Proposal for a Directive …/…/EC of the European Parliament and of the Council of […] on common rules and standards for ship inspection and survey organizations and for the relevant activities of maritime administrations (recast) {SEC(2005) 1498}
Date: 2005-11-23
Institutions: European Commission
Subjects: international standard, maritime safety, pollution from ships, prevention of pollution, roadworthiness tests, technical regulations, transport safety, vessel

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 23.11.2005 
COM(2005) 587 final 

2005/0237 (COD) 

Proposal for a 

DIRECTIVE …/…/EC OF THE EUROPEAN PARLIAMENT AND OF THE 
COUNCIL 

of […] 

on common rules and standards for ship inspection and survey organizations and for the 
relevant activities of maritime administrations 

(recast) 
(presented by the Commission) 

{SEC(2005) 1498} 

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EXPLANATORY MEMORANDUM 

1) 

CONTEXT OF THE PROPOSAL 

•  Grounds for and objectives of the proposal 

The Community legislator has long been convinced of the need for appropriate action to deal 
with the organisations, generally known as “classification societies”, which inspect ships and 
issue ships’ certificates.  

In  its  Erika  I  Communication,  the  Commission  seriously  asked  whether  the  classification 
system as a whole made sufficient effort to attain the standards required. The existing system 
no longer suffices and must be further improved in order to separate the good operators from 
the bad, to remedy the shortcomings in a proportionate but effective manner, and to exclude 
from the system those who do not comply with it. 

– 

– 

Thus  the  Council,  in  its  conclusions  of  13  December  2002,  stressed  the 
Commission's  role  in  the  procedures  for  authorising  and  monitoring  classification 
societies.  

In  turn,  the  European  Parliament,  in  its  Resolution  on  improving  safety  at  sea 
[2003/2235(INI)],  asked  the  Commission  to  carry  out  effective  monitoring  and  an 
audit of classification societies, their subsidiaries and participating undertakings and 
to introduce penalties for failure to comply with their obligations. In the Resolution it 
adopted  following  the  sinking  of  the  Prestige  [2003/2066  (INI)],  Parliament 
moreover  reiterated  the  need  to  establish,  at  international  and  Community  level, 
exhaustive  technical  inspection  mechanisms  which  provide  reliable  information 
about the real state of ships. 

As a response to these concerns, this proposal is intended to reform the present system for the 
recognition  of  classification  societies  by  the  Community  established  by  Directive 94/57/EC 
(OJ L 319, 12.12.1994, p. 20), and more especially to: 

(1) 

(2) 

(3) 

(4) 

(5) 

strengthen the control systems of recognized organizations, 

harmonise the current dual system of ordinary and limited recognition, 

simplify and improve the structure of the Community recognition criteria, 

reform the system of penalties, 

clarify the scope and facilitate the application of certain provisions of the Directive. 

It  is  essential  to  make  use  of  the  recasting  technique  during  this  fourth  updating  of  the 
Directive  in  the  interests  of  the  transparency  and  legibility  of  Community  legislation. 
Furthermore, apart from the substantive amendments proposed, recasting allows the recitals to 
the Directive to be updated.120 

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•  General context 

Technical  safety  standards  are  in  practice  developed  partly  by  the  International  Maritime 
Organisation  (IMO)  through  international  conventions  (“statutory”  requirements)  and  partly 
by  the  classification  societies  through  their  technical  rules  and  regulations  (“class  rules”). 
What  these  requirements  and  rules  cover  varies  according  to  the  convention,  the  subject 
matter and the type of ship.  

The  class  rules  cover  the  structural  aspects  of  the  ship  (such  as  strength  or  stability  and 
buoyancy); machinery (engines, steering gear, etc); equipment to be  fitted  on board; certain 
operational aspects (e.g. life-saving equipment, equipment for special cargoes such as on oil 
tankers  and  chemical  tankers).  Increasing  convergence  can  be  seen  between  the  technical 
regulations  of  the  main  classification  societies,  but  this  does  not  necessarily  translate  into 
mutual recognition (especially as regards equipment).  

In order to apply the international conventions, the flag State must carry out the inspections 
required and issue the relevant certificates, but either the former or both of these tasks may be 
delegated to a recognised classification society.  

For the main international certificates to be issued, the ship must be built and maintained in 
accordance  with  the  technical  rules  of  a  classification  society.  The  classification  societies 
therefore approve the plans and oversee the construction process. The classification societies 
are in full control of both the rules of substance and the inspection methods which they apply 
to certify that a newly built ship conforms to the said rules. If, as very frequently occurs, the 
classification societies act on behalf of the flag State, they will subsequently issue certificates 
of conformity with the international conventions. Throughout the ship’s life, the classification 
society will continue to issue the two types of certificate.  

– 

– 

The  lack  of  cross  checks  in  the  system  makes  it  unlikely  that  the  quality  of  class 
certificates will ever be questioned when international certificates are issued. Errors 
made  will  inevitably  have  consequences  downstream,  including  on  the  statutory 
certificates. They may affect a large number of ships before being detected.  

In  practice,  the  choice  of  classification  society  depends  on  the  relative  strengths  of 
the  ship-owners  and  shipyards.  While  the  major  ship-owners  generally  manage  to 
impose  the  societies  they  prefer,  others  have  to  accept  the  choice  of  the  shipyard. 
Classification  societies  complain  even  publicly  that  they  are  subjected  to  pressure 
from  major  shipyards  which  can  influence  the  market  and  the  implementation  of 
technical  regulations  because  of  their  large  volume  of  production.  Once  a 
classification society has been chosen for a newly built ship, it is that society which 
determines the equipment to be fitted on board since it is in a position of strength vis-
à-vis  the  equipment  suppliers,  which  are  generally  excluded  from  negotiations 
between the ship-owner, the shipyard and the society itself. Once the ship has been 
delivered to its owner and throughout its life, the classification society bills the ship-
owner for both class work and statutory tasks. The ship-owner therefore becomes the 
sole client.  

Performing these tasks demands total independence, adherence to a strict code of conduct, a 
particularly  high  level  of  competence,  very  specialised  and  continually  evolving  technical 
knowledge and particularly strict quality management.  

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•  Provisions in force in the area covered by the proposal 

Since  the  Community  cannot  introduce  a  regime  that  differs  fundamentally  from  the 
international regime, it must make up for the shortcomings of this regime while ensuring the 
free  provision  of  safety  inspection  and  certification  services  for  ships  flying  the  flag  of  a 
Member State in the internal market.  

Therefore, without essentially changing the status quo as described above, Directive 94/57/EC 
was careful to lay down strict criteria regarding independence and professional capability as a 
condition for the granting of Community recognition.  

This  mechanism  then  acts  in  two  ways:  firstly,  the  Member  States  must  ensure  that  ships 
flying  their  flags  are  designed,  built  and  maintained  in  accordance  with  the  rules  and 
regulations  of  a  recognized  organization  or,  in  exceptional  cases,  on  the  basis  of  equivalent 
national  regulations;  secondly,  tasks  arising  from  international  conventions  may  only  be 
delegated to recognized organizations.  

•  Coherence with other policies and objectives of the Union 

Improving  the  inspection  of  ships  will  have  a  direct  impact  on  the  environment  as  it  will 
reduce the risk of accidents and the resulting pollution.  

This  reduced  accident  and  pollution  risk  will  also  have  a  positive  economic  impact.  These 
changes  should  also  create  a  competitive  and  fairer  environment  for  maritime  transport 
operators  by  reducing  unfair  competition  from  substandard  ships.  These  will  be  subject  to 
stricter penalties, enabling operators of high-quality ships to benefit from lighter controls.  

2) 

CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

•  Consultation of stakeholders 

Consultation methods, main sectors targeted and general profile of respondents 

In February 2005, the Commission consulted the representatives of the Member States and the 
shipping industry on the basis of staff working papers containing a detailed list of questions 
on  the  various  options  to  be  considered.  These  concerned  (a)  separating  statutory  from 
classification tasks, (b) reforming limited recognition, (c) reforming the system of penalties, 
(d) reforming the recognition criteria, and (e) certain aspects regarding the application of the 
Directive.  

The Commission also called on the groups consulted to send in detailed comments in writing 
and  thereafter  established  bilateral  contacts  with  representatives  of  industry  and  the 
recognised organisations.  

The  European  Maritime  Safety  Agency  has  carried  out  a  study  which  has  cast  light  on  the 
problem  of  the  accumulation  of  tasks  and  provided  the  basic  data  required  for  a  detailed 
impact assessment.  

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Summary of responses and how they have been taken into account 

There  has  been  fierce  resistance  to  the  possible  separation  of  tasks,  with  the  recognised 
organisations themselves and most of the Member States preferring to see greater use made of 
vertical audits. The views received expressed clear support for a reform of limited recognition 
to eliminate the unwieldy nature of the system and the negative impact on the performance of 
the  organisations  concerned.  The  reform  of  the  recognition  criteria  was  also  welcomed, 
together  with  reform  of  the  system  of  penalties,  especially  by  the  recognised  organisations 
themselves  which  expressed  particular  concern  about  its  proportionality.  All  of  these 
elements, which were broadly covered in the Commission's impact analysis, have been taken 
into account in the proposal.  

•  Collection and use of expertise 

No recourse to external expertise was needed. 

•  Impact assessment 

The  data  gathered  and  the  detailed  conclusions  of  the  impact  assessment  are  given  in  the 
attached document SEC ../.. , which is summarised below: 

(a) 

Strengthening the control systems of recognised organisations 

Community  recognition  has  hitherto  revolved  around  the  question  of  professional  standards 
without  considering  the  risks  inherent  in  the  accumulation  of  tasks  by  the  recognised 
organisations. Two types of solution have been examined:  

– 

– 

the  introduction  of  cross  checks  during  inspections  and  when  issuing  certificates, 
which means separating statutory tasks from classification tasks. The Commission’s 
analysis  has  shown  the  advantages  of  this  arrangement,  but  it  has  one  basic 
drawback: it can only apply to ships flying the flag of a Member State, 

strengthening  the  existing  control  mechanisms  within  an  appropriate  framework. 
Analysis shows this could improve the quality of the service and the effectiveness of 
inspections  for  all  recognised  organisations,  regardless  of  the  flag  flown,  and  at  a 
negligible  price  to  these  organisations.  During  the  consultations  and  bilateral 
exchanges  conducted  by  the  Commission,  the  recognised  organisations  themselves 
advocated strengthening the vertical audits.  

(b) 

Reform of limited recognition 

Reforming limited recognition by extending it to cover all Community territory and replacing 
the  present  quantitative  criteria  by  qualitative criteria  is  not  expected  to  have  any  economic 
impact.  The  market  situation  will  stay  the  same  since  the  present  system  of  limited 
recognition of an organisation can be extended at any time to other Member States if they so 
request.  

(c) 

The recognition criteria 

Simplifying and updating the recognition criteria, which does not impose any new obligations 
on  recognised  organisations,  has  no  appreciable  economic  impact  (except  as  regards 

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prohibiting  the  use  of  non-exclusive  surveyors,  the  impact  of  which  would  be  small  and 
would extend across the entire fleet classed by the recognised organisations).  

(d) 

Reform of the system of penalties: introduction of financial penalties. 

As this would be a purely legal change, reform of the system of penalties is not expected to 
have any economic impact.  

(e) 

Other parts of the reform 

As  the  changes  would  be  purely  of  a  legal  nature,  chiefly  to  clarify  other  provisions  and/or 
ensure their proper application, new provisions regarding the legal structure of the recognised 
organisations,  the  Commission’s  inspection  powers  and  the  exclusion  of  “security”  aspects 
from the scope of the Directive are not expected to have any economic impact.  

The Commission has carried out an impact assessment as provided for in its Legislative and 
Work Programme. The report can be found at 

http://europa.eu.int/comm/secretariat_general/impact/index_en.htm. 

3) 

LEGAL ELEMENTS OF THE PROPOSAL 

•  Summary of the proposed action 

(a) 

Improving the systems for the monitoring of recognised organisations (Article 21) 

The recognised organisations should establish a joint body for quality system assessment and 
certification. The joint body must be independent, have all the necessary resources to enable 
work to be carried out in-depth and on a continuous basis, and be in a position to propose both 
individual  and  collective  measures  in  order  to  improve  the  quality  of  the  recognised 
organisations’ work. For this system to operate properly, it is also proposed that cooperation 
between  the  recognised  organisations  should  be  extended  to  ensure  that  their  technical 
regulations  are  compatible  and  that  these  regulations  and  international  conventions  are 
interpreted and applied in a uniform manner. This will provide a common basis for evaluation 
and instruments which will enable the corrective measures referred to above to be taken with 
a view to achieving a uniform level of safety in the Community. Compatibility between the 
technical  regulations  should  logically  lead  to  the  genuine  mutual  recognition  of  class 
certificates, for marine equipment as well, which would reduce the costs borne by suppliers 
and  shipyards  since  it  would  no  longer  be  necessary  for  certification  to  be  carried  out  by 
several different societies. It is also necessary to create incentives for the Member States to 
play a more active role in the development of rules and regulations (currently optional) and in 
technical  cooperation  (compatibility  between  regulations,  interpretation  of  international 
conventions).  

(b) 

Reform of limited recognition 

The  present  system  which  limits  recognition  according  to  the  size  of  the  organisation 
concerned  makes  it  more  difficult  for  an  organisation  to  renew  its  fleet  and  hampers  its 
performance  and  ability  to  evolve  and  improve.  This  is  a  totally  undesirable  situation. 
Furthermore,  the  system  may  be  rendered  meaningless  if  limited  recognition  is  extended  to 
several Member States, especially if this concerns large fleets. 

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The proposed reform is intended to eliminate these problems. Community recognition will no 
longer  depend  on  size,  but  solely  on  quality  and  performance  in  terms  of  safety  and 
environmental protection. In addition, it will be possible to prevent a recognised organisation, 
whatever  its  size,  from  acting  on  behalf  of  Member  States  in  specialised  areas  for  which  it 
does  not  have  the  necessary  capability  (for  example,  specialised  ships  such  as  chemical 
tankers, gas tankers or large passenger ships).  

(c) 

Reform of the recognition criteria 

During  successive  reforms,  the  criteria  for  granting  recognition  have  been  developed  and 
updated, and new obligations regarding transparency and cooperation have been imposed on 
the recognised organisations. 

However, these reforms have resulted in a set of criteria that are somewhat disorderly, with 
sometimes unclear expressions and redundant provisions. The proposed reform is intended to 
simplify  these  criteria  and  make  them  more  legible,  to  amend  those  which  are  difficult  to 
apply and to fill certain gaps: 

– 

– 

– 

clear  confirmation  of  the  need  to  have  a  number  of  inspectors  in  proportion  to  the 
fleet being classed, but without specifying a predetermined threshold for the granting 
of recognition,  

ending  the  use  of  non-dedicated  inspectors  by  recognised  organisations,  a  practice 
still  allowed  by  the  Directive  for  classification  tasks.  The  unstable  employment 
situation of these inspectors means that the independence and quality of their work is 
not  sufficiently  guaranteed  despite  the  basic  and  further  training  given  by  the 
recognised  organisations.  While  the  use  of  dedicated  inspectors  from  other 
recognised  organisations  is  sometimes  essential  to  ensure  worldwide  cover  in  all 
circumstances, it must remain the exception, 

requirement  of  legal  personality  and  certification  of  the  accounts  of  recognised 
organisations.  Certification  of  accounts 
the  financial 
independence  of  the  recognised  organisations  and  for  the  reform  of  the  system  of 
penalties referred to below.  

is  essential 

to  check 

(d) 

Reform of the system of penalties 

The Directive can only be applied effectively with cooperation and partnership between the 
recognised organisations, the Member States’ authorities and the Commission. Nonetheless, a 
policy  to  protect  maritime  safety  and  the  environment  must  be  backed  up  by  a  system  of 
penalties to ensure public control over the activity of recognised organisations which do not 
fulfil their obligations.  

The Commission believes it is essential that the principle of rectifying mistakes at source is 
upheld and strengthened, in particular in order to identify risks caused by infringements of the 
provisions of the Directive and to repair any possible consequences. In the most serious cases 
where there is an unacceptable risk to safety or the environment, it is also equally essential to 
withdraw recognition from the organisation in question.  

The Commission therefore considers it necessary to simplify the present system of penalties 
and to make it more flexible and effective. This involves two-fold action: 

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– 

– 

recasting of the present dual system and the creation of a single list of infringements 
and  penalties  applicable  to  both  failure  to  comply  with  the  recognition  criteria  and 
other obligations of the recognised organisations and to inadequate performance, 

replacing  the  suspension  of  recognition  by  the  application  of  financial  penalties. 
These are gradual and therefore fairer than suspension (which may be as disastrous 
for  the  organisation  concerned  as  the  withdrawal  of  recognition,  depending  on  the 
size of the European component of its registered  fleet). Financial penalties are also 
compatible with the demand for corrective action, which a system of periodic penalty 
payments would strengthen. 

The financial penalties must above all be proportionate to the severity of the infringement and 
the economic capability of the organisation concerned. Two options can be considered: either 
a percentage of turnover or an amount per gross ton of the organisation's registered fleet, both 
graduated according to the circumstances of the case. While the first method is rather direct, 
the  second  option  takes  better  account  of  the  normal  revenue  structure  of  recognised 
organisations. However, the use of this option must be preceded by detailed analysis in order 
to  ensure  that  penalties  are  dissuasive  but  fair.  The  Commission  therefore  considers  it  is 
sufficient  for  the  legislator  to  determine  the  principles  of  the  system  and  to  establish  a 
maximum  amount  of  fine  that  can  be  imposed  on  a  recognised  organisation  committing  an 
infringement.  Detailed  implementing  rules  can  then  be  adopted  by  the  Commission  with  a 
committee procedure following a more detailed study carried out together with the Member 
States and with consultation of the recognised organisations. 

(e) 

Commission’s powers of inspection 

The  Community  must  be  able  to  ensure  that  recognised  organisations  apply  the  same  strict 
standards to ships flying the flag of a third country as to ships flying the flags of the Member 
States  since  both  sail  in  Community  waters.  The  recognition  criteria  therefore  make  no 
distinction  according  to  flag  and  are  intended  to  ensure  a  uniform  standard  among  the 
recognised organisations. 

The  right  of  access  of  Community  assessors  to  ships  and  to  information  for  the  purpose  of 
evaluating recognised organisations  is already an implicit requirement of the Directive. It is 
therefore necessary to lay down the specific arrangements, in particular as regards: 

– 

– 

not  allowing  a  confidentiality  clause  in  an  agreement  to  be  invoked  to  restrict  the 
Community inspectors’ access to the information necessary for the assessment of a 
recognised organisation (access to files), 

including  relevant  provisions  in  contracts  between  recognised  organisations  and 
shipyards and ship-owners for the issuance of statutory and class certificates, so that 
such issuance is subject to good cooperation of these parties (access to ships).  

(f) 

Taking account of the legal structure of recognised organisations 

Since the first recognitions were granted by the Member States, the recognised organisations 
have  further  developed  and  sometimes  significantly  changed  their  legal  structure,  generally 
making it more complex. A large number of legal forms currently exist, including foundations 
and limited liability companies as well as exclusive forms under certain non-Community legal 
systems.  

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In response to concerns expressed by the European Parliament, the Commission proposes to 
introduce a broad organisational concept which takes account of any foreseeable relationship 
of  dependence  between  legal  entities  conducting,  under  the  same  umbrella,  activities  which 
fall  within  the  scope  of  the  Directive.  This  is  to  ensure  that  recognition  (and  therefore  the 
applicability  of  the  criteria  and  obligations  under  the  Directive)  applies  at  the  highest  level 
which corresponds to that concept. Both horizontal and vertical company groupings will then 
be sufficiently covered and will be either fully inside or outside of the Community system. 

(g) 

Exclusion of security aspects 

As  it  presently  stands,  the  scope  of  the  Directive  is  defined  by  reference  to  international 
conventions,  including  the  Convention  for  the  Safety  of  Life  At  Sea  (SOLAS).  Since  its 
amendment on 12 December 2002, this Convention contains a section on security which has 
been  transposed  into  the  Community  legal  order  by  Regulation  (EC)  No  725/2004  of  the 
European Parliament and of the Council of 31 March 2004 (OJ L 129 of 29.4.2004, p. 6). In 
accordance  with  the  abovementioned  new  provisions  of  the  SOLAS  Convention,  this 
Regulation provides for the concept of an “approved security organisation” based on criteria 
and arrangements which are incompatible with the spirit and scheme of Directive 94/57/EC. It 
is therefore necessary to exclude the “security” aspects from the scope of Directive 94/57/EC. 

•  Legal basis 

The legal basis of the proposal is Article 80(2) of the Treaty. 

•  Principle of subsidiarity 

The  principle  of  subsidiarity  applies  as  the  proposal  does  not  concern  an  area  in  which  the 
Community has exclusive competence. 

The  objectives  of  the  proposal  cannot  be  sufficiently  achieved  by  action  on  the  part  of  the 
Member States for the following reasons: 

Isolated action on the part of the Member States is incompatible with the aim of ensuring the 
free provision of services for the inspection and survey of ships flying the flags of Member 
States  while  guaranteeing  a  high  and  uniform  level  of  protection  of  safety  throughout  the 
Community,  which  requires  particularly  strict  standards  of  professional  competence  and 
independence of the recognised organisations and monitoring of those standards.  

The  objectives  of  the  proposal  may  be  better  achieved  through  Community  action  for  the 
following reasons: 

Monitoring of the obligations of recognised organisations and the imposition of penalties for 
non-compliance can only be performed effectively with the benefits of the swiftness and unity 
of  action  which  the  Community  provides.  This  process  can  only  be  fair  if  all  organisations 
concerned are evaluated in a consistent manner.  

While it improves the modus operandi of the present Community system, this proposal does 
not  in  any  way  alter  its  substance.  Thus  its  objectives  can  be  better  achieved  by  the 
Community.  

The  proposal  is  intended  to  strengthen  the  provisions  of  the  existing  Directive  without 
changing its objectives or extending its scope.  

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The proposal therefore complies with the principle of subsidiarity. 

•  Principle of proportionality 

The proposal complies with the principle of proportionality for the following reasons. 

The  proposed  action  does  not  represent  an  increase  in  Community  intervention.  On  the 
contrary, it standardises and provides a framework for the self-regulatory mechanisms of the 
recognised  organisations  (control  mechanisms),  eliminates  cumbersome  procedures  (limited 
recognition),  updates  the  existing  provisions  (recognition  criteria)  and  aims  to  make  their 
application more flexible and efficient (reform of the penalties system). 

No financial burden arises from this proposal either for the Member States or the Community 
budget.  It  provides  added  value  in  terms  of  safety  and  protection  of  the  citizen,  while  the 
options chosen represent a negligible cost to economic operators.  

•  Choice of instruments 

Proposed instrument(s): Directive. 

Other instruments would not be adequate for the following reasons: 

Replacing the present Directive by a Regulation would not fit in well with the system under 
which Member States are able to delegate their powers to inspect ships and issue certificates 
under the relevant international conventions.  

4) 

BUDGETARY IMPLICATION 

The proposal has no implications for the Community budget. 

5) 

ADDITIONAL INFORMATION 

•  Simulation, pilot phase and transition period 

The proposal has been, or will be, the subject of a transitional period. 

•  Recasting 

The proposal involves recasting of the legal provisions in force and is part of the Community 
programme updating and simplifying the Community acquis. 

•  Correlation table 

The Member States are required to transmit to the Commission the text of national provisions 
transposing  the  Directive  as  well  as  a  correlation  table  between  those  provisions  and  this 
Directive. 

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•  European Economic Area 

This draft instrument concerns an area covered by the EEA Agreement and must therefore be 
extended to cover the European Economic Area.  

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2005/0237 (COD) 

(cid:208) 94/57/EC (adapted) 

Proposal for a 

DIRECTIVE …/…/EC OF THE EUROPEAN PARLIAMENT AND OF THE 
COUNCIL 

of […] 

on common rules and standards for ship inspection and survey organizations and for the 
relevant activities of maritime administrations 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article 84 ⌦ 80 ⌫ (2) thereof, 

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the European Economic and Social Committee2, 

Having regard to the opinion of the Committee of the Regions3, 

Acting in accordance with the procedure laid down in Article 189c ⌦ 251 ⌫ of the Treaty4, 

Whereas: 

(1) 

Council Directive 94/57/EC of 22 November 1994 on common rules and standards for 
ship  inspection  and  survey  organizations  and  for  the  relevant  activities  of  maritime 
administrations5  has  been  substantially  amended  several  times.  Since  further 
amendments are to be made, it should be recast in the interests of clarity. 

(cid:216) new 

1 
2 
3 
4 
5 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ  L  319,  12.12.1994,  p.  20.  Directive  as  last  amended  by  Directive  2002/84/EC  (OJ  L  324, 
29.11.2002, p. 53). 

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(cid:208) 94/57/EC Recital 1 (adapted) 

(2) 

In its resolution of 8 June 1993 on a common policy on safe seas, the Council has set 
the  objective  of  removing  all  substandard  vessels  from  Community  waters  and  has 
given ⌦ gave ⌫  priority  to  Community  action  to  secure  the  effective  and  uniform 
implementation  of 
international  rules  by  elaborating  common  standards  for 
classification societies6. 

(3) 

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

(cid:208) 94/57/EC Recital 2 

(4) 

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

(cid:208) 94/57/EC Recital 3 

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

(cid:208) 94/57/ EC Recital 4 (adapted) 

(cid:208) 94/57/CE Recital 5 (adapted) 
(cid:214) new 

(6) 

In  compliance  with  such  conventions  all  Member  States  may  authorize  to  a 
⌦ varying ⌫  various  extent  technical  organizations  (cid:214) ship  inspection  and  survey 
organisations,  generally  known  as  classification  societies, (cid:213)  for  the  certification  of 
such compliance and may delegate the issue of the relevant safety certificates. 

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

(cid:208) 94/57/EC Recital 6 

6 

OJ C 271, 7.10. 1993, p. 1. 

EN 

13 

   EN 

 
 
 
 
 
 
 
                                                 
1. 

(8) 

(9) 

The objective  of submitting  classification societies to adequate standards cannot be 
sufficiently  achieved  by  the  Member  States  acting  individually  and  can  be  better 
achieved by the Community. 

(cid:208) 94/57/EC Recital 7 

(cid:216) new 

Furthermore,  these  organizations  are  given  the  duty  of  producing  and  implementing 
rules for the design, construction, maintenance and inspection of ships and to meet the 
requirements of the international conventions for the issue of the relevant certificates. 
To enable them to carry out that duty in a satisfactory manner they need to have strict 
independence,  highly  specialised 
technical  competence  and  rigorous  quality 
management. 

Ship  inspection  and  survey  organizations  should  be  able  to  offer  their  services 
throughout  the  Community  and  compete  with  each  other  while  providing  an  equal 
level  of  protection  of  safety  and  of  the  environment.  The  necessary  professional 
standards  for  their  activity  should  therefore  be  uniformly  established  and  applied 
across the Community. 

(10)  The  appropriate  way  to  act  is  by  means  of  a  Council  directive  laying  down 
mMinimum  criteria  for  recognition  of  organizsations  ⌦ should  be  laid  down ⌫., 
while leaving recognition itself, the means of enforcement, and the implementation of 
the Directive to the Member States; 

(cid:208) 94/57/EC Recital 8 (adapted) 

2. 

Whereas  EN  45004  and  EN  29001  standards  combined  with  International 
Association  of  Classification  Societies  (IACS)  standards  constitute  an  adequate 
guarantee of performance quality of organizations; 

(cid:208) 94/57/EC Recital 9 

(11)  The issuance ⌦ issue ⌫ of the Cargo Ship Safety Radio Certificate may be entrusted 

to private bodies having sufficient expertise and qualified personnel. 

(cid:208) 94/57/EC Recital 10 (adapted) 

3. 

Whereas  organizations  wishing  to  be  recognized  for  the  purpose  of  this  Directive 
must  submit  to  the  Member  States  complete  information  and  evidence  of  their 

(cid:208) 94/57/EC Recital 11 

EN 

14 

   EN 

 
 
 
 
 
 
 
compliance  with  the  minimum  criteria,  and  the  Member  States  must  notify  to  the 
Commission and to the other Member States the organizations they have recognized; 

(cid:208) 2001/105/EC Recital 11 
(cid:214) new 

(12) 

In order to grant the initial recognition to the organisations wishing to be authorised to 
work  on  behalf  of  the  Member  States,  compliance  with  the  (cid:214) minimum  criteria 
referred to above (cid:213) 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 recognition. 

(cid:208) 94/57/CE Recital 12 

4. 

Whereas  a  three-year  recognition  may  be  granted  by  the  Commission  for 
organizations  which  do  not  meet  the  criteria  fixing  the  minimum  number  and 
tonnage of classed vessels and minimum number of exclusive surveyors laid down in 
the  Annex  but  meet  all  the  other  criteria;  whereas  such  organizations  should  be 
granted  an  extension  of  recognition  after  the  period  of  three  years  provided  they 
continue to meet the same criteria; whereas the effects of the three-year recognition 
should be limited to the requesting Member States, for that period only; 

(cid:216) new 

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

(cid:208) 94/57/EC Recital 13 (adapted) 

(14)  The  establishment  of  the  internal  market involves  free  circulation  of  services  so  that 
organizations meeting a set of common criteria which guarantee their professionalism 
and  reliability  cannot  be  prevented  from  supplying  their  services  within  the 
Community  provided  a  Member  State  has  decided  to  delegate  such  statutory  duties. 
Such  a  A  Member  State  may  nevertheless  restrict  the  number  of  organizations  it 
authorizes  in  accordance  with  its  needs,  based  on  objective  and  transparent  grounds, 
subject  to  control  exercised  by  the  Commission  ⌦ in  accordance  with  a  committee 
procedure. ⌫ through the comitology procedures; 

EN 

15 

   EN 

 
 
 
 
 
5. 

Whereas the  implementation of the principle of freedom  to  provide  ship  inspection 
and survey services could be gradual, but not beyond prescribed time limits; 

(cid:208) 94/57/EC Recital 14 

(cid:208) 2001/105/EC Recital 15 
(adapted) 

(15)  Since ⌦ this Directive ⌫ 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. 

(cid:208) 94/57/EC Recital 15 (adapted) 

(16)  A tighter involvement of the national administrations in ship surveys and in the issue 
of the related certificates is necessary to ensure full compliance with the international 
safety  rules  even  if  the  Member  States  rely  upon  organizations  outside  their 
administration for carrying out statutory duties. It is appropriate, therefore, to establish 
a close working relationship between the administrations and the organizations, which 
may  require  that  the  organization  has  a  local  representation  on  the  territory  of  the 
Member State on behalf of which it performs its duties. 

6. 

7. 

8. 

(cid:208) 94/57/EC Recital 16 

Whereas a committee of a regulatory nature should be established in order to assist 
the Commission in its effort to ensure effective application of the existing maritime 
safety and environmental standards while taking account of the national ratification 
procedures. 

Whereas the Commission  must act according to the procedure laid down in Article 
13  in  order  to  take  due  account  of  progress  in  international  fora  and  to  update  the 
minimum criteria. 

(cid:208) 94/57/EC Recital 17 

(cid:208) 94/57/EC Recital 18 

Whereas on the basis of the information provided in accordance with Article 11 by 
the  Member  States  about  the  performance  of  the  organizations  working  on  their 
behalf,  the  Commission  will  decide  whether  it  will  request  Member  States  to 
withdraw the recognition of recognized organizations which no longer fulfil the set 
of common minimum criteria, acting in accordance with the procedure of Article 13; 

EN 

16 

   EN 

 
 
 
 
 
 
 
(cid:208) 2001/105/EC Recital 16 
(adapted) 
(cid:214) new 

(17)  The  Divergence  in  the  financial  liability  regimes  of  the  organisations  working  on 
behalf of the Member States represented a difficulty in (cid:214) would impede (cid:213) the proper 
implementation of ⌦ this Directive ⌫ 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. 

(cid:208) 2001/105/EC Recital 17 
(adapted) 

(18)  The  measures  necessary  for  the  implementation  of  ⌦ this ⌫  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 implementing powers conferred on the 
Commission.7 

(cid:216) new 

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

(20) 

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

(cid:208) 2001/105/EC Recital 14 
(cid:214) new 

(21) 

In  accordance  with  the  Community-wide  approach,  the  decision  to  withdraw  the 
recognition  of  an  organisation  which  fails  to  fulfil  the  provisions  set  out  in  the 
Directive  (cid:214) if  the  above  measures  prove  ineffective  or  the  organization  otherwise 
presents an unacceptable threat to safety or the environment, (cid:213) including cases where 
safety and pollution prevention performance becomes unsatisfactory, has to be taken at 

7 

OJ L 184, 17.7.1999, p. 23. 

EN 

17 

   EN 

 
 
 
 
 
                                                 
Community  level,  and  therefore  by  the  Commission,  on  the  basis  of  the  committee 
procedure. 

(cid:208) 94/57/EC Recital 19 (adapted) 

(22)  Member States must ⌦ should ⌫ nevertheless be left the possibility of suspending 
their  authorization  to  an  ⌦ a  recognised ⌫  organizsation  for  reasons  of  serious 
danger to safety or environment. The Commission must ⌦ should ⌫ rapidly decide 
in accordance with the procedure referred to above whether it is necessary to overrule 
such national measure. 

(23)  Each Member State should periodically assess the performance of the organizsations 
working  on  its  behalf  and  provide  the  Commission  and  all  the  other  Member  States 
with precise information related to such performance. 

(cid:208) 94/57/EC Recital 20 

(cid:208) 2001/105/EC Recital 12 
(adapted) 

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

(25) 

It is crucial that Community inspectors have access to ships and ship files regardless of 
the ship’s flag in order to ascertain that the recognised organisations comply with the 
minimum criteria in respect of all ships in their respective class. 

(cid:216) new 

(cid:208) 94/57/EC Recital 21 (adapted) 

(26)  Member  States,  as  port  authorities,  are  required  to  enhance  safety  and  prevention  of 
pollution  in  Community  waters  through  priority  inspection  of  vessels  ⌦ ships ⌫ 
carrying certificates of organizations which do not fulfil the common criteria, thereby 
ensuring no more favourable treatment to vessels ⌦ that ships ⌫ flying the flag of a 
third State ⌦ do not receive more favourable treatment ⌫ . 

EN 

18 

   EN 

 
 
 
 
 
 
9. 

Whereas the procedure by which the committee will decide should be Procedure III 
A  of  Article  2  of  Council  Decision  87/373/EEC  of  13  July  1987  laying  down  the 
procedures for the exercise of implementing powers conferred on the Commission8; 

(cid:208) 94/57/EC Recital 22 

(cid:208) 94/57/EC Recital 24 (adapted) 

(27)  At  present  there  are  no  uniform  international  standards  to  which  all  ships  must 
conform at the building stage and during their entire  life,  as regards hull, machinery 
and electrical and control installations. Such standards may be fixed according to the 
rules of recognized classification societies or to equivalent standards to be decided by 
the  national  administrations  in  accordance  with  the  procedure  laid  down  in  Council 
Directive  83/189/EEC  of  28  March  1983  ⌦ Directive  98/34/EC  of  the  European 
Parliament  and  of  the  Council  of  22  June  1998 ⌫  laying  down  a  procedure  for  the 
provision of information in the field of technical standards and regulations ⌦ 9 ⌫ . 

(cid:216) new 

(28)  The ability of recognized organizations rapidly to identify and correct weaknesses in 
their  rules,  processes  and  internal  controls  is  critical  for  the  safety  of  the  ships  they 
inspect and certify. That ability should be enhanced by means of an independent joint 
body  which  can  propose  common  action  for  the  sustained  improvement  of  all 
recognized organizations and ensure productive interaction with the Commission. 

(cid:208) 94/57/EC Recital 23 (adapted) 
(cid:214) new 

(29)  ⌦ Recognised  organisations ⌫  classification  societies  must  ⌦ should  be  obliged 
to ⌫  update  and  enforce  their  technical  standards  ⌦ and  enforce  them ⌫ 
(cid:214) consistently (cid:213) 
rules  and  ensure  uniform 
to  harmonize  safety 
implementation  of  international  rules  within  the  Community.  (cid:214) Where  the  technical 
standards of recognised organisations are identical or very similar, mutual recognition 
of class certificates should be considered. (cid:213) 

in  order 

(cid:208) 2001/105/EC Recital 18 

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

8 
9 

OJ No L 197, 18. 7. 1987, p. 33. 
⌦ OJ L 204, 21.7.1998, p. 37 ⌫ . 

EN 

19 

   EN 

 
 
 
 
 
 
                                                 
(cid:208) 2001/105/EC Recital 19 
(adapted) 
(cid:214) new 

(31) 

In  an  attempt  ⌦ order ⌫  to  prevent  ships  from  changing  class  in  order  to  avoid 
carrying  out  necessary  repairs,  the  recognised  organisations  should  exchange  all 
relevant  information  among  themselves  concerning  the  conditions  of  ships  changing 
class (cid:214) and involve the flag State when necessary (cid:213) . 

(cid:216) new 

(32)  The  European  Maritime  Safety  Agency  (EMSA)  established  by  Regulation  (EC) 
No 1406/2002  of  the  European  Parliament  and  of  the  Council10  should  provide  the 
necessary support to ensure the implementation of this Directive.  

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

(34)  The obligation to transpose this Directive into national law should be confined to those 
provisions  which  represent  a  substantive  change  as  compared  with  the  earlier 
Directive. The obligation to transpose the provisions which are unchanged arises under 
the earlier Directive. 

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

HAVE ADOPTED THIS DIRECTIVE: 

(cid:208) 94/57/EC (adapted) 

Article 1 

This Directive establishes measures to be followed by the Member States and organizations 
concerned  with  the  inspection,  survey  and  certification  of  ships  for  compliance  with  the 
international conventions on safety at sea and prevention of marine pollution, while furthering 
the  objective  of  freedom  to  provide  services.  This  process  includes  the  development  and 

10 

OJ  L  208  5.8.2002,  p.  1.  Regulation  as  last  amended  by  Regulation  (EC)  No.  724/2004,  (OJ  L  129, 
29.4.2004, p. 1.) 

EN 

20 

   EN 

 
 
 
 
                                                 
implementation  of  safety  requirements  for  hull,  machinery  and  electrical  and  control 
installations of ships falling under the scope of the international conventions. 

Article 2 

For the purpose of this Directive ⌦ the following definitions shall apply ⌫ : 

(a) “ship” 

means a ship falling within the scope of the international 
conventions; 

(cid:208) 2001/105/EC Art. 1.1 
(cid:206)1 2002/84/EC Art. 3.1 
(cid:214) new 

(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 corresponding 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; 

(d) “international 
conventions” 

means the 1974 International Convention for the Safety of Life at 
Sea (SOLAS) (cid:214) with the exception of chapter XI-2 of the Annex 
and the International Ship and Port Facility Security Code (cid:213) , 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 
the related codes of mandatory status in all Member States, (cid:206)1 in 
their up-to-date version (cid:205); 

EN 

21 

   EN 

 
 
 
 
 
 
 
(cid:208) 94/57/EC (adapted) 
(cid:214) new 

(e) “organization” 

means (cid:214) a legal entity, its subsidiaries and any other entities 
under its control, which jointly or separately carry out tasks 
falling under the scope of this Directive (cid:213) a classification society 
or other private body carrying out safety assessment work for an 
administration; 

(cid:214) (f) “control” (cid:213) 

(cid:214) means, for the purpose of point (e), rights, contracts or any 
other means, in law or in fact, which, either separately or in 
combination confer the possibility of exercising decisive 
influence on a legal entity or enable such entity to carry out tasks 
falling under the scope of this Directive;(cid:213) 

(g) “recognized 
organization” 

means an organization recognized in conformity with Article 4; 
⌦ accordance with this Directive; ⌫ 

(h) “authorization” 

means an act whereby a Member State grants an authorization or 
delegates powers to a recognized organization; 

(i) “(cid:214) statutory (cid:213) 
certificate” 

means a certificate issued by or on behalf of a (cid:214) flag (cid:213) Member 
State in accordance with the international conventions; 

(cid:214) (j) “rules and 
regulations” (cid:213) 

(cid:214) means a recognized organization’s requirements for the 
design, construction, equipment, maintenance and survey of 
ships; (cid:213) 

(k) “class certificate” 

(cid:208) 2001/105/EC Art. 1.1 (adapted) 

means a document issued by a ⌦ recognised organisation ⌫ 
classification society certifying the structural and mechanical 
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 ⌦ recognised organisation ⌫ ; 

EN 

22 

   EN 

 
 
 
 
 
 
 
 
 
 
(l) “cargo ship safety 
radio certificate” 

means the certificate introduced by the amended 
SOLAS 1974/1978 Radio Regulations, adopted by the IMO; 

(cid:208) 94/57/EC (adapted) 
(cid:206)1 2001/105/EC Art. 1.2 
(cid:214) new 

(m) “location” 

refers to the place of the registered office, central administration 
or principal place of business of an organization. 

Article 3 

1. 

their  responsibilities  and  obligations  under 

international 
In  assuming 
conventions,  Member  States  shall  ensure  that  their  competent  administrations  can 
assure an appropriate enforcement of the provisions of the international conventions, 
in  particular  with  regard  to  the  inspection  and  survey  of  ships  and  the  issue  of 
(cid:214) statutory (cid:213)  certificates  and  exemption  certificates  (cid:214) as  provided  for  by  the 
international  conventions (cid:213)  .(cid:206)1 Member  States  shall  act  in  accordance  with  the 
relevant provisions of the Annex and the Appendix to IMO Resolution A.847(20) on 
guidelines to assist flag States in the implementation of IMO instruments. (cid:205) 

the 

2. 

Where for the purpose of paragraph 1 a Member State decides with respect to ships 
flying its flag: 

(i) 

to  authorizse  organizsations  to  undertake  fully  or  in  part  inspections  and 
surveys related to (cid:214) statutory (cid:213) certificates including those for the assessment 
of compliance with ⌦ the rules referred to in ⌫ Article 14 ⌦ 19(2) ⌫ and, 
where appropriate, to issue or renew the related certificates; or 

(ii) 

to  rely  upon  organizsations  to  undertake  fully  or  in  part  the  inspections  and 
surveys referred to in subparagraph ⌦ point ⌫ (i); 

it shall entrust these duties only to recognizsed organizsations. 

The  competent  administration  shall  in  all  cases  approve  the  first  issue  of 
theexemption certificates. 

However, for the cargo ship safety radio certificate these duties may be entrusted to a 
private  body  recognized  by  a  competent  administration  and  having  sufficient 
expertise  and  qualified  personnel  to  carry  out  specified  safety  assessment  work  on 
radio-communication on its behalf. 

3. 

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

EN 

23 

   EN 

 
 
 
 
 
(cid:208) 2001/105/EC Art. 1.3 (adapted) 
(cid:214) new 

Article 4 

1. Member States which wish to grant an authorisation to any organisation which is not yet 
recognised, shall submit a request for recognition to the Commission together with complete 
information  on,  and  evidence  of,  compliance  with  the  criteria  set  out  in  the  Annex 
⌦ Annex I ⌫  and  on  the  requirement  and  undertaking  that  it  will  comply  with  the 
provisions of Articles 15(2), (4) and (5) (cid:214) 20 and 21 (cid:213) . 

The  Commission,  together  with  the  respective  Member  States  submitting  the  request,  shall 
carry out assessments of the organisations for which the request for recognition was received 
in  order  to  verify  that  the  organisations  meet  and  undertake  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 Article 9. 

(cid:216) new 

Article 5 

The Commission shall refuse to recognize organizations which fail to meet the requirements 
mentioned  in  the  first  paragraph  of  Article  4  or  whose  performance  is  considered  an 
unacceptable  threat  to  safety  or  the  environment  on  the  basis  of  the  criteria  laid  down  in 
accordance with Article 14. 

(cid:208) 2001/105/EC Art. 1.3 (adapted) 

⌦ Article 6 ⌫ 

Recognition  shall  be  granted  by  the  Commission  in  accordance  with  the  procedure 
referred to in Article 7 ⌦ 9 ⌫ (2). 

(cid:216) new 

Recognition shall be granted to the parent entity, if any, within the organisation and 
shall apply to all entities within that organization. 

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

1. 

2. 

3. 

EN 

24 

   EN 

 
 
 
 
 
(cid:208) 2001/105/EC Art. 1.3 (adapted) 
(cid:214) new 

2. Member States may submit to the Commission 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 
compliance 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 paragraphs 2 and 
3  of  section  A.  The  effects  of  these  limited  recognitions  shall  be  limited  exclusively  to  the 
Member State or States which have submitted a request for such recognition. 

3.  All  the  organisations  which  are  granted  recognition  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 
organisation,  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 (cid:214) regularly (cid:213) update a list of the organisations 
recognised  in  compliance  with  ⌦ this  Article ⌫  paragraphs  1,  2  and  3.  The  list 
shall  be  published  in  the  Official  Journal  of  the  European  ⌦ Union ⌫ 
Communities. 

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

(cid:208) 94/57/EC 

Article 75 

(cid:208) 2001/105/EC Art. 1.4(a) 
(adapted) 

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  ⌦ 2 of  this  Article  ⌫  3  and  Articles  ⌦ 8  and  16 ⌫  6  and  11. 
However, they may restrict the number of organisations 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 ⌦ referred to ⌫ laid down in Article 7 ⌦ 9(2) ⌫ , adopt appropriate 
measures. 

EN 

25 

   EN 

 
 
 
 
2. 

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. 

(cid:208) 2001/105/EC Art. 1.4(c) 

In  addition,  the  Community  may  request  the  third  State  where  a  recognised 
organisation 
those  recognised 
organisations which are located in the Community. 

to  grant  reciprocal 

treatment  for 

located 

is 

(cid:208) 94/57/EC 

Article 86 

1. 

2. 

Member  States  which  decide  to  act  as  described  in  Article  3(2)  shall  set  out  a 
working  relationship  between  their  competent  administration  and  the  organizations 
acting on their behalf. 

(cid:208) 2001/105/EC Art. 1.5(a) 
(adapted) 

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

(a) 

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

(b) 

the following provisions concerning financial liability: 

(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 property or personal 
injury or death, which is proved in that court of law to have been caused 
by  a  wilful  act  or  omission  or  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  organisation  to  the  extent 
that  the  said  loss,  damage,  injury  or  death  is,  as  decided  by  that  court, 
caused by the recognised organisation; 

EN 

26 

   EN 

 
 
 
 
(ii) 

(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,  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 
administration  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 recognised 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; 

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  property,  which  is 
proved  in  that  court  of  law  to  have  been  caused  by  any  negligent  or 
reckless  act  or  omission  of  the  recognised  organisation,  its  employees, 
agents  or  others  who  act  on  behalf  of  the  recognised  organisation,  the 
administration  shall  be  entitled  to  financial  compensation  from  the 
recognised organisation, to the extent that the said loss or damage is, as 
decided by that court, caused by the recognised organisation; the Member 
States  may  limit  the  maximum  amount  payable  by  the  recognised 
organisation, which must, however, be at least equal to EUR 2 million; 

(c) 

provisions  for  a  periodical  audit  by  the  administration  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 ⌦ 16 ⌫ (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 ⌦ 20 ⌫ (3). 

(cid:208) 94/57/EC (adapted) 

3. 

4. 

The  agreement  or  equivalent  legal  arrangement  may  set  the  requirement  that  the 
recognizsed  organizsation  has ⌦ to  have ⌫  a  local  representation  on  the  territory 
of the Member State on behalf of which it performs the duties referred to in Article 3. 
A  local  representation  of  a  legal  nature  ensuring  legal  personality  under  the  law  of 
the  Member  State  and  the  competence  of  its  national  courts  may  satisfy  such 
⌦ a ⌫ requirement. 

Each  Member  State  shall  provide  the  Commission  with  precise  information  on  the 
working  relationship  established  in  accordance  with  this  Article.  The  Commission 
shall subsequently inform the other Member States. 

EN 

27 

   EN 

 
 
(cid:208) 2001/105/EC Art. 1.5(b) 
(adapted) 

5. 

The Commission shall, no 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  parties  concerned  and,  more  particularly,  its 
consequences for the financial equilibrium of recognised organisations. 

This  report  shall  be  drawn  up  in  cooperation  with  the  competent  authorities  of  the 
Member  States 
recognised 
organisations/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. 

in  particular 

the  parties 

concerned, 

and 

(cid:208) 2001/105/EC Art. 1.6 

Article 97 

(cid:208) 2002/84/EC Art. 3.2 (adapted) 

The Commission shall be assisted by the Committee on Safe Seas and the Prevention 
of  Pollution  from  Ships  (COSS)  created  by  Article  3  of  Regulation  (EC) 
No 2099/2002 of the European Parliament and of the Council of 5 November 2002 
establishing  a  Committee  on  Safe  Seas  and  the  Prevention  of  Pollution  from  Ships 
(COSS)11. 

(cid:208) 2001/105/EC Art. 1.6 

reference 

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

is  made 

to 

1. 

2. 

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. 

11 

OJ L 324, 29.11.2002, p. 1. 

EN 

28 

   EN 

 
 
 
 
 
                                                 
(cid:208) 94/57/EC 

Article 108 

1. 

This  Directive  may,  without  broadening  its  scope,  be  amended  in  accordance  with 
the procedure ⌦ referred to ⌫ laid down in Article 7 ⌦ 9 ⌫ (2), in order to: 

(cid:208) 2001/105/EC Art. 1.7 (adapted) 

(a) 

apply,  for  the  purposes  of  this  Directive,  subsequent  amendments  to  the 
international  conventions,  protocols,  codes  and  resolutions  related  thereto 
mentioned  in  Articles  2(d),  3(1)  and  6 ⌦ 8 ⌫  (2),  which  have  entered  into 
force, 

(b)  update  the  criteria  in  the  Annex  ⌦ Annex  I ⌫  taking  into  account,  in 

particular, the relevant decisions of the IMO, 

(c) 

alter the amounts specified in points (ii) and (iii) of Article 6 ⌦ 8 ⌫ (2)(b). 

(cid:208) 94/57/EC 

2. 

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

The  amendments  to  the  international  instruments  referred  to  in  Article  2(d)  and 
Article  6  ⌦ 8 ⌫  may  be  excluded  from  the  scope  of  this  Directive,  pursuant  to 
Article 5 of Regulation (EC) No 2099/2002. 

(cid:208) 2002/84/EC Art. 3.3 (adapted) 

(cid:216) new 

Article 11 

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

EN 

29 

   EN 

 
 
 
 
 
 
threat  to  safety  or  the  environment,  or  to  otherwise  address  the  causes  of  the  worsening 
performance  

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

Article 12 

1. 

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

(a)  whose failure to fulfil the criteria set out in Annex I or its obligations under this 
Directive  or  whose  worsening  performance  reveals  grave  shortcomings  in  its 
structure, systems, procedures or internal controls; or 

(b)  which  has  provided  incorrect,  incomplete  or  misleading  information  to  the 
Commission  in  the  course  of  its  assessment  under  Article  16(3)  or  otherwise 
obstructed that assessment. 

2. 

3. 

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

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

They  shall  be  imposed  only  after  the  organisation  concerned  has  been  given  the 
opportunity to submit its observations. 

The  aggregate  amount  of  the  fines  and  periodic  penalty  payments  shall  not  exceed 
10%  of  the  total  turnover  of  the  recognized  organisation  in  the  preceding  business 
year for the activities falling under the scope of this Directive. 

1. 

The Commission shall withdraw the recognition of organisations: 

Article 13 

(a)  whose failure to fulfil the criteria set out in Annex I or their obligations under 
this Directive is such that it constitutes an unacceptable threat to safety or the 
environment;  

(b)  whose safety and pollution prevention performance is such that it constitutes an 

unacceptable threat to safety and the environment; 

(c)  which prevent or repeatedly obstruct their assessment by the Commission, or 

EN 

30 

   EN 

 
(d)  which fail to honour the fines and/or periodic penalty payments referred to in 

Article 12(1) and (2). 

2. 

For the purpose of points (a) and (b) of paragraph 1, the Commission shall decide on 
the basis of all the available information, including: 

(a) 

the results of its own assessment of the organization concerned in accordance 
with Article 16(3); 

(b) 

reports submitted by Member States in accordance with Article 18; 

(c) 

analyses of casualties involving ships classed by the recognised organisations; 

(d) 

any recurrence of the shortcomings referred to in Article 12(1), point (a); 

(e) 

the extent to which the fleet in the organization’s class is affected, and 

(f) 

the ineffectiveness of the measures referred to in Article 12(2). 

3. 

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

Article 14 

The  Commission,  acting  in  accordance  with  the  procedure  referred  to  in  Article  9(2),  shall 
adopt: 

(a) 

(b) 

criteria  to  measure  the  safety  and  pollution  prevention  performance  of  recognised 
organisations,  having  particular  regard  to  the  data  produced  by  the  Paris 
Memorandum  of  Understanding  on  Port  State  Control  and/or  by  other  similar 
schemes; 

criteria  to  determine  when  such  performance  is  to  be  considered  an  unacceptable 
threat  to  safety  or  the  environment,  which  may  take  into  account  specific 
circumstances affecting smaller-sized or highly specialised organizations, and 

(c) 

detailed rules for the implementation of Article 12 and, if appropriate, Article 13. 

(cid:208) 2001/105/EC Art. 1.8 

1. The recognition of organisations 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 procedure 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 

EN 

31 

   EN 

 
 
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 safety and pollution prevention performance records of the organisations shall be derived 
from  the  data  produced  by  the  Paris  Memorandum  of  Understanding  on  Port  State  Control 
and/or  by  similar  schemes.  Other  indications  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. 

(cid:208) 2001/105/EC Art. 1.9 (adapted) 

Article 1510 

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

(a) 

(b) 

(c) 

the Member State shall inform the Commission and the other Member States of its 
decision without delay, giving substantiated reasons therefore; 

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

acting  in  accordance  with  the  procedure  ⌦ referred  to ⌫  laid  down  in  Article  7 
⌦ 9 ⌫  (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 recognised 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 

EN 

32 

   EN 

 
 
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  organisation 
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  recognised  organisation  has  failed  to  comply  with  the  provisions  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 suspension have been removed. Where such shortcomings are still 
present,  recognition  shall  be  withdrawn  in  accordance  with  the  procedure  referred  to  in 
Article 7(2). 

(cid:208) 2001/105/EC Art. 1.10 
(adapted) 
(cid:214) new 

Article 1611 

1. 

2. 

3. 

Each Member State must satisfy itself that the recognised 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 administration. 

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 on of the results 
of  this  monitoring  at  the  latest  by  31  March  of ⌦ the ⌫  each  year  following  the 
years for which compliance has been assessed. 

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 (cid:214) meet their obligations under 
this Directive and (cid:213) fulfil the criteria of the Annex ⌦ Annex I ⌫ . 

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 ⌦ 18 ⌫ . 

The assessment may include a visit to regional branches of the organisation as well 
as random inspection of ships (cid:214) , both in service and under construction, (cid:213) for the 
purpose  of  auditing  the  organisation's  performance.  In  this  case  the  Commission 
shall,  where  appropriate,  inform  the  Member  States  where  ⌦ in  which ⌫  the 

EN 

33 

   EN 

 
 
4. 

1. 

2. 

regional branch is located. The Commission shall provide the Member States with a 
report on of the results of the assessment. 

Each  recognised  organisation  shall  make  available  the  results  of  its  quality  system 
management  review  to  the  Committee  set  up  under  Article  7  ⌦ 9 (1)⌫  ,  on  an 
annual basis. 

(cid:216) new 

Article 17 

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

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

(cid:208) 2001/105/EC Art. 1.11 
(adapted) 
(cid:214) new 

Article 18 12 

In exercising their inspection rights and obligations as port States, Member States shall report 
to  the  Commission  and  to  other  Member  States,  and  inform  the  flag  State  concerned, ⌦ if 
they find that ⌫ the discovery of the issue of valid (cid:214) statutory (cid:213) certificates ⌦ have been 
issued ⌫ by organisations acting on behalf of a flag State to a ship which does not fulfil the 
relevant requirements of the international conventions, or ⌦ in the event ⌫ of any failure of 
a ship carrying a valid 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 organisations 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. 

EN 

34 

   EN 

 
 
 
1. 

2. 

3. 

1. 

(cid:208) 94/57/EC (adapted) 
(cid:206)1 2001/105/EC Art. 1.13 
(cid:214) new 

Article 1914 

Each  Member  State  shall  ensure  that  ships  flying  its  flag  ⌦ are ⌫  shall  be 
(cid:214) designed, (cid:213)  constructed  (cid:214) ,  equipped (cid:213)  and  maintained  in  accordance  with  the 
(cid:214) rules  and  regulations relating  to (cid:213)  hull,  machinery  and  electrical  and  control 
installation requirements of a recognizsed organizsation. 

A  Member  State  may  decide  to  use  rules  it  considers  equivalent  to  those  of  a 
recognised organisation only on the proviso that it immediately notifies d them to the 
Commission  in  conformity  with  the  procedure  of  under  Directive  83/189/EEC 
⌦ 98/34/EC ⌫  and  to  the  other  Member  States  and  they  are  not  objected  to  by 
another  Member  State  or  the  Commission  and  found  through  the  procedure 
⌦ referred to in ⌫ of (cid:206)1 Article 7 ⌦ 9 ⌫ (2) (cid:205) ⌦ of this Directive ⌫ not to 
be equivalent. 

(cid:216) new 

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

(cid:208) 94/57/EC 

Article 2015 

(cid:208) 2001/105/EC Art. 1.14(a) 
(cid:214) new 

The recognised organisations shall consult with each other periodically with a view 
to  maintaining  equivalence  of  their  technical  standards  (cid:214) rules  and  regulations (cid:213) 
and the implementation thereof. (cid:214) They shall cooperate with each other with a view 
to  achieving  consistent  interpretation  of  the  international  conventions,  without 
prejudice  to  the  powers  of  the  flag  States.  Recognised  organisations  shall  agree  on 
the  conditions  under  which  they  will  mutually  recognize  their  respective  class 
certificates  based  on  equivalent  standards,  taking  particularly  into  account  marine 
equipment  bearing  the  wheelmark  in  accordance  with  Directive  96/98/EC12. (cid:213)  in 

12 

OJ L 46, 17.2.1997, p. 25. Directive as last amended by Directive 2002/84/EC (OJ L 324, 29.11.2002, 
p. 53). 

EN 

35 

   EN 

 
 
 
 
 
                                                 
2. 

3. 

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 (cid:214) and mutual recognition (cid:213) . 

(cid:208) 94/57/EC (adapted) 

The  recognised  organisations  shall  demonstrate  willingness  to  cooperate  with  port 
State control administrations ⌦ where ⌫ when a ship of their class is concerned, in 
particular,  in  order  to  facilitate  the  rectification  of  reported  deficiencies  or  other 
discrepancies. 

(cid:208) 2001/105/EC Art. 1.14(b) 
(adapted) 
(cid:214) new 

The  recognised  organisations  shall  provide  to  all  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  withdrawals  of  class,  irrespective  of  the  flag  the  ⌦ ships ⌫ 
vessels fly.  

issued  against 

Information on transfers, changes, suspensions,  and withdrawals of  class, including 
information  on  all  overdue  surveys,  overdue  recommendations,  conditions  of  class, 
operating  conditions  or  operating  restrictions 
their  classed 
⌦ ships ⌫ vessels — irrespective of the flag the ⌦ ships ⌫ vessels fly — shall 
also be communicated (cid:214) electronically (cid:213) to the Sirenac information system for port 
State  control  inspections  and  (cid:214) common  inspection  database  used  by  the  Member 
States  for  the  implementation  of  Directive  […/…/EC]  of  the  European  Parliament 
and  the  Council13  at  the  same  time  as  it  is  recorded  within  the  organization’s  own 
systems and in any case no later than 72 hours after the  event that gave rise to the 
obligation to communicate the information. That information, with the exception of 
recommendations  and  conditions  of  class  which  are  not  overdue, (cid:213)  shall  be 
published on the website, if any, of these recognised organisations. 

4. 

The  recognised  organisations  shall  not  issue  (cid:214) statutory (cid:213)  certificates  to  a  ship, 
irrespective  of  its  flag,  which  has  been  declassed  or  is  changing  class  for  safety 
reasons,  before  giving  the  opportunity  to  the  competent  administration  of  the  flag 
State to give its opinion within a reasonable time in order to determine whether a full 
inspection is necessary. 

13 

OJ L […], […], p. […]. 

EN 

36 

   EN 

 
 
 
                                                 
5. 

In cases of transfer of class from one recognised organisation to another, the losing 
organisation shall inform the gaining organisation of: 

(cid:208) 2001/105/EC Art. 1.14(c) 
(adapted) 

(a)  ⌦ any ⌫ all overdue surveys; 

(b)  ⌦ any ⌫ overdue recommendations and conditions of class; 

(c) 

operating conditions ⌦ issued against the ship, and ⌫ 

(d)  or operating restrictions ⌦ issued against the ship ⌫ vessel. 

On  transfer,  the  losing  organisation  shall  provide  the  gaining  organisation  with  the 
complete  history  file  of  the  ⌦ ship ⌫  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 issued against the ⌦ ship ⌫ vessel have been completed as specified by 
the losing organisation. 

Prior  to  the ⌦ issue ⌫  issuance  of  the  certificates,  the  gaining  organisation  must 
advise the losing organisation of the date of issue of the certificates and confirm the 
date, ⌦ place ⌫ location and action taken to satisfy each overdue survey, overdue 
recommendation and overdue condition of class. 

(cid:216) new 

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

The  recognised  organisations  shall  cooperate  with  each  other 
implementing the provisions of this paragraph. 

in  properly 

(cid:208) 2001/105/EC Art. 1.14(c) 

(cid:216) new 

Article 21 

1. 

Recognised organisations shall set up by …. at the latest and maintain a joint body to 
undertake the following tasks: 

EN 

37 

   EN 

 
 
 
 
 
(a) 

continuous quality management system assessment; 

(b)  quality system certification; 

(c) 

issue of binding interpretations of internationally recognized quality standards, 
in  particular  to  take  account  of  the  specific  features  of  the  nature  and 
obligations of recognised organisations, and 

(d) 

adoption of individual and collective recommendations for the improvement of 
recognized organizations’ rules, processes and internal control mechanisms. 

The joint body shall be independent of the recognised organisations and  shall have 
the necessary means to carry out its duties effectively and to the highest professional 
standards. 

It shall adopt an annual work plan. 

It  shall  provide  the  Commission  and  the  authorising  Member  States  with  full 
information on its annual work plan as well as on its findings and recommendations, 
particularly with regard to situations where safety might have been compromised. 

The  joint  body  referred  to  in  paragraph  1  shall  be  periodically  assessed  by  the 
Commission,  which  may  require  recognised  organisations  to  take  the  measures  the 
Commission deems necessary to ensure full compliance with paragraph 1. 

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

Article 22 

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

Recognized  organisations  shall  comply  with  the  new  provisions  laid  down  in  this 
Directive from the entry into force of this Directive. 

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

2. 

1. 

2. 

3. 

Article 23 

In the course of the assessment pursuant to Article 16(3), the Commission shall verify that the 
holder of the recognition is the parent entity within the organisation. If that is not the case, the 
Commission shall amend the recognition accordingly by decision. 

EN 

38 

   EN 

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

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

Article 24 

(cid:208) 94/57/EC (adapted) 

Article 2516 

1. 

2. 

3. 

Member  States  shall  bring  into  force  the  laws,  regulations  and  administrative 
provisions necessary to comply with the Directive ⌦ Articles […] and points […] 
of Annex I [articles, or subdivisions thereof and points of Annex I which have been 
changed as to their substance by comparison with the earlier Directive] ⌫ not later 
than 31 December 1995 ⌦ eighteen months after the date fixed in Article 27. They 
shall  forthwith  communicate  to  the  Commission  the  text  of  those  provisions  and  a 
correlation table between those provisions and this Directive. ⌫ 

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

The Member States shall immediately communicate to the Commission the text of all 
the ⌦ main ⌫ provisions of domestic ⌦ national ⌫ law which they adopt in the 
field ⌦ covered ⌫  governed  by  this  Directive.  The  Commission  shall  inform  the 
other Member States thereof. 

4. In addition, the Commission  shall inform the European Parliament and the Council, on a 
regular basis, of progress in the implementation of the Directive within the Member States. 

(cid:208) 2001/105/EC Art. 1.15  

(cid:208)  

Article 26 

Directive 94/57/EC, as amended by the Directives listed in Annex II, Part A, is repealed with 
effect  from  [date  of  entry  into  force  of  the  recast  directive],  without  prejudice  to  the 

EN 

39 

   EN 

 
 
 
 
obligations of the Member States relating to the time-limits for transposition into national law 
of the Directives set out in Annex II, Part B. 

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

Article 27 

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

Articles  […]  and  points  […]  of  Annex  I  [Articles,  or  subdivisions  thereof,  and  points  of 
Annex I  which  are  unchanged  by  comparison  with  the  earlier  Directive]  shall  apply  from 
[date of entry into force of the recast directive]. 

(cid:208) 94/57/EC 

Article 2817 

This Directive is addressed to the Member States. 

Done at Brussels, […] 

For the European Parliament 
The President 
[…] 

For the Council 
The President 
[…] 

EN 

40 

   EN 

 
 
MINIMUM CRITERIA FOR ORGANIZSATIONS REFERRED TO IN ARTICLE 3 

ANNEX I 

A. GENERAL MINIMUM CRITERIA 

(cid:208) 2001/105/EC Art. 1.16(a) 

1.  A  recognized  organisation  must  have  legal  personality  in  the  State  of  its  location.  Its 
accounts shall be certified by independent auditors. 

(cid:216) new 

(cid:208) 2001/105/EC Art. 1.16(a) 
(adapted) 

1. ⌦ 2. ⌫  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 least 1000 ocean-going vessels (over 
100 GRT) totalling no less than 5 million GRT. 

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 
paragraph 2. 

(cid:216) new 

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

(cid:208) 2001/105/EC Art. 1.16(a) 
(adapted) 
(cid:214) new 

4. The organisation must have (cid:214) and applies (cid:213) comprehensive rules and regulations for the 
design,  construction  and  periodic  survey  of  merchant  ships,  (cid:214) having  the  quality  of 
internationally  recognized  standards.  They  are (cid:213)  published  and  continually  upgraded  and 
improved through research and development programmes. 

EN 

41 

   EN 

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

6.  The  organisation  must  not  be  controlled  by  shipowners  or  shipbuilders,  or  by  others 
engaged  commercially  in  the  manufacture,  equipping,  repair  or  operation  of  ships.  The 
organisation  ⌦ is  not ⌫  must  not  be  substantially  dependent  on  a  single  commercial 
enterprise for its revenue. The recognised organisation must ⌦ does ⌫ not carry out (cid:214) class 
or (cid:213)  statutory  work  if  it  is  identical  with  or  has  business,  personal  or  family  links  to  the 
shipowner  or  operator.  This  incompatibility  shall  also  apply  to  surveyors  employed  by  the 
recognised organisation. 

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

B. SPECIFIC MINIMUM CRITERIA 

(cid:208) 2001/105/EC Art. 1.16(b) 

1.  The  organisation  provides  world-wide  coverage  by  its  exclusive  technical  staff  or,  in 
exceptional  and  duly  justified  cases,  through  exclusive  technical  staff  of  other  recognized 
organizations. 

(cid:216) new 

1. The organization is established with: 

(cid:208) 94/57/EC 

(a) 

(b) 

a  significant  technical,  managerial,  support  and  research  staff  commensurate  to  the 
tasks and to the vessels classed, catering also for the development of its capabilities 
capability — developing and upholding rules and regulations; 

world-wide  coverage  by  its  exclusive  technical  staff  or  through  exclusive  technical 
staff of other recognized organizations. 

2. The organization is governed by a code of ethics. 

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

EN 

42 

   EN 

 
 
 
 
(cid:208) 2001/105/EC Art. 1.16(b) 
(adapted) 
(cid:214) new 

4.  The  organisation  is  prepared  to  provide  (cid:214) provides (cid:213)  relevant  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 that this policy is understood, implemented and 
maintained at all levels in the organisation. The organisation's policy must refer ⌦ refers ⌫ 
to safety and pollution prevention performance targets and indicators. 

6.  The  organisation  has  developed,  implemented  and  maintains  an  effective  internal  quality 
system  based  on  appropriate  parts  of  internationally  recognised  quality  standards  and  in 
compliance  with  EN  45004  (inspection  bodies)  and  with  EN  29001,  as  interpreted  by  the 
IACS Quality System Certification Scheme Requirements, and which, inter alia, ensures that: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

the organisation's ⌦ its ⌫ rules and regulations are established and maintained in a 
systematic manner; 

the organisation's ⌦ its ⌫ 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; 

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 conventions is put in place; 

the responsibilities, authorities and interrelation of personnel whose work affects the 
quality of the organisation's services are defined and documented; 

all work is carried out under controlled conditions; 

a supervisory system is in place which monitors the actions and work carried out by 
surveyors  and  technical  and  administrative  staff  employed  directly  by  the 
organisation; 

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 
recognised  organisations;  in  all  cases,  the  exclusive  surveyors  must  have  an 
extensive  knowledge  of  the  particular  type  of  ship  on  which  they  carry  out  the 
statutory (cid:214) their (cid:213) work as relevant to the particular survey to be carried out and of 
the relevant applicable requirements;  

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

records are maintained, demonstrating achievement of the required standards in the 
items  covered  by  the  services  performed,  as  well  as  the  effective  operation  of  the 
quality system; 

EN 

43 

   EN 

 
 
(j) 

(k) 

(l) 

a  comprehensive  system  of  planned  and  documented  internal  audits  of  the  quality 
related activities is maintained in all locations; 

the statutory surveys and inspections required by the Harmonised System of Survey 
and  Certification  for  which  the  organisation  is  authorised  are  carried  out  in 
accordance with the provision set out in the Annex and Appendix to IMO Resolution 
A.746(18) ⌦ A948(23) ⌫ on Survey Guidelines under the Harmonised System of 
Survey and Certification; 

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) 

(b) 

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  standards  on  the  basis  of  which  SOLAS 
Convention  and  Passenger  Ship  Safety  Certificates  (as  regards  adequacy  of  ship 
structure and essential shipboard machinery systems) and Load Line Certificates (as 
regards adequacy of ship strength) can be issued; 

to carry out all inspections and surveys required by the international conventions for 
the  issue  of  certificates,  including  the  necessary  means  of  assessing  —  through  the 
use of qualified professional staff and in accordance with the provisions set out in the 
Annex  to  IMO  Resolution  A.788(19)  on  guidelines  on  implementation  of  the 
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 certification. 

(cid:216) new 

7.  The  organization  has  developed,  implemented  and  maintains  an  effective  internal  quality 
system  based  on  appropriate  parts  of  internationally  recognised  quality  standards  and  in 
compliance with EN ISO/IEC 17020:2004 (inspection bodies) and with EN ISO 9001:2000, 
as interpreted and certified by the joint body referred to in Article 21(1). 

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

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

EN 

44 

   EN 

 
 
8. The organization is subject to certification of its quality system by an independent body of 
auditors recognized by the administration of the State in which it is located. 

(cid:208) 94/57/EC 

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

(cid:208) 2001/105/EC Art. 1.16(b) 
(adapted) 

EN 

45 

   EN 

 
 
 
(cid:207) 

ANNEX II 

Part A 

Repealed Directive with its successive amendments 
(referred to in Article 26) 

Council Directive 94/57/EC  

OJ L 319, 12.12.1994, p. 20 

Commission Directive 97/58/EC 

OJ L 274, 7.10.1997, p. 8 

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

OJ L 19, 22.1.2002, p. 9 

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

OJ L 324, 29.11.2002, p. 53 

Part B 

List of time-limits for transposition into national law 
(referred to in Article 26) 

Directive 

Time-limit for transposition 

94/57/EC 

97/58/EC 

2001/105/EC 

2002/84/EC 

31 December 1995 

30 September 1998 

22 July 2003 

23 November 2003 

_________________ 

EN 

46 

   EN 

 
 
(cid:207) 

ANNEX III 

CORRELATION TABLE 

This Directive 

Article 1 

Directive 94/57/EC  

Article 1 

Article 2, introductory words 

Article 2, introductory words 

Article 2, first indent 

Article 2, second indent 

Article 2, third indent 

Article 2, fourth indent 

Article 2, fifth indent 

― 

Article 2, sixth indent 

Article 2, seventh indent 

Article 2, eighth indent 

― 

Article 2, ninth indent 

Article 2, tenth indent 

Article 2, point (a) 

Article 2, point (b) 

Article 2, point (c) 

Article 2, point (d) 

Article 2, point (e) 

Article 2, point (f) 

Article 2, point (g) 

Article 2, point (h) 

Article 2, point (i) 

Article 2 point (j) 

Article 2, point (k) 

Article 2, point (l) 

Article 2, eleventh indent 

Article 2, point (m) 

Article 3 

Article 3 

Article 4(1), first and second sentences 

Article 4(1) 

Article 4(1), last sentence 

Article 6(1) 

Article 4(2) and (3) 

― 

― 

Article 4(4) 

Articles 5 and 6(2) and (3) 

Article 6(4) 

EN 

47 

   EN 

 
 
Article 4(5) 

― 

Articles 5, 6, 7 and 8 

Articles 7, 8, 9 and 10 

Article 9 

― 

Article 10(1) 

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

Article 11 

― 

Article 12 

Article 14 

― 

Article 15 

― 

Article 16 

― 

― 

Article 17 

Annex 

― 

― 

― 

Articles 11 to 14 

Article 15 

― 

Article 16 

Article 17 

Article 18 

Article 19 (1) and (2) 

Article 19(3) 

Article 20 

Article 21 to 24  

Article 25 

Article 26 

Article 27 

Article 28  

Annex I 

Annex II 

Annex III 

_________________ 

EN 

48 

   EN 

 
LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal for a European Parliament and Council Directive on common rules and standards 
for  ship  inspection  and  survey  organisations  and  for  the  relevant  activities  of  maritime 
administrations. 

2. 

ABM/ABB FRAMEWORK 

Policy area: Energy and Transport 

Activities: Maritime and river transport, intermodality 

3. 

3.1 

3.2 

3.3 

BUDGET LINES 

Budget  lines  (operational  lines  and  related  technical  and  administrative  assistance  lines 
(ex-BA lines)) including headings: Not applicable 

Duration of the action and of the financial impact: Not applicable 

Budgetary characteristics (add rows if necessary): Not applicable 

Budget line  Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from 
countries 

applicant 

Heading 
financial 
perspective 

in 

Comp/ 
Non-
comp 

Comp/ 
Non-
comp 

Diff1/ 
non-
diff2 

Diff/No
n-diff 

YES/ NO 

YES/ NO 

YES/ NO 

No […] 

YES/ NO 

YES/ NO 

YES/ NO 

No […] 

1 
2 

Differentiated appropriations. 
Non-differentiated appropriations. 

EN 

49 

   EN 

 
 
 
 
                                                 
4. 

SUMMARY OF RESOURCES 

4.1 

Financial Resources 

4.1.1 

Summary of commitment appropriations (CA) and payment appropriations (PA) 

EUR million (to 3 decimal places) 

Section 
no. 

Expenditure type 
Operational expenditure3 

Year n 

n +1 

n +2 

n +3 

n +4 

Commitment 
Appropriations (CA) 
Payment 
Appropriations (PA) 
Administrative expenditure within reference amount4 

8.1 

b 

a 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

n  +  5 
and 
later 

Total 

0 

0 

None 

None 

& 

Technical 
administrative 
assistance (NDA) 
TOTAL REFERENCE AMOUNT 

8.2.4 

Commitment 
appropriations 

Payment appropriations 

c 

a+c 

b+c 

0 

0 

0 

0 

0 

0 

None 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

Not 
appli
cable
. 

Not 
appli
cable
. 

Administrative expenditure not included in reference amount5 

Human  resources  and 
expenditure 
associated 
(NDA) 

8.2.5 

d 

0.054 

0.054 

0.054 

0.054 

0.054 

0.054 

0.324 

3 
4 
5 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within article xx 01 04 of Title xx. 
Expenditure within Chapter xx 01 other than articles xx 01 04 or xx 01 05. 

EN 

50 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
costs, 
Administrative 
other 
human 
than 
resources and associated 
costs,  not  included  in 
reference 
amount 
(NDA) 

8.2.6 

e 

0 

0 

0 

0 

0 

0 

0 

EN 

51 

   EN 

 
 
 
 
 
 
 
 
Total indicative financial cost of intervention 

TOTAL  CA 
cost of human resources 

including 

TOTAL  PA 
cost of human resources 

including 

Co-financing details 

a+c
+d+
e 

b+c
+d+
e 

0.054 

0.054 

0.054 

0.054 

0.054 

0.054 

0.324 

0.054 

0.054 

0.054 

0.054 

0.054 

0.054 

0.324 

The legislative proposal does not involve co-financing by Member States 

EUR million (to 3 decimal places) 

Co-financing body 

…………………… 
TOTAL CA including 
co-financing 

f 
a+c+
d+e+f 

Year 
n 
0 
0 

n +1 

n + 2 

n + 3 

n + 4 

0 
0 

0 
0 

0 
0 

0 
0 

n+5 
and 
later 
0 
0 

Total 

0 
0 

4.1.2  Compatibility with Financial Programming 

Proposal is compatible with existing financial programming. 

(cid:133) 

Proposal will entail reprogramming of the relevant heading in the financial perspective. 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional  Agreement6 

(cid:133) 
(i.e. flexibility instrument or revision of the financial perspective). 

4.1.3 

Financial impact on revenue 

Proposal has no financial implications on revenue 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

Note:  All  details  and  observations  relating  to  the  method  of  calculating  the  effect  on  revenue 
should be shown in a separate annex. 

6 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

52 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
                                                 
EUR million (to 3 decimal places) 

Budget 
line 

Revenue 

Situation following action 

[n+1] 

[n+2] 

[n+3] 

[n+4] 

[n+5]7 

[Year 
n] 

Prior 
to 
action 
[Year 
n-1] 

a)  Revenue  in  absolute 
terms 

b) Change in revenue 

 ∆ 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

4.2 

Human resources FTE (including officials, temporary and external staff) – see details under 
point 8.2.1. 

(Management by existing staff). 

Annual requirements 

Total number of human 
resources 

Year  n 
(2007*) 

n + 1 

n + 2 

n + 3 

n + 4 

n+5  and 
later 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1 

Need to be met in the short or long term 

The  assessment  of  the  current  system  of  Directive 94/57/EC,  also  taking  account  of  the 
outcome  of  the  evaluation  of  the  organisations  recognised  by  the  Community,  shows  that 
there  are  major  weaknesses  in  the  Community  fleet’s  safety  inspection  and  certification 
process.  

The  solution  to  this  problem  is  to  strengthen  the  control  mechanisms  protecting  the 
inspection and certification process so that the alarm can be sound if a mistake is made and 
at the same time can easily integrate both classification and statutory tasks. 

The terminology in the Directive should also be standardised on the basis of more precise 
and better defined concepts, such as a clear distinction between “statutory certificates” and 
“class certificates”.  

This makes it necessary to amend the current legislative framework. 

5.2 

Value-added of Community involvement and coherence of the proposal with other financial 
instruments and possible synergy 

The  international  system  for  the  certification  of  ships  is  complex.  Historically,  the  public 
(“statutory”)  system  was  built  on,  but  did  not  replace,  the  pre-existing  private  structure 

7 

Additional columns should be added if necessary, i.e. if the duration of the action exceeds 6 years. 

EN 

53 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
                                                 
made  up  of  classification  societies.  This  gave  rise  to  a  variable  spread  of  tasks  between 
these players. 

Technical  standards  are  in  practice  developed  partly  by  the  IMO,  partly  by  classification 
societies. What each covers varies according to the convention, the subject matter and the 
type of ship. 

Community  legislation  will  increase  the  reliability  of  the  inspection  and  certification 
process  and  will  consequently  introduce  cross-checks  which  can  sound  the  alarm  if  a 
mistake is made. This will improve the ability to correct these errors at source and will help 
to overcome obstacles to long-term safety. 

5.3 

Objectives,  expected  results  and  related  indicators  of  the  proposal  in  the  context  of  the 
ABM framework 

The  main  objective  is  to  improve  the  reliability  of  the  safety  inspection  and  certification 
process for ships flying the flag of a Member State.  

The interim objectives are: 

•  Interim objective No. 1: to enhance the control systems of recognised organisations. 

•  Interim objective No. 2: to reform limited recognition. 

•  Interim objective No. 3: to update the recognition criteria. 

5.4 

Method of implementation (indicative) 

Show below the method(s)8 chosen for the implementation of the action. 

(cid:133) Centralised management 

(cid:133) 

Directly by the Commission 
Indirectly by delegation to: 
(cid:133) 
Executive Agencies 
(cid:133) 
Bodies  set  up  by  the  Communities,  as  referred  to  in  Article 185  of  the  Financial 
Regulation 
(cid:133) 

National public-sector bodies/bodies with a public-service mission 

(cid:133) Shared or decentralised management 
(cid:133)  With Member States 
(cid:133)  With third countries 

8 

If a number of methods are indicated, please provide details in the “Comments” section. 

EN 

54 

   EN 

 
 
 
 
 
                                                 
(cid:133) Joint management with international organisations (please specify) 
Relevant comments: 
Not applicable.  

6. 

MONITORING AND EVALUATION 

The draft Directive contains a provision requiring the Member States to notify any national 
implementing measures (NIM) to be adopted with a view to transposing the Directives into 
national law.  

In  the  event  of  failure  to  notify  these  national  implementing  measures  (or  in  the  event  of 
incomplete  notification),  the  infringement  procedures  will  automatically  be  launched  in 
accordance with Article 226 of the Treaty. 

The  European  Maritime  Safety  Agency  will  help  monitor  the  way  in  which  the  Member 
States implement the Directive. 

6.1 

Evaluation:  

6.1.1 

Ex ante evaluation 

The advantages and disadvantages identified in the impact analysis are as follows: 

Advantage:  Whereas  the  other  available  options  for  achieving  the  desired  objectives  (in 
particular  in  terms  of  improving  the  inspection  and  certification  process  for  ship  safety) 
would affect only ships flying the flag of a Member State, this action would help improve 
safety throughout the fleet classed by the approved authorities irrespective of their flag, i.e. 
most of the world fleet. This is a key factor in protecting Community waters. In addition, 
the  marginal  and  non-discriminatory  cost  for  European  shipowners  must  be  seen  in  the 
context of the high level of effectiveness which can be expected. Furthermore, it will only 
require a short and relatively straightforward transition phase. 

Disadvantage: As this option will only have effect downstream from the main problem and 
necessitates  a  high  level  of  cooperation  from  approved  bodies,  it  will  require  particularly 
close checks to be carried out by the Commission, possibly allowing for the imposition of 
sanctions, to ensure that it includes all the elements needed for smooth operation. 

6.1.2  Measures taken following an intermediate/ex post evaluation (lessons learned from similar 

experiences in the past) 

Not applicable. 

6.1.3 

Terms and frequency of future evaluations 

Not applicable.  

EN 

55 

   EN 

 
7. 

ANTI-FRAUD MEASURES 

Not applicable. 

EN 

56 

   EN 

 
8.  DETAILS OF RESOURCES 

8.1 

Objectives of the proposal in terms of their financial cost: Not applicable 

Type 
of 
output 

Av. 
cost 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

Year  n+5  and 
later 
No. 
outputs 

Total 
cost 

TOTAL 

No. 
outputs 

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

(Headings of 
Objectives, 
actions and 
outputs should 
be provided) 
OPERATIONAL 
OBJECTIVE 
No. 19………… 

Action 1……… 
- Output 1 

- Output 2 

Action 2……… 
- Output 1 

Sub-total 
Objective 1 
OPERATIONAL 
OBJECTIVE 
No 2……… 
Action 1……… 
- Output 1 

Sub-total 
Objective 2 
OPERATIONAL 
OBJECTIVE 
No n 

9 

As described under Section 5.3. 

EN 

57 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Sub-total 
objective n 
TOTAL COST 

EN 

58 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
8.2  Administrative expenditure 

8.2.1  Number and type of human resources 

Types of post 

Staff  to  be  assigned  to  management  of  the  action  using  existing  and/or  additional 
resources (number of posts/FTEs) 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

Officials and 
temporary 
staff10 
(06 01 01) 

A*/
AD 

B*, 
C*/
AST 

0 

financed11 

Staff 
Art. XX 01 02 

by 

0 

Other  staff  financed12 
by Art. XX 01 04/05 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

TOTAL 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

8.2.2  Description of tasks deriving from the action: tasks 

The  Directive  on  classification  societies  extends  Community  competence  in  the  field  of 
maritime safety. Additional human resources, estimated at ½ an A grade official, is necessary 
to ensure the Directive is correctly implemented. 

8.2.3 

Sources of human resources (statutory) 

Posts  currently  allocated  to  the  management  of  the  programme  to  be  replaced  or 

(cid:133) 
extended 

(cid:133) 

(cid:133) 

Posts pre-allocated within the APS/PDB exercise for year n 

Posts to be requested in the next APS/PDB procedure 

Posts to be redeployed using existing resources within the managing service (internal 

redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the year in 

(cid:133) 
question 

10 
11 
12 

Cost of which is NOT covered by the reference amount. 
Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. 

EN 

59 

   EN 

 
 
 
 
 
 
 
 
                                                 
8.2.4  Other  administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

Budget line 
(Number and heading) 
1. Technical and 
administrative assistance 
(including related staff costs) 
 Executive Agencies13 

technical 

Other 
administrative assistance 
- intra muros  

and 

- extra muros 
Total 
administrative assistance 

technical 

and 

Year n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year n+5 
and later 

TOTAL 

EUR million (to 3 decimal places) 

0 

0 

0 

0 

0 

0 

8.2.5 

Financial cost of human resources and associated costs not included in the reference 
amount 

EUR million (to 3 decimal places) 

Type of human resources 

and 

staff 

temporary 

financed  by  Art.  XX 01 02 

Officials 
(06 01 01) 
Staff 
(auxiliary, END, contract staff, etc.) 
(specify budget line) 
Total cost of Human Resources and 
associated  costs  (NOT  in  reference 
amount) 

Year n 

0.054 

Year 
n+1 
0.054 

Year 
n+2 
0.054 

Year n+3  Year n+4  Year n+5 
and later 
0.324 

0.054 

0.054 

0 

0 

0 

0 

0 

0 

0.054 

0.054 

0.054 

0.054 

0.054 

0.324 

Calculation – Officials and Temporary agents 

(€ 108 000 * 0.5 = €54 000) 

Calculation– Staff financed under Art. XX 01 02 

Not applicable 

13 

Reference should be made to the specific legislative financial statement for the Executive Agency(ies) 
concerned. 

EN 

60 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.6  Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

Year 
n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

Year 
n+5 
and 
later 
0 

0 

0 

0 

0 

0 

0 

0 

TOTAL 

0*  

0 

0 

0 

0 

0 

0 

0 

XX 01 02 11 01 – Missions 

XX  01  02  11  02  –  Meetings  and 
Conferences 
XX 01 02 11 03 – Committees14 

XX 01 02 11 04 - Studies and consultations 

XX 01 02 11 05 - Information systems 

including  reference 

2.  Total  other  management  expenditure 
(XX 01 02 11) 
3. Other expenditure of an administrative 
nature  (specify 
to 
budget line) 
Total  administrative  expenditure,  other 
than  human  resources  and  associated 
costs 
reference 
included 
amount) 
* 

(NOT 

in 

No impact on the current budget for missions. 

Calculation - Other administrative expenditure not included in reference amount 

Not applicable 

14 

Specify the type of committee and the group to which it belongs. 

EN 

61 

   EN