Agreement between the European Community and the United States of America on the Mutual Recognition of Certificates of Conformity for Marine Equipment
Date: 2004-02-27
Institutions: European Community, United States
Subjects: International Maritime Organisation, United States, agreement (EU), environmental protection, international standard, maritime safety, mutual recognition principle, quality label, technical standard

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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 Community, and in particular Article 133 in 

conjunction with Article 300, paragraph 2, first subparagraph, first sentence, paragraph 3, first 

subparagraph, first sentence, and paragraph 4 thereof, 

Having regard to the proposal from the Commission, 

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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 Community, on 27 February 2004 subject to its conclusion. 

(2) The appropriate internal procedures should be established 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 implementation. 

(3)  The Agreement should be approved, 

HAS DECIDED AS FOLLOWS: 

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Article 1

The Agreement between the European Community and the United States of America on the mutual 

recognition of certificates of conformity for marine equipment is hereby approved on 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 Community, the note provided for in Article 21(1) of the Agreement. 

Article 3

1. 

The Commission, assisted by the special committee appointed by the Council, shall represent

the Community in the Joint Committee provided for in Article 7 of the Agreement and 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 notifications, 

exchanges of information and requests for information specified in the Agreement. 

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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 the Council, acting by qualified majority on a proposal from the Commission. 

Done at Luxembourg, 21 April 2004. 

For the Council 

 The President 

   J. WALSH 

______________________

 
 
 
 
 
 
 
 
 
 
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AGREEMENT

BETWEEN THE EUROPEAN COMMUNITY AND

THE UNITED STATES OF AMERICA ON

THE MUTUAL RECOGNITION OF

CERTIFICATES OF CONFORMITY

FOR MARINE EQUIPMENT

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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; 

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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 Establishing 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:

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CHAPTER 1 

DEFINITIONS AND PURPOSE

ARTICLE 1 

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 issues related to safety at sea and prevention of marine pollution, that 

exercises a legal right to control the use or sale of marine equipment within a Party's 

jurisdiction, and that may take enforcement action to ensure that products marketed within its 

jurisdiction comply with applicable legal requirements.  The Parties' respective Regulatory 

Authorities 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 Conformity 

under a Party's domestic laws and regulations.  For purposes of this Agreement, the Parties' 

respective Conformity Assessment Bodies are those referred to in Article 6. 

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(c) 

"Technical regulations" comprise the mandatory product requirements, testing and

performance standards and conformity assessment procedures laid down in the legislative,

regulatory and administrative provisions of the Parties related to marine equipment, as well as 

any applicable guidelines for their application. 

(d)

"Certificate of Conformity" means the document or documents issued by a Conformity 

Assessment Body of a Party certifying that a product fulfils the relevant legislative, regulatory 

and administrative requirements of that Party.  In the US, this is the Certificate of Type

Approval issued by the United States Coast Guard.  In the EC, they are the certificates,

approvals and declarations provided for by Directive 96/98/EC. 

(e) 

"Equivalence of technical regulations" means that the technical 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.  Equivalence of technical regulations does not 

require that the respective technical regulations are identical.

(f) 

"International Instrument" means the relevant international conventions, resolutions, codes 

and circulars of the International Maritime Organisation (IMO), and the relevant testing

standards. 

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2.   Other terms concerning conformity assessment used in this Agreement shall have the meaning

given elsewhere in this Agreement or in the definitions contained in Guide 2 (1996 edition) of the

International Organization for Standardization (ISO) and the International Electrotechnical

Commission (IEC).  In the event of an inconsistency between ISO/IEC Guide 2 and definitions in

this Agreement, the definitions in this Agreement shall prevail. 

ARTICLE 2 

Purpose of the Agreement 

1.   This Agreement establishes the conditions under which the importing Party's Regulatory 

Authority shall accept the Certificates of Conformity issued by the exporting Party's Conformity 

Assessment Bodies in accordance with the technical regulations of the exporting Party, hereinafter 

referred to as "mutual recognition". 

2.   This Agreement also lays down a framework for regulatory cooperation with the objective of

maintaining and furthering mutual recognition between the EC and the US of their respective

regulatory requirements for marine equipment; of encouraging the improvement and evolution of

regulatory requirements for the purpose of enhancing the safety at sea and the prevention of marine

pollution; and ensuring a consistent application of this Agreement.  This cooperation will take place

fully respecting the Parties regulatory autonomy and their evolving policies and regulations as well

as their shared commitment to the evolution of the relevant International Instruments. 

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3.   This Agreement is intended to evolve as programs and policies of the Parties evolve.  The

Parties will review this Agreement periodically, in order to assess progress and identify potential

enhancements to this Agreement as US and EC policies 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, Certificates of Conformity issued by the EC Conformity 

Assessment Bodies in accordance with the legislative, regulatory and administrative provisions of

the EC. 

2.   With respect to each product listed in Annex II, the European Community and its Member 

States shall accept as complying with their own legislative, regulatory and administrative 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 legislative, regulatory and

administrative provisions of the United States. 

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3.   The technical regulations applicable in the US and the EC to each such product within the scope

of this Agreement are specified 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 technical regulations applicable to each product listed in Annex II are equivalent.

2.   Determination of equivalence of technical regulations of the Parties shall be based on their 

implementation of the relevant International Instruments in their respective legislation, regulations 

and administrative provisions, except where a Party regards the Instrument would be an ineffective

or inappropriate means of fulfilment of its regulatory objectives.  In the latter case, equivalency 

shall be determined on a mutually acceptable basis. 

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ARTICLE 5

Marking

The Parties may maintain their respective requirements with regard to the marking, numbering and

identification of products.  With respect to the products listed in Annex II, the EC Conformity 

Assessment Bodies shall have the right to issue the 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 identification number provided for in Directive 96/98/EC, as 

allocated to it by the Commission of the European Communities, which shall be 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, the following shall apply:

(a)The

US recognises the Notified Bodies that have been designated by the EC Member States 

under Directive 96/98/EC as Conformity Assessment Bodies; 

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(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 the following procedures in relation to the legislative, regulatory and administrative

provisions referred to in Annex I:

(a) 

testing and issuing of test reports,

(b)

performing quality assurance functions or system certification.

3.   The Regulatory Authorities of the Parties are responsible for the following procedures, but may 

delegate some or all of these functions to Conformity Assessment Bodies:

(a) 

reviewing equipment design and test results against identified standards,

(b)issu

ing Certificates of Conformity. 

4.   Prior to the entry into force of this Agreement the Parties shall exchangetheir  respective lists of

Conformity Assessment Bodies.  The Parties shall inform each other promptly of any changes to

their list of Conformity Assessment Bodies.  The Parties shall maintain on the World Wide Web

updated lists of their Conformity Assessment Bodies. 

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5.   Each Party shall require that its Conformity Assessment Bodies record and retain details of their 

investigations of the competence and compliance of their sub-contractors and maintain a register of

all sub-contracting.  These details will be available to the other Party on request. 

6.   Each Party shall require that its Conformity Assessment Bodies, upon request of a Regulatory 

Authority of the other Party listed in Annex III, make available to the Regulatory Authorities,

copies of the Certificates of Conformity and related technical 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 procedure. 

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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 the cases provided

for in this Agreement.  The Parties shall take the necessary measures to implement such decisions

of the Joint Committee.  In particular, the Joint Committee shall be responsible for:

(a)developi

ng and maintaining the list in Annex II of products and associated legislative,

regulatory and administrative provisions that the Parties have determined to be equivalent;  

(b)discuss

ing 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)addres

sing technical, conformity assessment and technology issues in order to ensure a

consistent application of this Agreement, in particular in relation to the relevant International

Instruments; 

(d) 

amending the Annexes; 

(e)

providing guidance and, if necessary, developing guidelines to facilitate the successful

implementation and application of this Agreement; 

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(f) estab

lish and maintain a work plan for aligning and harmonising the technical requirements of

the Parties; 

4.   The Joint Committee may establish Joint Working Groups comprised of appropriate Regulatory 

Authorities' representatives and appropriate experts deemed necessary, in order to address and

advise the Joint Committee on specific issues related to the functioning of this Agreement. 

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, regulatory and administrative measures, the level of protection it considers 

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. 

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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 information on 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, to provide answers to all reasonable inquiries from the other Party and 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 notifications 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 its official language or languages, that Party shall

undertake the necessary 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 Conformity under its respective legislative, regulatory and administrative provisions 

on the World Wide Web and update it on a regular basis. 

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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 the Instrument would

be an ineffective or inappropriate means for fulfilment of its regulatory objectives. 

2.   Each Party shall notify the other Party of changes to technical regulations related to the subject 

matter of this Agreement at least 90 days before their entry into force.  Where considerations of

safety, health or environmental protection require more urgent action, a Party shall notify the other 

Party as soon as 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 and administrative provisions referred in, or related to, provisions 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 legislative, regulatory and/or administrative provisions. 

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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 in Annex II has been maintained. 

If it is agreed in the Joint Committee that equivalence is maintained, 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 technical regulations for which equivalence cannot be maintained shall be removed

from Annex II.  The Joint Committee shall update Annex II by a decision to reflect the changes. 

Upon the discontinuance of mutual recognition, the Parties are no longer bound by the obligations 

referred to in Article 3 of this Agreement for the specific product.  However, the importing Party 

shall continue to recognize previously issued Certificates of Conformity 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 otherwise based on health, safety or environmental

considerations or failure to satisfy other requirements within the scope of this Agreement. 

If the Parties, within the Joint Committee, cannot agree on whether or not equivalence of their 

technical regulations with respect to a product listed in Annex II is maintained, then mutual

recognition with respect to that product shall be suspended 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. 

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ARTICLE 11 

Regulatory Cooperation

1.   The Parties agree to cooperate in the IMO and other relevant international organisation such as 

the International Organization for Standardization (ISO), the International Electrotechnical

Commission (IEC) and the International Telecommunications 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 cooperation or other cooperative activities can be pursued between them with a view 

to improving the quality and level of their technical regulations applicable to marine equipment and

making efficient 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, the Parties 

undertake to examine their respective technical regulations with a view to establishing, to the extent 

possible, mutual recognition.  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. 

The Parties shall endeavour to align their technical regulations to the extent possible on the basis of

existing International Instruments in pursuit of the objective of their domestic legislation to enhance

safety at sea and improve the prevention of marine pollution.  

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4.   When the Parties have determined that equivalence can be established for a product and

associated legislative, regulatory 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 conformity assessment issues shall consult as 

necessary to ensure the maintenance of confidence in conformity assessment procedures and

Conformity Assessment Bodies.  This can take the form of, for example, comparison of methods to

verify and monitor the technical competence and ability of Conformity Assessment Bodies, and,

with the consent of both Parties, joint participation in audits/inspections related to conformity 

assessment activities or other assessment of Conformity Assessment Bodies. 

2.   The Parties shall encourage their Conformity Assessment Bodies to take part in coordination

and cooperation activities organised by the Parties either separately or jointly. 

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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 assessing conformity of products or processes, according to the applicable

legislation, regulations and administrative provisions.  In this regard, the Parties shall maintain, or 

cause to maintain, ongoing surveillance, as applicable, over their conformity assessment bodies 

and/or recognised laboratories, by means of regular audit or assessment. 

2.   In case a Party has objective reasons for contesting the technical competence of a Conformity 

Assessment Body of the other Party, it shall inform the other Party thereof.  Such contestation shall

be exercised when justified in an objective and reasoned manner.  The other Party shall in a timely 

manner present information in order to refute the contestation or to correct the deficiencies which

form the basis of the contestation.  If necessary the matter shall be discussed in the Joint 

Committee.  If agreement cannot be reached on the competency of the Conformity Body, the

contesting Party may refuse to grant its marking and/or numbering to the contested Conformity 

Assessment Body and refuse to recognise the Certificates of Conformity issued by the contested

Conformity Assessment Body. 

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ARTICLE 14

Market Surveillance

1.   Nothing in this Agreement shall be construed to limit the authority of a Regulatory Authority to

take all appropriate and immediate 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 of the crew, the passengers or, where applicable, other persons, or 

adversely affect the marine environment; 

(b)not meet the

legislative, regulatory, or administrative provisions within the scope of the

Agreement; or 

(c) otherwise

fail to satisfy a requirement within the scope of the Agreement. 

Such measures may include withdrawing the products from the market, prohibiting their placement 

on the market, restricting their free movement, initiating a product recall, and preventing the

recurrence of such problems, including through a prohibition on imports.  If the Regulatory 

Authority takes such action, it shall inform the other Party no later than fifteen days after taking

such action, providing its reasons for such action. 

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2.   Nothing in this Agreement shall prevent the Parties from removing products from the market 

that do not in fact conform to a Party's technical regulations. 

3.   The Parties agree that any applicable border inspections and checks of products which have

been certified, labelled or marked as conforming with the importing Party's requirements specified

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 agree that these shall be

completed in no less a favourable manner than 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 in Annex 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 Joint Committee.  If no decision is reached by the Joint Committee within 60 days of the

referral to it the mutual recognition obligation with respect to such products shall be suspended by 

one or both Parties.  The suspension shall remain in effect until agreement has been reached by the

Joint Committee. 

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2.   The Joint Committee shall update Annex II bya decision to reflect the suspension of mutual

recognition for the products in question.  The Parties agree to cooperate according to the terms of

Article 11 in view of establishing equivalence again, to the extent possible.

3.   Upon suspension of mutual recognition of technical regulations referred to in Annex II the

Parties are no longer bound by the obligations referred to in Article 3 of this Agreement for the

specific product.  However, the importing Party shall continue to recognize previously issued

certificates of conformity for products that have been placed on the market of that Party prior to the

suspension of mutual recognition, unless a Regulatory Authority in the Party decides otherwise

based on health, 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 of products that have been found not to comply with applicable technical

regulations or can pose an imminent danger to health, safety or the environment. 

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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 to disclose, information exchanged under this 

Agreement that constitutes trade secrets, confidential commercial or financial information, or 

information that relates to an ongoing investigation. 

2.   A Party or a Conformity Assessment Body may, upon exchanging information with the other 

Party or with a Conformity Assessment Body of the other Party, designate the portions of 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 from unauthorised disclosure. 

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ARTICLE 18

Fees 

Each Party shall endeavour to ensure that fees imposed for services related to the subject matter of

this Agreement shall be commensurate with the services provided.  Each Party shall ensure that, for 

conformity assessment procedures covered under this Agreement, it shall charge no fees with

respect to conformity assessment services provided by the other Party. 

ARTICLE 19

Territorial Application

1.   This Agreement shall apply, on the one hand to the territories in which the Treaty establishing

the European Community is applied, and under the conditions laid down in that Treaty and, on the

other hand, to the territory of the United States. 

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.

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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 this Agreement (a

third party) shall have no force and effect with regard to the other Party in terms of acceptance of

the results of conformity assessment procedures in the third party. 

2.   In view of furthering trade facilitation in marine equipment with other countries, the EC and the

US undertake to examine 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 have exchanged letters confirming the completion of their respective procedures

for the entry into force of this Agreement. 

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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 decides otherwise based on health, safety and

environmental considerations or failure to satisfy other requirements within the scope of this 

Agreement. 

ARTICLE 22 

Final Provisions 

1.   This Agreement shall not affect the rights and obligations of the Parties under any other 

international agreement. 

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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 being equally 

authentic.  In the event of inconsistencies of interpretation, the English text shall be determinative. 

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Hecho en Washington D.C., el veintisiete de febrero del dos mil quatro. 

Udfærdiget i Washington D.C. den syvogtyvende februar to tusind og fire. 

Geschehen zu Washington D.C. am siebenundzwanzigsten Februar zweitausendundvier. 

΄Εγινε στιν Ουάσιγκτον D. C., στις είκοσι εφτά Φεβρουαρίου δύο χιλιάδες τέσσερα. 

Done at Washington D.C. on the twenty-seventh day of February in the year two thousand and four. 

Fait à Washington D.C., le vingt-sept février deux mille quatre. 

Fatto a Washington D.C., addi' ventisette febbraio duemilaquattro. 

Gedaan te Washington D.C., de zevenentwintigste februari tweeduizendvier. 

Feito em Washington D.C., em vinte e sete de Fevereiro de dois mil e quatro. 

Tehty Washington D.C.:ssä kahdentenakymmenentenäseitsemäntenä päivänä helmikuuta vuonna

kaksituhattaneljä. 

Som skedde i Washington D.C. den tjugosjunde februari tjugohundrafyra. 

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Official Journal of the European Union 

L 150/75

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 165

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EC technical 
regulations, item 
number indicated 
in Annex A.1 of
Directive 
96/98/EC, as 
amended

A.1/1.3 

Product Coverage For Mutual Recognition

Life saving appliances 
Product item identification 

Applicable international instruments for 
construction, performance and testing 
requirements 1

Lifebuoy self-activating 
smoke signals
(pyrotechnics)

Note: Expiration date not to
exceed 48 months after 
month of manufacture.
Rocket parachute flares
(pyrotechnics)

Note: Expiration date not to
exceed 48 months after 
month of manufacture.
Hand flares (pyrotechnics)

Note: Expiration date not to
exceed 48 months after 
month of manufacture.
Buoyant smoke signals 
(pyrotechnics)

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. 

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 

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. 

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.1/1.9 

A.1/1.10

ANNEX II

US technical 
regulations 

Guidelines for 
Approval of 
"SOLAS" 
Pyrotechnic Devices, 
October 1998 

Guidelines for 
Approval of 
"SOLAS" 
Pyrotechnic Devices, 
October 1998 

Guidelines for 
Approval of 
"SOLAS" 
Pyrotechnic Devices, 
October 1998 

Guidelines for 
Approval of 
"SOLAS" 
Pyrotechnic Devices, 
October 1998 

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). 

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Product item identification 

Applicable international instruments for 
construction, performance and testing 
requirements 

Line-throwing appliances 
(pyrotechnics)

Note: Expiration date not to
exceed 48 months after 
month of manufacture.
Rigid liferafts 

Note: The emergency pack
is not covered by the 
Agreement 

Automatically self-righting 
rigid liferafts 

Note: The emergency pack
is not covered by the 
Agreement 

Canopied reversible rigid 
liferafts 

Note: The emergency pack
is not covered by the 
Agreement 

Float-free arrangements for
liferafts (hydrostatic release 
units) 

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. 

LSA 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. 
LSA 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. 
LSA 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. 
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; 

Product item identification 

Applicable international instruments for 
construction, performance and testing 
requirements 

EC technical 
regulations, item 
number indicated 
in Annex A.1 of
Directive 
96/98/EC, as 
amended 
A.1/1.11

A.1/1.13

A.1/1.14

A.1/1.15

US technical 
regulations 

Guidelines for 
Approval of 
"SOLAS" 
Pyrotechnic Devices, 
October 1998 

Rigid Liferaft – 
Coast Guard (G-
MSE-4) Review 
Checklist, 27 July 
1998

Rigid Liferaft – 
Coast Guard (G-
MSE-4) Review 
Checklist, 27 July 
1998

Rigid Liferaft – 
Coast Guard (G-
MSE-4) Review 
Checklist, 27 July 
1998

A.1/1.16 

46 CFR 160.062

US technical 
regulations 

EC technical 
regulations, item 
number indicated 
in Annex A.1 of
Directive 
96/98/EC, as 
amended 

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Release mechanism for 

(a) Lifeboats and rescue 

boats and 
(b)  Liferafts 

Launched by a fall or falls 

LSA 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;
IMO MSC Circ.980, section 6.1.3. 

A.1/1.26

(Nothing in addition 
to international 
instruments) 

Limited to Davit-launched
liferaft automatic release 
hook
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) 

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Fire protection
Product item identification 

Applicable international instruments for 
construction, performance and testing 
requirements 

Primary deck coverings 

"A" and "B" Class division
fire integrity, including: 
Bulkheads (without 
windows)
Decks 
Fire doors (with windows 
no larger than 645 cm2) 
Ceilings and linings 

FTP Code Annex 1, Parts 2 & 6, Annex 2; 
IMO Resolution A.687(17); 
MSC/Circ. 916;
MSC/Circ. 1004. 
SOLAS 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. 

Non-combustible materials 

SOLAS II-2/3.33; 
FTP Code Annex 1, Part 1, and Annex 2. 

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.

EC technical 
regulations, item 
number indicated 
in Annex A.1 of
Directive 
96/98/EC, as 
amended

A.1/3.1 

A.1/3.11

US technical 
regulations 

(Nothing in addition 
to international 
instruments) 

(Nothing in addition 
to international 
instruments) 

A.1/3.13

A.1/3.16

(Nothing in addition 
to international 
instruments) 
(Nothing in addition 
to international 
instruments) 

Fire doors 

Limited to fire doors 
without windows or with
total window area no more 
than 645 cm2 in each door
leaf. 
Approval limited to
maximum door size tested. 
Doors must be used with a 
fire tested frame design. 
Fire door control systems 

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. 

Draperies, curtains and
other suspended textile 
materials and films 
Upholstered furniture 

Bedding components 

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. 
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  & 5, and Annex 
2; 
IMO Resolution A.653 (16); 
ISO 1716 (1973); 
MSC/Circ. 916, MSC/Circ. 1004 and 
MSC/Circ. 1008. 
SOLAS II-2/3.40.3; 
FTP Code Annex 1, Part 7. 

FTP Code Annex 1, Part 8; 
IMO Resolution A.652 (16). 

FTP Code Annex 1, Part 9; 
IMO Resolution A.688 (17). 

A.1/3.17

A.1/3.18

A.1/3.19

A.1/3.20

A.1/3.21

(Nothing in addition 
to international 
instruments) 

(Nothing in addition 
to international 
instruments) 

(Nothing in addition 
to international 
instruments) 
(Nothing in addition 
to international 
instruments) 
(Nothing in addition 
to international 
instruments) 

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Product item identification 

Applicable international instruments for 
construction, performance and testing 
requirements 

Fire dampers 

Penetrations through ‘A’
class divisions by electric 
cables, pipes, trunks, ducts 
etc. 

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.
SOLAS II-2/9.3.1; 
FTP Code Annex 1, Part 3; 
IMO Resolution A.754 (18); 
MSC/Circ. 916, and MSC/Circ. 1004.

Penetrations through ‘B’ 
class divisions by pipes 
other than steel or copper 

SOLAS II-2/9.3.2.1; 
FTP Code Annex 1, Part 3; 
IMO Resolution A.754 (18); 
MSC/Circ. 916, and MSC/Circ. 1004.

EC technical 
regulations, item 
number indicated 
in Annex A.1 of
Directive 
96/98/EC, as 
amended

A.1/3.22

A.1/3.26

A.1/3.27

US technical 
regulations 

(Nothing in addition 
to international 
instruments) 

(Nothing in addition 
to international 
instruments) 

(Nothing in addition 
to international 
instruments) 

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Navigation equipment 
Product item identification 

Applicable international instruments for 
construction, performance and testing 
requirements 

Magnetic compass 

Transmitting magnetic 
heading device (TMHD)

Gyro compass 

Echo-sounding equipment 

Speed and distance 
measuring equipment 
(SDME)

Rate-of-turn indicator 

Loran-C equipment 

Chakya equipment 

GPS equipment 

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).
IMO Resolution MSC 86 (70) annex 2; 
IMO Resolution A.694 (17); 
ISO 11606 (2000), IEC 60945 (1996),
IEC 61162.

IMO Resolution A.424 (XI);
IMO Resolution A.694 (17); 
ISO 8728 (1997), IEC 60945 (1996),
IEC 61162.

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.
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); 
IEC 60945 (1996), IEC 61023 (1999),
IEC 61162.
IMO Resolution A.694 (17); 
IMO Resolution A.526 (13); 
IEC 60945 (1996), IEC 61162.

IMO Resolution A.694 (17); 
IMO Resolution A.818 (19); 
IEC 61075 (1991), IEC 60945 (1996),
IEC 61162.

IMO Resolution A.694 (17); 
IMO Resolution A.818 (19); 
IEC 61075 (1991), IEC 60945 (1996),
IEC 61162.

IMO Resolution A.819 (19), IMO Resolution 
A.694 (17); 
IEC 60945 (1996), IEC 61108-1 (1994), 
IEC 61162.

EC technical 
regulations, item 
number indicated 
in Annex A.1 of
Directive 
96/98/EC, as 
amended

A.1/4.1 

A.1/4.2 

A.1/4.3 

A.1/4.6 

A.1/4.7 

A.1/4.9 

A.1/4.11

A.1/4.12

A.1/4.14

US technical 
regulations 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.101. 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.102. 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.103. 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.107. 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.105. 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.106. 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.135. 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.136. 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.130. 

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Product item identification 

Applicable international instruments for 
construction, performance and testing 
requirements 

GLONASS equipment 

Heading Control System 
HCS 

Automatic Radar Plotting 
Aid (ARPA) 

(Radar equipment used with
ARPA must have separate 
EU and US certifications.) 
Automatic Tracking Aid 
(ATA) 

(Radar equipment used with
ATA must have separate 
EU and US certifications.) 
Electronic Plotting Aid 
(EPA) 

(Radar equipment used with
EPA must have separate EU
and US certifications.) 
Integrated bridge system 

Voyage Data Recorder
(VDR) 

Gyro compass for high 
speed craft 

IMO Resolution MSC 53 (66); 
IMO Resolution A.694 (17); 
IEC 61108-2 (1998), IEC 60945 (1996),
IEC 61162.

SOLAS V/24.1; 
IMO Resolution A.342 (IX);
as amended by  IMO Resolution MSC 64 (67)
Annex 3; 
IMO Resolution A.694 (17); 
ISO 11674 (2000), IEC 60945 (1996),
IEC 61162.
IMO Resolution A.823 (19); 
 IMO Resolution A.694 (17);
IEC 60872-1 (1998), IEC 61162.

IMO Resolution MSC 64(67), Annex 4,
Appendix 1; 
IMO Resolution A.694 (17); 
IEC 60872-2 (1999), IEC 60945 (1996),
IEC 61162.

IMO Resolution MSC 64(67), Annex 4,
Appendix 2; 
IMO Resolution A.694 (17); 
IEC 60872-3 (2000), IEC 60945 (1996),
IEC 61162.

IMO Resolution MSC.64 (67) Annex 1; 
IMO Resolution A.694 (17); 
IEC  61209 (1999), IEC 60945 (1996),
IEC 61162.

IMO Resolution A.861(20); 
IMO Resolution A.694 (17); 
IEC 61996 (2000), IEC 60945 (1996),
IEC 61162.

IMO Resolution A.821 (19); 
IMO Resolution A.694 (17); 
ISO 16328 (2001), IEC 60945 (1996),
IEC 61162.

EC technical 
regulations, item 
number indicated 
in Annex A.1 of
Directive 
96/98/EC, as 
amended

A.1/4.15

A.1/4.16

A.1/4.34

A.1/4.35

A.1/4.36

A.1/4.28

A.1/4.29

A.1/4.31

US technical 
regulations 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.131. 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.110. 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.120. 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.111. 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.121. 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.140. 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.150. 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.203. 

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Product item identification 

Applicable international instruments for 
construction, performance and testing 
requirements 

Universal Automatic 
Identification System 
equipment (AIS) 

IMO Resolution MSC.74 (69) Annex 3; 
IMO Resolution A.694 (17); 
ITU R. M. 1371-1 (10/00)
IEC 61993-2 (2002), IEC 60945 (1996), IEC
61162 

EC technical 
regulations, item 
number indicated 
in Annex A.1 of
Directive 
96/98/EC, as 
amended

A.1/4.32

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

Radar reflector

IMO Resolution A.384 (X); 
IEC 60945 (1996), ISO 8729 (1997).

A.1/4.39

US technical 
regulations 

Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.155. 
NOTE:  In addition, 
the radio transmitter 
is required to be
authorized by the US 
Federal 
Communications 
Commission 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.112. 
Navigation and
Vessel Inspection
Circular NVIC 8-01,
enclosure (4),
2/165.160. 

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Regulatory Authorities  

ANNEX III

–

European Community 

Belgium

Denmark

Germany 

Greece

Spain

France

Ireland

Italy 

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

Søfartsstyrelsen
Vermundsgade 38 C
DK – 2100 København Ø

Bundesministerium für Verkehr,
Bau- und Wohnungswesen (BMVBW) 
Invalidenstraße 44
D – 10115 Berlin

ΥΠΟΥΡΓΕΙΟ ΕΜΠΟΡΙΚΗΣ ΝΑΥΤΙΛΙΑΣ
Γρ.Λαµπράκη 150  
GR – 185 18 Πειραιας  

(Ministry of Merchant Marine 
150,Gr. Lampraki str.  
GR – 185 18 Piraeus)

Ministerio de Fomento
Dirección General de la Marina Mercante. 
C/ Ruíz de Alarcón 1 
ES-28071 Madrid

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 

Maritime Safety Division
Department of the Marine and Natural Resources
Leeson Lane
IRL – Dublin 2 

Ministero delle Infrastrutture e dei Trasporti
Unita di Gestione del trasporto maritimo
Via dell'arte, 16 

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Luxembourg

The Netherlands 

Austria

Portugal

Finland

Sweden

United Kingdom

IT – 00144 – Roma

Commissariat aux affaires maritimes 
26 place de la Gare
L-1616 Luxembourg

Ministerie van Verkeer en Waterstaat  
Directoraat-Generaal Goederenvervoer (DGG)  
Directie Transportveiligheid
Nieuwe Uitleg 1,
Postbus 20904
NL-2500 EX Den Haag

Bundesministerium für Verkehr, Innovation und
Technologie
Oberste Schiffahrtsbehörde
Abteilung II/20 
Radetzkystrasse 2 
A-1030 Wien

Ministério das Obras Públicas, Transportes e
Habitação
Palácio Penafiel 
rua S. Mamede ao Caldas 21 
P – 1149-050 Lisboa

Liikenne- ja viestintäministeriö / 
kommunikationsministeriet 
PO Box 235
FIN-00131 Helsinki

Sjöfartsverket 
S-601 78 Norrköping

Maritime and Coastguard Agency 
Spring Place  
105 Commercial Road
UK – Southampton SO15 1EG

Commission of the European
Communities 

Directorate General for Energy and Transport 
Maritime Safety Unit 
200, rue de la Loi
B-1049 Brussels 

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–

United States of America

United States Coast Guard

Office of Design and Engineering Standards (G-MSE) 

2100 Second Street S.W. 

Washington DC 20593