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
(Text with EEA relevance)
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
Article 2
Definitions
CHAPTER II
FINES AND PERIODIC PENALTY PAYMENTS
Article 3
Identification of infringements
Article 4
Calculation of fines
Article 5
Assessment of the seriousness of an infringement
Article 6
Assessment of the effects of an infringement
Article 7
Periodic penalty payments
Article 8
Determination of maximum aggregate amount of fines and periodic penalty payments
Article 9
Calculation of turnover
CHAPTER III
WITHDRAWAL OF RECOGNITION
Article 10
Withdrawal of recognition
Article 11
Procedure to withdraw recognition at the request of a Member State
CHAPTER IV
COMMON PROVISIONS
Article 12
Statement of objections
Article 13
Requests for information
Article 14
Oral hearing
Article 15
Periodic penalty payments for non-cooperation
Article 16
Access to the file
Article 17
Legal representation
Article 18
Confidentiality, professional secrecy and the right to remain silent
Article 19
Decision
Article 20
Judicial remedies, notification and publication
Article 21
Recovery of fines and penalty payments
Article 22
Limitation periods for the imposition of fines and periodic penalty payments
Article 23
Limitation periods for the collection of fines and periodic penalty payments
Article 24
Application of time limits
Article 25
Cooperation with national competent authorities
CHAPTER V
FINAL PROVISIONS
Article 26
Application
Article 27
Entry into force
ANNEX
Provisions of Regulation (EC) No 391/2009 |
Subject matter of corresponding groups |
Article 8(4) |
Disclosure of results of its quality system management review |
Article 9(1) and criterion B.4 |
Access to information and ship files |
Article 9(2) |
Access to ships |
Article 10(1), first part |
Consultation for equivalence and harmonisation of rules and procedures, and for common interpretations of the international conventions |
Article 10(1), second part |
Mutual recognition |
Article 10(3) |
Cooperation with port State control administrations |
Article 10(4) |
Information to the Commission, the Member States and other parties concerned as regards, inter alia, classed fleet, transfers, changes, suspensions and withdrawals of class |
Article 10(5) |
Opportunity for the flag State to advise as to the need for a full inspection on a ‘declassed’ or ‘class-changing’ ship, prior to the issuing of statutory certificates by the organisation |
Article 10(6) |
Requirements in cases of transfer of class |
Article 11(1), (2), (3) and (5) |
Taking all necessary measures to establish, maintain and ensure effective operation of an independent quality assessment and certification entity in accordance with the requirements of the Regulation |
Criterion A.1 |
Legal personality and audit requirements |
Criterion A.2 |
Documented adequate experience in assessing the design and construction of merchant ships |
Criteria A.3, B.1 and B.7(g) |
Sufficient and adequate staff, worldwide coverage of services, exclusive surveyors. |
Criteria A.4 and B.7(a) |
Establish and maintain a set of comprehensive class rules and procedures |
Criterion A.5 |
Register of ships |
Criterion A.6 |
Independence, impartiality and conflict of interest |
Criteria A.7, B.7(c) first part and B.7(k) |
Statutory work requirements except ISM |
Criterion B.2 |
Code of ethics |
Criterion B.3 |
Confidentiality of relevant information required by the administration |
Criterion B.5 |
IP rights of shipyards, equipment suppliers, and shipowners |
Criteria B.6, B.7(b) second part, B.7(c) second part, B.7(i) and B.8 |
Quality management system including records |
Criterion B.7(b)first part |
Implementation of class rules and procedures |
Criterion B.7(d) |
Lines of responsibility, powers and interrelation of personnel |
Criterion B.7(e) |
Operate under controlled conditions |
Criterion B.7(f) |
Supervision of work carried out by surveyors and other staff |
Criterion B.7(h) |
System of training and qualification of surveyors |
Criterion B.7(j) |
Comprehensive internal audit system in all locations |
Criterion B.7(l) |
Responsibility and control over regional offices and surveyors |
Criterion B.9 |
Direct knowledge and judgement |
Criterion B.10 |
ISM Code |
Criterion B.11 |
Participation of parties concerned in the development of rules and procedures |