Statutory Instruments 1999 No. 1957
The Merchant Shipping (Marine Equipment) Regulations 1999
- continued


 

EC unit verification
     16.  - (1) A manufacturer who decides, in accordance with regulation 11(2) above, to apply the EC unit verification procedure to equipment may apply to a notified body for the carrying out of the appropriate examinations; and such an application shall be made in writing and include the technical documentation specified in Schedule 2 relating to the equipment to enable the notified body to perform its functions under paragraph (2) below.

    (2) On an application under paragraph (1) above, the notified body shall carry out appropriate examinations and tests in accordance with paragraph 2, of the section entitled "Unit Verification (Module G)", in Annex B of the Directive and set out in Merchant Shipping Notice MSN 1734 to establish whether the equipment complies with the applicable international standards.

    (3) Where, after conducting the appropriate examinations and tests, the notified body is satisfied that an item of equipment has been manufactured in conformity with the applicable international standards it shall affix, or cause to be affixed, to the item its identification control symbol and number and draw-up a written certificate of conformity relating to the examinations and tests carried out.

    (4) Where a manufacturer's equipment is examined and tested by a notified body under this regulation, the manufacturer or his authorised representative established within the Community shall-

    (a) ensure and declare that the items of equipment satisfy the applicable international standards;

    (b) affix the mark referred to in regulation 18 below to each item of equipment to which it relates;

    (c) draw-up a written declaration of conformity;

    (d) keep a copy of the declaration of conformity referred to in sub-paragraph (c) above for at least 10 years after the last item of equipment to which it relates has been manufactured; and

    (e) when the equipment has been placed on board a ship, ensure that he is able to supply the notified body's certificate of conformity referred to under paragraph (3) above, on request, to the ship's flag State.

EC full quality assurance
     17.  - (1) A manufacturer who decides, in accordance with regulation 11(1) above, to apply the EC full quality assurance procedure to equipment, may apply to any notified body for approval of his quality assurance system (in this regulation referred to as "the system"); and such an application shall be made in writing and shall include-

    (a) all relevant information for the equipment category envisaged; and

    (b) the documentation concerning the system.

    (2) On an application made to it under paragraph (1) above, the notified body shall evaluate the system to determine whether it satisfies the requirements referred to in paragraph 3.2, of the section entitled "Full-Quality Assurance (Module H)", in Annex B of the Directive and set out in Merchant Shipping Notice MSN 1734 and, if the system implements the relevant harmonised standard, it shall be taken to satisfy the said requirements.

    (3) Paragraphs (3) to (15) of regulation 14 above shall apply in relation to a system which is the subject of an application under this regulation as they apply to the production quality assurance system and product quality assurance system under that regulation, as if for paragraph (12)(a) there were substituted the following:

      " (a) ensure and declare that the items of equipment concerned satisfy the applicable international standards;".

    (4) In addition to the application under paragraph (1) above, the manufacturer shall apply to a notified body for an approval of the design of the equipment which is to be subject to the EC full quality assurance procedure.

    (5) An application under paragraph (4) above shall include all documentation necessary to enable the notified body to understand the design, manufacture and operation of the equipment and to assess its compliance with the applicable international standards; and in particular-

    (a) the technical design specifications, including standards, that have been applied to the design; and

    (b) the necessary supporting evidence, including the results of any tests carried out in an appropriate laboratory by the manufacturer, or on his behalf, for the adequacy of the technical design specifications, in particular where the standards specified in regulation 6 above have not been applied in full.

    (6) On an application made to it under paragraph (4) above, the notified body shall examine the design to determine whether it satisfies the applicable international standards.

    (7) Where a notified body is satisfied, after examining the design pursuant to paragraph (6) above, that the design satisfies the applicable international standards it shall issue to the manufacturer an EC design-examination certificate.

    (8) A certificate issued under paragraph (7) above shall include-

    (a) the conclusions of the examination;

    (b) the conditions of its validity;

    (c) the data necessary to identify the approved design; and

    (d) if relevant, a description of the equipment's functioning.

    (9) Where the notified body is not satisfied as is mentioned in paragraph (7) above, it shall inform the manufacturer in writing-

    (a) of its decision to refuse to grant an approval in respect of the design; and

    (b) the conclusions of any examinations and the evaluation carried out by it.

    (10) If any modification is made to a design in respect of which an EC design-examination certificate has been issued, the applicant shall inform the notified body which issued the certificate.

    (11) If a modification such as is referred to in paragraph (10) above is such that it may affect the equipment's compliance with the applicable international standards or any prescribed conditions for the use of the equipment, the notified body shall satisfy itself, by further examinations and tests if necessary, that the design as modified complies with the applicable international standards and, if so satisfied, shall-

    (a) approve the modifications to the design; and

    (b) issue an addition to the original EC design-examination certificate in respect thereof.

    (12) A notified body shall on request, provide flag member States and other notified bodies with all relevant information concerning-

    (a) EC design-examination certificates, and additions thereto, it has issued, including any it has withdrawn; and

    (b) EC design approvals, and additions thereto, it has granted, including any it has withdrawn.

Affixing of mark of conformity
     18.  - (1) Subject to paragraph (2) below, the mark to be affixed by the manufacturer or his authorised representative within the Community in accordance with the relevant EC conformity-assessment procedure shall be affixed-

    (a) to each item of equipment to which it relates; or

    (b) to a data plate attached to the equipment, and shall satisfy the requirements of paragraph (3) below.

    (2) If it is not possible or warranted due to the nature of the item of equipment to affix the mark as required by paragraph (1) above, the mark shall be affixed to-

    (a) the packaging of the item of equipment;

    (b) a label on the item of equipment or its packaging; or

    (c) a leaflet distributed with the item of equipment.

    (3) The requirements referred to in paragraph (1) above are that the mark shall be affixed to the item of equipment or data plate so as to be visible, legible and indelible throughout the anticipated life of the equipment.

    (4) The form of the mark to be affixed shall be that set out in Schedule 3.

    (5) The mark as affixed shall be followed by-

    (a) the identification symbol and number of the notified body which carried out, or had carried out, the EC conformity-assessment procedure if that body is involved in the production control phase; and

    (b) the last two digits of the year in which the mark was affixed.

    (6) Where the identification symbol and number of the notified body is to be affixed under paragraph (5)(a) above, it shall be affixed under the responsibility of the notified body either by that body itself or by the manufacturer or his authorised representative established in the Community.

    (7) No marks or inscriptions which are likely to mislead any person with regard to the meaning or the graphics of the mark shall be affixed.

    (8) The mark shall be affixed at the end of the production phase.



PART IV: ENFORCEMENT

Withdrawal of approval of quality system
     19.  - (1) If it appears to a notified body, in relation to any quality assurance system approved by it pursuant to these Regulations, that-

    (a) an undertaking given under regulation 14(1)(d) has not been complied with; or

    (b) regulation 14(12)(b) or (c) (including those provisions as applied by regulation 17(3)) has not been complied with, it may, after giving the manufacturer the opportunity of making representations to it as to why its approval should not be withdrawn, by notice given to the manufacturer withdraw approval for the quality system concerned.

    (2) The notice given under paragraph (1) above shall-

    (a) be in writing;

    (b) specify the date on which it is to take effect; and

    (c) specify the grounds for the decision.

    (3) The notified body shall send to the Secretary of State a copy of any notice given under paragraph (1) above.

Unauthorised use of mark of conformity
     20.  - (1) Subject to paragraph (2) below, any person who, in respect of any item of equipment-

    (a) save as provided under regulations 13 to 17 above, affixes to it the mark of conformity or identification number or symbol referred to in the said regulations;

    (b) affixes a mark of conformity in contravention of regulation 18 above;

    (c) forges or counterfeits or in any other manner alters or defaces any mark of conformity or identification number or symbol affixed in accordance with these Regulations;

    (d) removes any mark of conformity or identification number or symbol affixed in accordance with these Regulations; or

    (e) makes any alteration to the equipment after a mark of conformity or identification number or symbol has been affixed to it in accordance with these Regulations so that the equipment no longer complies with the applicable international standards,

shall be guilty of an offence.

    (2) A person shall not be guilty of an offence under paragraph (1) above by reason solely of the alteration, defacement or removal of a mark of conformity or identification symbol or number in the course of the adjustment or repair of any item of equipment by, or by the duly authorised agent of, a person who is a manufacturer of such equipment or is regularly engaged in the business of the repair of such equipment.

    (3) Any person who places on the market, supplies, or exposes or offers for supply, an item of equipment which to his knowledge-

    (a) bears a mark of conformity or identification number or symbol which is a forgery or counterfeit, or which has been transferred from another item of equipment, or which has been altered or defaced otherwise than in accordance with these Regulations; or

    (b) does not comply with the applicable international standards by reason of any alteration made to it after any mark of conformity or identification number or symbol was affixed to it in accordance with these Regulations,

shall be guilty of an offence.

    (4) Any equipment in respect of which an offence under this regulation has been committed shall be liable to be forfeited.

    (5) References in this regulation to other provisions of these Regulations include references to corresponding provisions under the laws of a member State other than the United Kingdom.

Sample checks on equipment
     21.  - (1) Notwithstanding that equipment bears the mark of conformity, the Secretary of State may carry out, or have carried out, sample checks on such equipment placed on the market, supplied for use or exposed or offered for supply in the United Kingdom but not yet placed on board a ship to ensure that the equipment complies with the requirements of these Regulations.

    (2) Subject to paragraph (3), notwithstanding that equipment placed on board a UK ship bears the mark of conformity, the Secretary of State may, if the applicable international instruments require that operational performance tests be performed for safety or pollution prevention purposes, carry out, or have carried out, such tests.

    (3) The Secretary of State shall not carry out or have carried out any test referred to in paragraph (2) above if such test duplicates the EC conformity-assessment procedure with which the equipment complies under the Directive.

    (4) If the Secretary of State carried out or has carried out any test referred to in paragraph (2) above on an item of equipment he may require that the manufacturer, his authorised representative established within the Community or the person responsible for marketing the equipment within the Community provide an inspection or testing report on the equipment.

Defective equipment
     22.  - (1) If the Secretary of State is satisfied, after carrying out, or having carried out, sample checks or performance tests on the equipment, or otherwise, that equipment which bears the mark of conformity, when correctly installed on board a ship, maintained and used for its intended purpose, may compromise the health or safety of the ship's crew, passengers, or other persons or adversely affect the marine environment, he may-

    (a) direct that the equipment be withdrawn from the market;

    (b) prohibit the equipment being placed on the market, or restrict the extent to which it can be so placed; or

    (c) prohibit the equipment being used on board ships for which he issues safety certificates in accordance with the relevant international conventions, or restrict the extent to which it may be so used.

    (2) Before issuing any direction, prohibition or restriction under paragraph (1) above in respect of equipment, the Secretary of State shall serve a written notice of his intention to do so on the manufacturer of the equipment, or his authorised representative in the Community, and shall provide the manufacturer or his authorised representative (as appropriate) with an opportunity to make representations to him on the proposed direction, prohibition or restriction.

    (3) Any direction, prohibition or restriction issued by the Secretary of State under paragraph (1) above in respect of equipment shall be given in writing to the manufacturer of the equipment, or his authorised representative in the Community.

    (4) The Secretary of State may withdraw or vary any direction, prohibition or restriction issued under paragraph (1) above if he is satisfied that the equipment in relation to which the direction, prohibition or restriction was issued, when correctly installed on board a ship, maintained and used for its intended purpose, no longer compromises the health or safety of the ship's crew, passengers, or other persons or adversely affects the marine environment.

    (5) A manufacturer who fails to comply with a direction, prohibition or restriction given to him under paragraph (1) above shall be guilty of an offence.

Offences and penalties
     23.  - (1) If equipment is carried on a ship otherwise than in compliance with regulation 6(1) above, the owner and master of the ship shall each be guilty of an offence punishable on summary conviction by a fine not exceeding the statutory maximum and on conviction on indictment by imprisonment for a term not exceeding two years or a fine, or both.

    (2) If equipment which the Secretary of State has allowed to be placed on board a ship under regulation 7 or 8 above, or in respect of which he has issued a certificate under regulation 9(3) above, is being used otherwise than in compliance with any restriction or condition imposed under regulation 7(3)(b), 8(2)(b) or 9(3)(b) (as appropriate) the owner and master of the ship shall each be guilty of an offence punishable on summary conviction by a fine not exceeding the statutory maximum and on conviction on indictment by imprisonment for a term not exceeding two years or a fine, or both.

    (3) A manufacturer guilty of an offence under regulation 19(4) or 22(5) above shall be punishable on summary conviction by a fine not exceeding the statutory maximum and on conviction on indictment by imprisonment for a term not exceeding two years or a fine, or both.

    (4) Any person guilty of an offence under regulation 20(1) or (3) shall be punishable on summary conviction by a fine not exceeding the statutory maximum and on conviction on indictment by imprisonment for a term not exceeding two years or a fine, or both.

Defence to offences
     24. In any proceedings for an offence under these Regulations it shall be a defence for the person charged to prove that he took all reasonable steps to avoid the commission of the offence.

Power to detain
     25. In any case where equipment on board a ship does not comply with the requirements of these Regulations, or the owner of a ship has not complied with a direction under regulation 9(2) to replace equipment on board the ship, the ship shall be liable to be detained and section 284(1) to (6) and (8) of the Merchant Shipping Act 1995[12] (which relates to the detention of a ship) shall have effect in relation to the ship as if for the words "the Act" wherever they appear there were substituted the words "the Merchant Shipping (Marine Equipment) Regulations 1999".



Signed by authority of the Secretary of State of the Environment, Transport and the Regions


Glenda Jackson
Parliamentary Under-Secretary of State Department of the Environment, Transport and the Regions

6th July 1999

 



Schedule 1
Regulation 3


AMENDMENT OF REGULATIONS


     1. In the Merchant Shipping (Radio Installations) Regulations 1998[13], in regulation 6

    (a) in paragraph (1), at the beginning, there shall be inserted the words "Subject to paragraph (4) below,"; and

    (b) after paragraph (3), there shall be added the following paragraph:

        " (4) Equipment required to be provided under these Regulations to which the Merchant Shipping (Marine Equipment) Regulations 1999 apply shall comply with the requirements of those Regulations.".

     2. In the Merchant Shipping (Fire Protection: Large Ships) Regulations 1998[14], in regulation 1(2), for the definition of "approved" there shall be substituted the following definition:

      " "approved"-

      (a) in relation to any equipment other than that mentioned in sub-paragraph (b) below, means approved by the Secretary of State or, in relation to any equipment or arrangement mentioned in Merchant Shipping Notice MSN 1734 or MSN 1735, by any persons specified in that Notice in relation to such equipment or arrangement; or

      (b) in relation to equipment to which the Merchant Shipping (Marine Equipment) Regulations 1999 apply, means manufactured and tested in accordance with the requirements of those Regulations;".

     3. In the Merchant Shipping (Fire Protection: Small Ships) Regulations 1998[15], in regulation 1(2), for the definition of "approved" there shall be substituted the following definition:

      " "approved"-

      (a) in relation to any equipment other than that mentioned in sub-paragraph (b) below, means approved by the Secretary of State or, in relation to any equipment or arrangement mentioned in Merchant Shipping Notice MSN 1734 or MSN 1735, by any persons specified in that Notice in relation to such equipment or arrangement; or

      (b) in relation to equipment to which the Merchant Shipping (Marine Equipment) Regulations 1999 apply, means manufactured and tested in accordance with the requirements of those Regulations;".

     4. In the Merchant Shipping (High-Speed Craft) Regulations 1996[16], in regulation 4, for paragraph (2) there shall be substituted the following paragraph:

        " (2) In complying with paragraph (1) above-

      (a) United Kingdom high-speed craft shall, in so far as it relates to construction or maintenance relating to hull, machinery, electrical installations and control installations, comply with the approved standards listed in Merchant Shipping Notice No. 1672 relevant to them; and

      (b) United Kingdom high-speed craft and other high-speed craft operating on a scheduled service from any port in the United Kingdom to any port in another member State, or vice versa, or operating on a voyage which is not an international voyage shall, in so far as it relates to equipment to which the Merchant Shipping (Marine Equipment) Regulations 1999 applies, comply with the requirements of those Regulations.".

     5. In the Merchant Shipping (Prevention of Oil Pollution) Regulations 1996[17], in regulation 1(2) for the definition of "approved" there shall be substituted the following definition:

      " "approved"-

      (a) in relation to any equipment or arrangement other than those mentioned in sub-paragraph (b) below, means approved by the Secretary of State or, in relation to any equipment or arrangement mentioned in Merchant Shipping Notice MSN 1734 or MSN 1735, by a Certifying Authority specified in that Notice in relation to such equipment or arrangement; or

      (b) in relation to any equipment or arrangement to which the Merchant Shipping (Marine Equipment) Regulations 1999 apply, means manufactured and tested in accordance with the requirements of those Regulations;".

     6. In the Merchant Shipping (Navigational Equipment) Regulations 1993[18], in regulation 10, after paragraph (2) there shall be added the following paragraph:

        " (3) Navigational equipment required by these Regulations to which the Merchant Shipping (Marine Equipment) Regulations 1999 apply shall comply with the requirements of those Regulations.".

     7. In the Electromagnetic Compatibility Regulations 1992[19], in regulation 6-

    (a) in paragraph (1), for "paragraph (2)" there shall be substituted "paragraphs (2) and (3)"; and

    (b) after paragraph (2), there shall be added the following paragraph:

        " (3) These Regulations do not apply to electrical apparatus to which the Merchant Shipping (Marine Equipment) Regulations 1999 apply.".



Schedule 2
Regulation 12(2)(c) and 16(1)


TECHNICAL DOCUMENTATION


     1. The technical documentation shall comprise all relevant data and means used by the manufacturer to ensure that equipment complies with the applicable international standards. The documentation shall make it possible to understand the design, manufacture and operation of the product, and to assess compliance with the applicable international standards.

     2. The technical documentation shall, so far as relevant to the particular assessment, include:

    (1) a general description of the specimen;

    (2) conceptual design, build standard and manufacturing drawings and schemes of components, sub-assemblies, circuits, etc.;

    (3) descriptions and explanations necessary for the understanding of the drawings and schemes referred to in (2) above, including any necessary descriptions and explanations of the equipment;

    (4) the results of design calculations made, impartial examinations carried out, etc.;

    (5) impartial test reports;

    (6) manuals for installation, use and maintenance.

     3. Where appropriate, the design documentation shall contain the following:

    (1) attestations relating to other items of equipment incorporated into the specimen;

    (2) attestations and certificates relating to the methods of manufacture or inspection or monitoring of the specimen;

    (3) any other document that makes it possible for the notified body to better perform its assessment.

     4. A specimen may cover several versions of the equipment provided that the differences between the versions do not affect the level of safety or the other applicable international standards.




Schedule 3
Regulation 18(4)


MARK OF CONFORMITY


The mark of conformity referred to in regulation 18(4) must take the following form:





If the mark is reduced or enlarged the proportions given in the above graduated drawing must be respected.

The various components of the mark must have substantially the same vertical dimension, which may not be less than 5mm.

That minimum dimension may be waived for small devices.



EXPLANATORY NOTE

(This note is not part of the Regulations)


These Regulations implement Council Directive 96/98/EC on Marine Equipment (O.J. No. L46, 17.2.97, p. 26 as amended by Commission Directive 98/85/EC, O.J. No. L315, 25.11.98, p. 14).

The principal provisions of the Regulations are as follows:

      (i) equipment to be placed on board UK ships and other ships of specified Classes on or after 5th August 1999 shall comply with the applicable international standards of relevant international conventions (regulation 6(1));

      (ii) compliance with the applicable international standards shall be assessed solely by reference to the testing standards specified in Merchant Shipping Notice MSN 1734 and to the EC conformity-assessment procedures specified in the Regulations (regulation 6(2));

      (iii) requirements of the EC conformity-assessment procedures (regulations 11 to 18);

      (iv) the creation of a criminal offence of affixing the mark of conformity to equipment (see regulation 18) otherwise than in conformity with the Regulations, tampering with or altering such a mark or placing on the market, supplying or exposing or offering for supply any equipment which bears a mark affixed otherwise than in conformity with the Regulations or which no longer complies with the applicable international standards (regulation 20);

      (v) the creation of a criminal offence (as respects both the owner and master of the ship) of the breach of the provisions of the Regulations in respect of the placing on board ships of equipment which does not comply with the Regulations (regulation 21).

A compliance cost assessment has been produced and a copy placed in the library of both Houses of Parliament. Copies can be obtained from the Maritime and Coastguard Agency, Spring Place, 105 Commercial Road, Southampton SO15 1EG (telephone number: 01703 329186).

Copies of the relevant international conventions can be obtained from the International Maritime Organisation, 4 Albert Embankment, London SE1 75R. Copies of Merchant Shipping Notices can be obtained from Eros Marketing Support Services Ltd., Unit B, Imber Court Trading Estate, Orchard Lane, East Molesey, Surrey KT8 0BN (telephone number: 0181 957 5028).


Notes:

[12] 1995 c. 21.back

[13] S.I. 1998/2070.back

[14] S.I. 1998/1012, to which there is an amendment not relevant to these Regulations.back

[15] S.I. 1998/1011, to which there is an amendment not relevant to these Regulations.back

[16] S.I. 1996/3188.back

[17] S.I. 1996/2154, to which there are amendments not relevant to these Regulations.back

[18] S.I. 1993/69.back

[19] S.I. 1992/2372, amended by S.I. 1994/1080.back


ISBN 0 11 082907 7

Crown copyright 1999