欧盟认可组织的认可要件与通往整改要求·罚款·撤销的台阶（欧盟条例391/2009）

假设给你的船签发证书的船级社，就在欧盟的认可组织名单上。名单上有名字，究竟保证了什么。 还有，如果这家组织达不到最低标准，最先发生的是什么。

欧盟条例391/2009把从认可到撤销摆成了一段台阶。认可、定期评估、整改要求、罚款、撤销。 每一级的门槛写法不同，所以看哪一级被打开，就能读出这家组织走到了哪里。

申请认可的是成员国，不是这家组织

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, the organisation’s compliance with the minimum criteria set out in Annex I and on the requirement and its undertaking that it shall comply with the provisions of Articles 8(4), 9, 10 and 11.

提出申请的是成员国，不是这家组织。想把权限授予尚未获得认可的组织的成员国，向欧盟委员会提出 申请。随附提交的有两样：证明其符合附件I最低标准的完整资料与证据，以及该组织将遵守若干条款的 承诺。

评估由欧盟委员会会同提出申请的成员国进行。达不到要求的，或者其业绩被认定为对安全或环境构成 不可接受威胁的，认可将被拒绝。认可组织的名单在欧盟公报上公布。

认可可以按船型、大小和航线圈起来

4. The Commission, acting in accordance with the regulatory procedure referred to in Article 12(3), may limit the recognition as regards certain types of ships, ships of a certain size, certain trades, or a combination thereof, in accordance with the proven capacity and expertise of the organisation concerned. In such a case, the Commission shall state the reasons for the limitation and the conditions under which the limitation shall be removed or can be widened. The limitation may be reviewed at any time.

认可授予组成该组织的各法人实体的母实体。在这之上还可以圈一道围栏：特定船型、特定尺度的船舶、 特定航线，或者它们的组合。尺子是经证实的能力与专长。

圈围栏时，欧盟委员会必须一并写明理由，以及解除或放宽这道限制的条件。船东要读出来的只有一件 事。只看在不在名单上还不够，自己的船落不落在那个范围里，是另外一件事。

评估至少每两年回来一次

1. All recognised organisations shall be assessed by the Commission, together with the Member State or Member States which authorised them in accordance with Article 3(2) of Directive 2009/15/EC, on a regular basis and at least every two years, to verify that they meet the obligations under this Regulation and fulfil the minimum criteria set out in Annex I to this Regulation. The assessment shall be confined to those activities of the recognised organisations, which fall within the scope of this Regulation.

推动这段台阶的就是这项评估。由欧盟委员会会同授权的成员国进行，间隔至少每两年一次。范围限于 落在本条例适用范围内的活动。

评估可以包括走访区域分支机构，以及对在营和在建船舶的随机检查。这种检查看的不是船，看的是这家 组织。

达不到最低标准时，先来的是带期限的整改要求

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

事由有三个：达不到附件I的最低标准、不履行本条例下的义务，以及安全与防污染业绩显著恶化。 紧接着写的是这一级的天花板。 without, however, it constituting an unacceptable threat to safety or the environment。 意思是尚未达到不可接受威胁的阶段。

欧盟委员会要求的是预防措施和纠正措施，并且要在指定期限内完成。潜在威胁属于即时的，临时保护 措施也可以落在这里。另外，欧盟委员会会向所有曾授权该组织的成员国预先通报这些措施。船东知道 这一级的路径，是经由船旗国。

拖着不整改，定期罚款就叠在上面

2. Without prejudice to paragraph 1, where a recognised organisation fails to undertake the preventive and remedial action required by the Commission, or incurs unjustified delays, the Commission may impose periodic penalty payments on that organisation until the required action is fully carried out.

第6条不取代下面那一级。它以In addition to the measures taken under Article 5开头。这是叠在 整改要求之上的一级。

罚款的事由有两个。一是严重或反复的不履行，或者业绩恶化，暴露出该组织在结构、体系、程序或内部 控制上的严重缺陷。二是在评估过程中故意提供不正确、不完整或误导性的资料，或者阻挠评估。上面 引文里的定期罚款与此分开，一直罚到整改完成为止。

The aggregate amount of the fines and periodic penalty payments imposed shall not exceed 5 % of the total average turnover of the recognised organisation in the preceding three business years for the activities falling under the scope of this Regulation.

上限挂在营业额上。而且必须先给该组织和有关成员国提交意见的机会，才能课处。

撤销在反复与严重重叠时才打开

(a) whose repeated and serious failure to fulfil the minimum criteria set out in Annex I or its obligations under this Regulation is such that it constitutes an unacceptable threat to safety or the environment;

事由和下面那一级相同，只多加了两个词。repeated and serious。而且结果必须达到 an unacceptable threat。分开这两级的不是事由，而是反复和结果。

通往撤销的门有五道。上面的引文是第一道，第二道是安全与防污染业绩反复而严重的失败造成同样的 结果。剩下三道把台阶封住：阻止或反复阻挠评估，不缴纳罚款或定期罚款，以及试图让别人的钱来 补上已课处的罚款。躲避下一级制裁的行为，本身就成了最后一级的事由。

撤销由欧盟委员会依职权或应成员国请求作出决定，并且要在给该组织提交意见的机会之后。

需要确认的事

上面的引文取自欧盟条例391/2009第3条至第8条。最低标准本身写在附件I里，不在本文之内。本条例只 处理欧盟的认可。船旗国有没有把检验和发证委托给这家组织，由船旗国法律另行规定。

回到自己的船上，要看的有三件。这家组织在不在欧盟公报公布的名单上；认可上有没有按船型、大小 或航线加的限制，自己的船落不落在里面；以及这家组织眼下是不是处于被要求整改的状态。第三件是 经由成员国传下来的，要向船旗国去问。