http://www.legislation.gov.uk/eur/2014/788/chapter/IVCommission Regulation (EU) No 788/2014 of 18 July 2014 laying down detailed rules for the imposition of fines and periodic penalty payments and the withdrawal of recognition of ship inspection and survey organisations pursuant to Articles 6 and 7 of Regulation (EC) No 391/2009 of the European Parliament and of the Council (Text with EEA relevance)Commission Regulation (EU) No 788/2014Commission Regulation (EU) No 788/2014 of 18 July 2014 laying down detailed rules for the imposition of fines and periodic penalty payments and the withdrawal of recognition of ship inspection and survey organisations pursuant to Articles 6 and 7 of Regulation (EC) No 391/2009 of the European Parliament and of the Council (Text with EEA relevance)King's Printer of Acts of Parliamenthttps://webarchive.nationalarchives.gov.uk/eu-exit/https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02014R0788-20140808texttext/xmlen2025-01-09Expert Participation2020-12-31 CHAPTER IV<Strong><Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true"> COMMON PROVISIONS </Substitution></Strong><Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Statement of objections </Substitution>Article 121Where the Secretary of State considers that there are grounds to impose a fine and periodic penalty payments on a recognised organisation in accordance with Article 6 of Regulation (EC) No 391/2009, or to withdraw an organisation's recognition in accordance with Article 7 of that Regulation, it shall address a statement of objections to the organisation ....2The statement of objections shall include:aa detailed account of the recognised organisation's actions and omissions, including the description of the relevant facts and the identification of the provisions of Regulation (EC) No 391/2009, which the Secretary of State considers to have been breached by the recognised organisation;ban identification of the evidence on which the relevant findings are based, including by reference to inspection reports, assessment reports, or any other relevant documents which have been previously communicated to the organisation concerned by the Secretary of State...;ca notice that fines and periodic penalty payments or the withdrawal of recognition may be imposed by the Secretary of State in accordance with Articles 6 or 7 of Regulation (EC) No 391/2009.3When notifying the statement of objections, the Secretary of State shall invite the recognised organisation ... to submit written observations within a designated time limit, which shall not, in any event, be less than six weeks of the date of receipt of the statement of objections. The Secretary of State shall not be obliged to take into account submissions received after the expiry of that time limit, without prejudice to the provisions of Article 24 paragraph 4 of this Regulation.4The notification of a statement of objections shall not suspend the assessment of the organisation concerned. At any moment prior to the adoption of a decision to impose a fine and periodic penalty payments, or the withdrawal of recognition in accordance with this Regulation, the Secretary of State may decide to carry out additional inspections of an organisation's offices and facilities, to visit ships certified by the organisation or to request the recognised organisation in writing to provide additional information relating to its compliance with the criteria and obligations under Regulation (EC) No 391/2009.5At any moment prior to the adoption of a decision to impose a fine and periodic penalty payments, or the withdrawal of recognition in accordance with this Regulation, the Secretary of State may amend its assessment of the recognised organisation concerned. If the new assessment is different to the assessment which gave rise to the statement of objections, because new facts have been discovered, or because new infringements or new circumstances concerning the seriousness of an infringement or its effects on safety and the environment have been identified, the Secretary of State shall issue a new statement of objections.<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Requests for information </Substitution>Article 13In order to clarify the facts for the purposes of Article 12, the Secretary of State may request in writing the recognised organisation to provide written or oral explanations, or particulars or documents, within a designated time limit, which shall not, in any event, be less than 4 weeks. In such a case the Secretary of State shall inform the recognised organisation of the periodic penalty payments and fines that may be imposed for failing to comply with the request or when incurring unjustified delays in the provision of information or providing deliberately incorrect, incomplete or misleading information to the Secretary of State.<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Oral hearing </Substitution>Article 141At the request of the recognised organisation to which a statement of objections has been addressed, the Secretary of State shall offer that organisation the opportunity to present its arguments at an oral hearing.2The Secretary of State may invite any other persons with a legitimate interest in the infringement to take part in the oral hearing.3Natural or private legal persons invited to attend shall either appear in person or be represented by legal or authorised representatives. ...4The oral hearing shall not be public. Each person invited to attend may be heard separately or in the presence of other persons invited to attend, having regard to the legitimate interest of the recognised organisation and other parties in the protection of their business secrets and other confidential information.5The statements made by each person heard shall be recorded. Upon request, the recording of the hearing shall be made available to the persons who attended the hearing ....<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Periodic penalty payments for non-cooperation </Substitution>Article 151Where the Secretary of State intends to make a decision imposing periodic penalty payments as referred to in Article 7(1) to a recognised organisation that has failed to undertake or incurs unjustified delays in undertaking preventive and remedial action requested by the Secretary of State, the Secretary of State shall first notify the recognised organisation in writing.2The notification by the Secretary of State in accordance with paragraph 1 shall make reference to the specific preventive and remedial action that has not been undertaken by the recognised organisation and the supporting evidence, as well as inform the recognised organisation of the periodic penalty payments that are being considered by the Secretary of State thereon.3The Secretary of State shall set a time limit in which the recognised organisation may submit written observations to the Secretary of State. The Secretary of State shall not be obliged to take into account written observations received after the expiry of the time limit.<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Access to the file </Substitution>Article 161At the request of the recognised organisation to which a statement of objections has been addressed, the Secretary of State shall grant access to the file containing documents and other evidence compiled by the Secretary of State on the alleged infringement.2The Secretary of State shall set the date and make the relevant practical arrangements for the recognised organisation's access to the file, which may be granted in electronic form only.3The Secretary of State shall make available to the recognised organisation concerned, upon request, a list of all the documents contained in the file.4The recognised organisation concerned shall have the right to access the documents and information contained in the file. When granting such access, the Secretary of State shall have due regard to business secrets, confidential information or the internal character of documents issued by the Secretary of State....5For the purposes of paragraph 4, internal documents of the Secretary of State may include documents or parts of documents pertaining to the internal deliberations of the Secretary of State.<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true"> Legal representation </Substitution>Article 17The recognised organisation shall have the right to legal representation at all stages of the proceedings under this Regulation.<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Confidentiality, professional secrecy and the right to remain silent </Substitution>Article 181Proceedings under this Regulation shall be carried out subject to the principles of confidentiality and of professional secrecy.2The Secretary of State... shall not disclose information acquired or exchanged ... pursuant to this Regulation and of the kind covered by the obligation of professional secrecy and confidentiality.3Any recognised organisation or other person who submits information or observations pursuant to this Regulation shall clearly identify any material considered to be confidential, giving the reasons for it, and provide a separate non-confidential version by the date set by the Secretary of State.4The Secretary of State may also require recognised organisations and other interested parties to identify any part of a report, of the statement of objections or of a decision by the Secretary of State, which in their view contains business secrets.5In the absence of the identification referred to in paragraphs 3 and 4, the Secretary of State may assume that the documents or observations concerned do not contain confidential information.6Without prejudice to Article 9 of Regulation (EC) No 391/2009, recognised organisations shall have the right to remain silent in situations where it would otherwise be compelled to provide answers which might involve an admission on their part of the existence of a breach.<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Decision </Substitution>Article 191A decision to impose fines, periodic penalty payments, or the withdrawal of recognition in accordance with this Regulation shall be based exclusively on the grounds on which the recognised organisation concerned has been able to submit its observations.2The decision to impose a fine or a periodic penalty payment and the determination of the appropriate amount shall take into account the principles of effectiveness, proportionality and dissuasiveness.3When taking measures in accordance with this Regulation and deciding on the seriousness and effect of the relevant actions or omissions on safety and the environment the Secretary of State shall take into account national measures already taken on the basis of the same facts against the recognised organisation concerned, in particular where that organisation has already been subject to judicial or enforcement proceedings.4Actions or omissions of a recognised organisation on the basis of which measures have been taken in accordance with this Regulation shall not be subject to further measures. However, these actions or omissions may be taken into account in subsequent decisions made in accordance with this Regulation in order to assess recurrence.5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Judicial remedies, notification and publication </Substitution>Article 201The Secretary of State shall inform the recognised organisation concerned of the judicial remedies available to it.2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3When justified, in particular on grounds of safety or protection of the environment, the Secretary of State may make its decision public. When publishing details of its decision ..., the Secretary of State shall have regard to the legitimate interests of the recognised organisation concerned and other interested persons.<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Recovery of fines and penalty payments </Substitution>Article 21The Secretary of State shall proceed with the recovery of the fines and the penalty payments by service of a notice demanding payment of the debt addressed to the recognised organisation concerned ... .<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Limitation periods for the imposition of fines and periodic penalty payments </Substitution>Article 221The right of the Secretary of State to impose fines and/or periodic penalty payments to a recognised organisation in accordance with this Regulation shall expire after five years from the date when the action or omission of the recognised organisation giving rise to an infringement identified in accordance with Article 3 of this Regulation was committed. However, in case of continuing or repeated actions or omissions giving rise to an infringement, time shall begin to run on the day on which the action or omission ceases.The right of the Secretary of State to impose periodic penalty payments to a recognised organisation in accordance with Article 15 of this Regulation shall expire after three years from the date when the action or omission of the recognised organisation, for which the Secretary of State requested appropriate preventive and remedial action, was committed.2Any action taken by the Secretary of State... for the purpose of the assessment or the infringement procedure in relation to an action or omission of the recognised organisation shall interrupt the relevant limitation period established under paragraph 1. The limitation period shall be interrupted with effect from the date on which the action of the Secretary of State... is notified to the recognised organisation.3Each interruption shall start time running afresh. The limitation period shall, however, not exceed a period equal to twice the initial limitation period, except where limitation is suspended pursuant to paragraph 4.4The limitation period for the imposition of periodic penalty payments shall be suspended for as long as the decision of the Secretary of State is the subject of judicial proceedings ....<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Limitation periods for the collection of fines and periodic penalty payments </Substitution>Article 231The right to commence judicial proceedings or arbitration for fines and/or periodic penalty payments shall expire one year after the Decision pursuant to Article 19 has become final.2The limitation period referred to in paragraph 1 shall be interrupted by any action of the Secretary of State, aimed at enforcing payment of the fines and/or periodic penalty payments.3Each interruption shall start time running afresh.4The limitation periods referred to in paragraphs1 and 2 shall be suspended for as long as:atime to pay is allowed;benforcement of payment is suspended pursuant to a decision of the Court seized of the action or an arbitration tribunal.<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Application of time limits </Substitution>Article 241The time limits laid down in this Regulation shall run from the day following receipt of the Secretary of State's communication or delivery thereof by hand.2In the case of a communication addressed to the Secretary of State, the relevant time limits shall be deemed to have been met when that communication has been dispatched by registered post before the relevant time limit expires.3In setting the time limits, the Secretary of State shall have regard both to due process rights and the specific circumstances of each decision-making procedure under this Regulation.4Where appropriate and upon reasoned request made before the expiry of the original time limit, time limits may be extended.<Substitution ChangeId="O000001M001" CommentaryRef="c000001" Correction="true">Cooperation with national competent authorities </Substitution>Article 25. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Substituted by Corrigendum to Commission Regulation (EU) No 788/2014 of 18 July 2014 laying down detailed rules for the imposition of fines and periodic penalty payments and the withdrawal of recognition of ship inspection and survey organisations pursuant to Articles 6 and 7 of Regulation (EC) No 391/2009 of the European Parliament and of the Council (Official Journal of the European Union L 214 of 19 July 2014).Words in Art. 12(1) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(12)(b); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 12(2)(b) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(12)(c); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 12(3) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(12)(d); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 12 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(12)(a); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 13 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(13); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 14(3) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(14)(c); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 14(1) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(14)(a); 2020 c. 1, Sch. 5 para. 1(1)Art. 14(2) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(14)(b); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 14(5) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(14)(d); 2020 c. 1, Sch. 5 para. 1(1)Word in Art. 15(1) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(15)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 15(1) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(15)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 15 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(15)(a); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 16(4) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(16)(b); 2020 c. 1, Sch. 5 para. 1(1)Art. 16(5) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(16)(c); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 16 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(16)(a); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 18(2) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(17)(b); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 18 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(17)(a); 2020 c. 1, Sch. 5 para. 1(1)Word in Art. 19(4) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(18)(b); 2020 c. 1, Sch. 5 para. 1(1)Art. 19(5) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(18)(c); 2020 c. 1, Sch. 5 para. 1(1)Art. 19(6) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(18)(c); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 19 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(18)(a); 2020 c. 1, Sch. 5 para. 1(1)Art. 20(2) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(19)(b); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 20(3) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(19)(c); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 20 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(19)(a); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 21 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(20)(a); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 21 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(20)(b); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 21 omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(20)(c); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 22(2) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(21)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 22(2) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(21)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)Word in Art. 22(4) inserted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(21)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 22(4) omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(21)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 22 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(21)(a); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 23(1) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(22)(a); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 23(2) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(22)(b); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 23(4)(b) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(22)(c); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 24(1) substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(23)(a); 2020 c. 1, Sch. 5 para. 1(1)Words in Art. 24 substituted (31.12.2020) by The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(23)(b); 2020 c. 1, Sch. 5 para. 1(1)Art. 25 omitted (31.12.2020) by virtue of The Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/270), regs. 1(2), 4(24); 2020 c. 1, Sch. 5 para. 1(1)