is granted.

4.
The Commission shall draw up and update a list of
the organisations recognised in compliance with para-
graphs 1, 2 and 3. The list shall be published in the Official
Journal of the European Communities.

The organisations which on 22 January 2002 are
5.
this Directive shall
already recognised on the basis of
continue to be recognised. Nevertheless,
those organ-
isations shall be required to comply with the new provi-
sions laid down in this Directive and their compliance
shall be assessed during the first assessments referred to in
Article 11.’;

‘Article 4

4. Article 5 shall be amended as follows:

for

1. Member States which wish to grant an authorisation
to any organisation which is not yet recognised, shall
submit a request
recognition to the Commission
together with complete information on, and evidence of,
compliance with the criteria set out in the Annex and on
the requirement and undertaking that it will comply with
the provisions of Article 15(2), (4) and (5). The Commis-
sion, together with the respective Member States submit-
ting the request, shall carry out assessments of the organ-
isations for which the request for recognition was received
in order to verify that the organisations meet and under-
take to comply with the above mentioned requirements. A
decision on recognition shall take into account the safety
and pollution prevention performance records of
the
organisation, referred to in Article 9. Recognition shall be
granted by the Commission in accordance with the proce-
dure referred to in Article 7(2).

to the Commission
2. Member States may submit
special requests for a limited recognition of three years for
organisations which meet all the criteria of the Annex
other than those set out under paragraphs 2 and 3 of
section A. The same procedure as that referred to in
paragraph 1 will apply to these special requests with the
exception that the criteria of the Annex for which compli-
ance has to be assessed during the assessment carried out
by the Commission, together with the Member State, shall
be all the criteria other than those set out under para-
graphs 2 and 3 of section A. The effects of these limited

(a) paragraph 1 shall be replaced by the following:

‘1.
In applying Article 3(2), Member States shall in
principle not refuse to authorise any of the recognised
organisations to undertake such functions, subject to
the provisions of paragraph 3 and Articles 6 and 11.
However,
the number of organ-
isations they authorise 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 procedure
laid down in Article 7, adopt appropriate measures.’;

they may restrict

(b) paragraph 2 shall be deleted;

(c) paragraph 3 shall be replaced by the following:

‘3.
In order for a Member State to accept that a
recognised organisation located in a third State is to
carry out the duties mentioned in Article 3 or part of
them it may request 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 recog-
nised organisation is located to grant reciprocal treat-
ment
for those recognised organisations which are
located in the Community.’;

L 19/12

EN

Official Journal of the European Communities

22.1.2002

5. Article 6 shall be amended as follows:

(a) paragraph 2 shall be replaced by the following:

The working relationship shall be regulated by a
‘2.
formalised written and non-discriminatory agreement
or equivalent
the
specific duties and functions assumed by the organ-
isations and including at least:

legal arrangements

setting out

(a) the provisions set out in Appendix II of IMO Reso-
lution A.739(18) on guidelines for the author-
isation of organisations acting on behalf of the
administration, while drawing inspiration from the
Annex, Appendixes and Attachment to IMO MSC/
Circular 710 and MEPC/Circular 307 on model
agreement
recognised
organisations acting on behalf of the administra-
tion;

the authorisation of

for

(b) the following provisions concerning financial liabi-

lity:

(i) if liability arising out of any incident is finally
and definitely imposed on the administration
by a court of law or as part of the settlement
of a dispute through arbitration procedures,
together with a requirement to compensate
the injured parties for loss or damage to prop-
injury or death, which is
erty or personal
proved in that court of
law to have been
caused by a wilful act or omission or gross
negligence of the recognised organisation, its
bodies, employees, agents or others who act
on behalf of the recognised organisation, the
administration shall be entitled to financial
compensation from the recognised organ-
isation to the extent that the said loss, damage,
injury or death is, as decided by that court,
caused by the recognised organisation;

(ii) if liability arising out of any incident is finally
and definitely imposed on the administration
by a court of law or as part of the settlement
of a dispute through arbitration procedures,
together with a requirement to compensate
the injured parties for personal injury or 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 behalf
of the recognised organisation, the administra-
tion shall be entitled to financial compensation
from the recognised organisation to the extent
that the said personal
injury or death is, as
decided by that court, caused by the recog-
nised organisation;
the Member States may
limit the maximum amount payable by the
recognised organisation, which must, however,
be at least equal to EUR 4 million;

(iii) if liability arising out of any incident is finally
and definitely imposed on the administration
by a court of law or as part of the settlement
of a dispute through arbitration procedures,

the recognised organisation,

together with a requirement to compensate
the injured parties for loss or damage to prop-
erty, 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
behalf of
the
administration shall be entitled to financial
compensation from the recognised organ-
isation, to the extent that the said loss or
damage is, as decided by that court, caused by
the
the Member
States may limit
the maximum amount
payable by the recognised organisation, which
must, however, be at least equal to EUR 2
million;

recognised organisation;

(c) provisions for a periodical audit by the administra-
tion or by an impartial external body appointed by
the administration into the duties the organisations
are undertaking on its behalf, as referred to in
Article 11(1);

(d) the possibility for random and detailed inspections

of ships;

(e) provisions

for

reporting essential

information
about their classed fleet, changes, suspensions and
withdrawals of class, as referred to in Article
15(3).’;

(b) the following paragraph shall be added:

‘5.
The Commission shall, not later than 22 July
2006, submit a report to the European Parliament and
to the Council evaluating the economic impact of the
liability regime provided for in this Article on the
its
parties
consequences for the financial equilibrium of recog-
nised organisations.

and, more

particularly,

concerned

This report shall be drawn up in cooperation with the
competent authorities of the Member States and the
parties concerned,
recognised organ-
in particular
isations/classification societies. The Commission shall,
if necessary in the light of this evaluation, submit a
proposal amending this Directive with more specific
reference to the principle of liability and the maximum
liabilities.’;

6. Article 7 shall be replaced by the following:

‘Article 7

1.

The Commission shall be assisted by a committee.

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.

The Committee shall adopt its rules of procedure.’;

22.1.2002

EN

Official Journal of the European Communities

L 19/13

7. Article 8(1) shall be replaced by the following:

9. Article 10 shall be replaced by the following:

‘1.
This Directive may, without broadening its scope, be
amended in accordance with the procedure laid down in
Article 7(2),

in order to:

‘Article 10

— apply, for the purposes of this Directive, subsequent
amendments to the international conventions, proto-
cols, codes and resolutions related thereto mentioned
in Articles 2(d), 3(1) and 6(2), which have entered into
force,

— update the criteria in the Annex taking into account, in

particular, the relevant decisions of the IMO,

— alter the amounts specified in points (ii) and (iii) of

Article 6(2)(b).’;

8. Article 9 shall be replaced by the following:

‘Article 9

The recognition of organisations

1.
referred to in
Article 4 which no longer fulfil the criteria set out in the
Annex or which fail to meet the safety and pollution
prevention performance records mentioned in paragraph 2
shall be withdrawn. The withdrawal of recognition shall be
decided by the Commission in accordance with the proce-
dure referred to in Article 7(2), after the organisation
concerned has been given the opportunity to submit its
observations.

2.
In preparing drafts for a decision relating to the
withdrawal of recognition as referred to in paragraph 1,
the Commission shall take into account the outcome of
the assessments of the recognised organisations referred to
in Article 11 as well as the safety and pollution prevention
performance records of the organisations, measured for all
the ships they have in class irrespective of the flag the
ships fly.

the organisations

The safety and pollution prevention performance records
of
shall be derived from the data
produced by the Paris Memorandum of Understanding on
Port State Control and/or by similar schemes. Other indi-
cations may be derived from an analysis of the casualties
involving ships classed by the recognised organisations.

Reports produced by Member States on the basis of Article
12 shall also be taken into consideration to assess the
safety and pollution prevention performance records of the
organisations.

The Committee set up under Article 7 shall determine the
criteria to be followed in order to decide, on the basis of
the information referred to in this paragraph, when the
performance of an organisation acting on behalf of a flag
State can be considered an unacceptable threat to safety
and the environment.

Draft decisions relating to the withdrawal of recognition as
referred to in paragraph 1 shall be submitted to the
Committee by the Commission upon its own initiative or
at the request of a Member State.’;

1.
Notwithstanding the criteria specified in the Annex,
where a Member State considers that a recognised organ-
isation can no longer be authorised to carry out on its
behalf the tasks specified in Article 3 it may suspend such
authorisation on the basis of the following procedure:

(a) the Member State shall inform the Commission and
the other Member States of its decision without delay,
giving substantiated reasons therefor;

(b) the Commission shall examine whether the suspension
is justified for reasons of serious danger to safety or
the environment;

(c) acting in accordance with the procedure laid down in
Article 7(2), the Commission shall inform the Member
State whether or not
its decision to suspend the
authorisation is justified for reasons of serious danger
to safety or the environment and, if it is not justified,
request the Member State to withdraw the suspension.

2. Whenever the Commission considers that the safety
and pollution prevention performance records of a recog-
nised organisation worsen, without however justifying the
withdrawal of its recognition on the basis of the criteria
referred to in Article 9(2), it may decide to inform the
recognised organisation accordingly and request it to take
appropriate measures to improve its safety and pollution
prevention performance records, and inform the Member
States thereof. Should the recognised organisation fail to
provide the Commission with an appropriate answer or
should the Commission consider that the measures taken
by the recognised organisation have failed to improve its
safety and pollution prevention performance records, the
Commission may decide to suspend recognition of the
organisation for a period of one year in accordance with
the procedure referred to in Article 7(2) after the organ-
isation concerned has been given the opportunity to
submit its observations. During that period, the recognised
organisation will not be allowed to issue or renew any
certificate to ships flying the flag of the Member States
while the certificates issued or renewed in the past by the
organisation remain valid.

3.
The procedure referred to in paragraph 2 shall also
apply where the Commission has evidence that a recog-
nised organisation has failed to comply with the provi-
sions of Article 15(3), (4) or (5).

4.
One year after the adoption of the decision of the
Commission to suspend recognition of an organisation,
the Commission shall assess whether the shortcomings
referred to in paragraphs 2 and 3 which led to the suspen-
sion have been removed. Where such shortcomings are
still present, recognition shall be withdrawn in accordance
with the procedure referred to in Article 7(2).’;

L 19/14

EN

Official Journal of the European Communities

22.1.2002

10. Article 11 shall be replaced by the following:

12. Article 13 shall be deleted;

‘Article 11

13. at the end of Article 14(2) the reference to Article 13 shall

be replaced by Article 7(2);

1.
Each Member State must satisfy itself that the recog-
nised organisations acting on its behalf for the purpose of
Article 3(2) effectively carry out the functions referred to
in that Article to the satisfaction of its competent adminis-
tration.

14. Article 15 shall be amended as follows:

(a) paragraph 1 shall be replaced by the following:

2.
Each Member State shall carry out this task at least
on a biennial basis and shall provide the other Member
States and the Commission with a report of the results of
this monitoring at the latest by 31 March of each year
following the years
for which compliance has been
assessed.

3.
All the 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 to verify that they fulfil
the criteria of the Annex. In selecting the organisations for
assessment, the Commission shall pay particular attention
to the safety and pollution prevention performance
records of the organisation, to the casualty records and to
the reports produced by Member States in accordance with
Article 12. The assessment may include a visit to regional
branches of the organisation as well as random inspection
of ships for the purpose of auditing the organisation's
performance. In this case the Commission shall, where
appropriate, inform the Member States where the regional
branch is located. The Commission shall provide the
Member States with a report of the results of the assess-
ment.

4.
Each recognised organisation shall make available the
results of its quality system management review to the
Committee set up under Article 7, on an annual basis.’;

11. Article 12 shall be replaced by the following:

‘1.
The recognised organisations shall consult with
each other periodically with a view to maintaining
equivalence of their technical standards and the imple-
mentation thereof in line with the provisions of IMO
Resolution A.847(20) on guidelines to assist flag States
in the implementation of IMO instruments. They shall
provide the Commission with periodic reports on
fundamental progress in standards.’;

(b) paragraphs 3 and 4 shall be replaced by the following:

The recognised organisations shall provide to all
‘3.
Member States administrations 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 with-
drawals of class, irrespective of the flag the vessels fly.
Information on transfers, changes, suspensions, and
withdrawals of class,
including information on all
overdue surveys, overdue recommendations, condi-
tions of class, operating conditions or operating
restrictions issued against their classed vessels — irres-
pective of the flag the vessels fly — shall also be
communicated to the Sirenac information system for
port State control inspections and shall be published
these recognised organ-
on the website,
isations.

if any, of

4.
The recognised organisations shall not issue certi-
ficates 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 administra-
tion of the flag State to give its opinion within a
reasonable time in order to determine whether a full
inspection is necessary.’;

‘Article 12

(c) the following paragraph shall be added:

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, the discovery of the issue of valid certificates
by organisations acting on behalf of a flag State to a ship
which does not fulfil the relevant requirements of the
international conventions, or of any failure of a ship
carrying a valid class 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 of the organ-
isations 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.’;

‘5.
In cases of transfer of class from one recognised
organisation to another, the losing organisation shall
inform the gaining organisation of all overdue surveys,
overdue recommendations, conditions of class, oper-
ating conditions or operating restrictions issued against
the vessel. On transfer, the losing organisation shall
provide the gaining organisation with the complete
history file of the vessel. The certificates of the ship can
be issued by the gaining organisation only after all
overdue surveys have been satisfactorily completed and
all overdue recommendations or conditions of class
previously
vessel have been
completed as specified by the losing organisation. Prior
to the issuance of the certificates, the gaining organ-
isation must advise the losing organisation of the date

issued against

the

22.1.2002

EN

Official Journal of the European Communities

L 19/15

of issue of the certificates and confirm the date, loca-
tion and action taken to satisfy each overdue survey,
overdue recommendation and overdue condition of
class. The recognised organisations shall cooperate
with each other in properly implementing the provi-
sions of this paragraph.’;

(b) in section B:

(i) the title shall be replaced by the following:

‘B. SPECIFIC MINIMUM CRITERIA’;

(ii) paragraphs 4, 5, 6, 7 and 9 shall be replaced by the

following:

15.

in Article 16, the following paragraph shall be added:

In addition, the Commission shall inform the Euro-
‘4.
pean Parliament and the Council, on a regular basis, of
progress in the implementation of the Directive within the
Member States.’;

16. the Annex to the Directive shall be amended as follows:

(a) section A shall be replaced by the following:

‘A. GENERAL MINIMUM CRITERIA

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

2. The organisation must have in its class a fleet of
at
(over
100 GRT) totalling no less than 5 million GRT.

least 1 000 ocean-going

vessels

3. The organisation must employ a technical staff
commensurate with the number of vessels
classed. As a minimum, 100 exclusive surveyors
are needed to meet the requirements in para-
graph 2.

4. The organisation must have comprehensive
rules and regulations for the design, construc-
tion and periodic survey of merchant ships,
published
and
continually
improved through research and development
programmes.

upgraded

and

5. The organisation must have its

register of
vessels published on an annual basis or main-
tained 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
substantially
dependent on a single commercial enterprise for
its revenue. The recognised organisation must
not carry out 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.

not

be

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 administra-
tion,
in so far as they cover matters falling
within the scope of this Directive.’

‘4. The organisation is prepared to provide rele-
vant information to the administration, to the
Commission and to the interested parties.

5. The organisation's management has defined
and documented its policy and objectives for,
and commitment to, quality and has ensured
implemented
that
and maintained at all levels in the organisation.
The organisation's policy must refer to safety
and pollution prevention performance targets
and indicators.

this policy is understood,

6. The organisation has developed, implemented
and maintains an effective internal quality
system based on appropriate parts of interna-
tionally recognised quality standards and in
compliance with EN 45004 (inspection bodies)
and with EN 29001, as interpreted by the IACS
Quality System Certification Scheme Require-
ments, and which,

inter alia, ensures that:

(a) the organisation's rules and regulations are
established and maintained in a systematic
manner;

(b) the organisation's rules and regulations are
complied with and an internal system to
measure the quality of service in relation to
these 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 the
compliance with the international conven-
tions is put in place;

(d) the responsibilities, authorities and interre-
lation 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 is in place which
monitors the actions and work carried out
by surveyors and technical and adminis-
trative
employed directly by the
staff
organisation;

(g) the requirements of the statutory work for
which the organisation is authorised are
only carried out by its exclusive surveyors
or by exclusive surveyors of other recog-
nised organisations;
the
exclusive surveyors must have an extensive
knowledge of the particular type of ship on
which they carry out the statutory work as
relevant
to the particular survey to be
carried out and of the relevant applicable
requirements;

in all

cases,

L 19/16

EN

Official Journal of the European Communities

22.1.2002

(h) a system for qualification of surveyors and
continuous updating of their knowledge is
implemented;

(i) records

are maintained, demonstrating
achievement of the required standards in
services
the
performed, as well as the effective opera-
tion of the quality system;

covered

items

the

by

(j) a comprehensive system of planned and
documented internal audits of the quality
related activities is maintained in all loca-
tions;

(k) the

surveys

statutory

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 Resolu-
tion A.746(18) 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 society and
between the recognised organisations and
their surveyors.

7. The organisation must demonstrate ability:
(a) to develop and keep updated a full and
adequate set of own rules and regulations
on hull, machinery and electrical and
control equipment having the quality of
internationally recognised technical stan-
dards on the basis of which SOLAS
Convention and Passenger Ship Safety
Certificates (as regards adequacy of ship
structure and essential shipboard machi-
nery systems) and Load Line Certificates (as
regards adequacy of ship strength) can be
issued;

(b) to carry out all

inspections and surveys
required by the international conventions
including the
for the issue of certificates,
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.788(19)
the
on guidelines on implementation of
International Safety Management
(ISM)
Code by administrations — the application
and maintenance of the safety management
system, both shore-based and on board
ships, intended to be covered in the certi-
fication.’;

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

Article 2

1. Member States shall bring into force the laws, regulations
and administrative provisions necessary to comply with this
Directive not later than 22 July 2003. They shall forthwith
inform the Commission thereof.

2. When Member States adopt those provisions, they shall
contain a reference to this Directive or be accompanied by
such a reference on the occasion of their official publication.
Member States shall determine how such reference is to be
made.

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

Article 3

This Directive shall enter into force on the day of its publica-
tion in the Official Journal of the European Communities.

This Directive is addressed to the Member States.

Article 4

Done at Brussels, 19 December 2001.

For the European Parliament

For the Council

The President

The President

N. FONTAINE

A. NEYTS-UYTTEBROECK