Commission Implementing Regulation (EU) No 646/2012Show full title

SECTION 3 Decisions on fines and periodic penalty payments

Article 13 Fines and periodic penalty payments and maximum amounts

1. Where following the decision-making provided for in Section 2, the Commission finds that the certificate holder has intentionally or negligently breached Regulation (EC) No 216/2008 or its implementing rules, it may adopt a decision imposing a fine not exceeding 4 % of the annual income or turnover of the certificate holder in the preceding business year.

2. Where the certificate holder has not terminated the breach at the time of the adoption of the decision referred to in paragraph 1, the Commission may, in that decision, impose periodic penalty payments per day not exceeding 2,5 % of the average daily income or turnover of the certificate holder in the preceding business year.

These periodic penalty payments may be imposed for a period running from the date of notification of the decision until the day on which the breach is brought to an end.

3. For the purposes of paragraphs 1 and 2, the preceding business year refers to the business year preceding the date of the decision referred to in paragraph 1.

4. Fines and periodic penalty payments shall be of an administrative nature.

5. The decision imposing fines and periodic penalty payments shall be enforceable.

Article 14 Contents of decisions

1. The decision provided for in Article 13 shall be based exclusively on grounds on which the certificate holder has been able to submit observations to the Commission.

2. The Commission shall inform the certificate holder of the judicial remedies available.

3. The Commission shall inform the Member States and the Agency about the adoption of the decision.

4. When publishing details of its decision and informing the Member States, the Commission shall have regard to the legitimate interest of certificate holders and other persons in the protection of their business secrets.

Article 15 Criteria governing the application and quantification of fines and periodic penalty payments

1. In determining whether to impose fines and periodic penalty payments and the amount of those fines and payments, the Commission shall be guided by the principles of effectiveness, proportionality and dissuasiveness.

2. In each case, the Commission shall take into consideration, where relevant, the following circumstances:

(a) the seriousness and the effects of the breach and in particular, the implications and effects for safety and for the environment of such breach;

(b) the degree of diligence and cooperation shown by the certificate holder in the detection of the breach and the application of the corrective action, or during the course of the non-compliance procedure or, any obstruction by the certificate holder of the detection of a breach and the conduct of a non-compliance procedure, or any non-compliance by the certificate holder with requests made by the Agency, the Commission or a national aviation authority in application of this Regulation;

(c) the good faith of the certificate holder in the interpretation and fulfilment of the obligations connected with certificate holders in accordance with Regulation (EC) No 216/2008 or its implementing rules, or any evidence of wilful deceit on the part of the certificate holder;

(d) the turnover involved in the case and the economic capacity of the certificate holder concerned;

(e) the need to adopt provisional or urgent measures;

(f) the repetition, frequency or duration of the breach by the certificate holder;

(g) prior sanctions, including financial penalties, imposed on the same certificate holder.

3. In determining the amount of the fine and the periodic penalty payment, the Commission shall take into account any enforcement measures already taken regarding the certificate holder at national level or by the Agency and based on the same legal grounds and the same facts.