The Simple Pressure Vessels (Safety) Regulations 2016

PART 1

Citation and commencement

1.  These Regulations may be cited as the Simple Pressure Vessels (Safety) Regulations 2016 and come into force on 8th December 2016 (“the commencement date”).

Interpretation

2.—(1) In these Regulations, “vessel” means a simple pressure vessel manufactured in series with the following characteristics—

(a) the vessel is welded, intended to be subjected to an internal gauge pressure greater than 0.5 bar and to contain air or nitrogen, and is not intended to be fired;

(b) the parts and assemblies contributing to the strength of the vessel under pressure are made either of non-alloy quality steel or of non-alloy aluminium or non-age hardening aluminium alloys;

(c) the vessel is made of either of the following elements—

(i) a cylindrical part of circular cross-section closed by outwardly dished and/or flat ends which revolve around the same axis as the cylindrical part;

(ii) two dished ends revolving around the same axis;

(d) the maximum working pressure of the vessel does not exceed 30 bar and the product of PS x V does not exceed 10,000 bar.L; and

(e) the minimum working temperature of the vessel is no lower than -50°C and the maximum working temperature is not higher than—

(i) 300°C where the vessel is constructed of steel; and

(ii) 100°C where the vessel is constructed of aluminium or aluminium alloy vessels.

(2) A vessel is manufactured in series if more than one vessel of the same type is manufactured during a given period by a continuous manufacturing process, in accordance with a common design and using the same manufacturing processes.

(3) The categories of vessels relevant for the purposes of these Regulations are—

(a) “category A vessel”, meaning a vessel of which the product of PS x V exceeds 50 bar.L, this category being subdivided into—

(i) “category A.1 vessel”, meaning a vessel of which the product of PS x V exceeds 3,000 bar.L;

(ii) “category A.2 vessel”, meaning a vessel of which the product of PS x V is more than 200 bar.L but not more than 3,000 bar.L;

(iii) “category A.3 vessel” meaning a vessel of which the product of PS x V is more than 50 bar.L but not more than 200 bar.L; and

(b) “category B vessel” meaning a vessel of which the product of PS x V is 50 bar.L or less.

(4) In these Regulations—

“the 1991 Regulations” means the Simple Pressure Vessels (Safety) Regulations 1991(1);

“the 1974 Act” means the Health and Safety at Work etc Act 1974(2);

“the 1978 Order” means the Health and Safety at Work (Northern Ireland) Order 1978;(3)

“the 1987 Act” means the Consumer Protection Act 1987(4);

“accreditation” has the meaning set out in Article 2(10) of RAMS (as amended from time to time);

“accreditation certificate” means a certificate, issued by the United Kingdom Accreditation Service or a national accreditation body in another Member State, attesting that a conformity assessment body meets the notified body requirements;

“authorised representative” means a person established in the EU appointed in accordance with regulation 15;

“CE marking” means a marking in the form set out in Annex II of RAMS (as amended from time–to-time);

“competent national authority” means an authority of a Member State responsible for enforcing the law of that state which implements the Directive;

“conformity assessment” means the process demonstrating whether the essential safety requirements relating to a vessel have been fulfilled;

“conformity assessment activities” means any activities connected with conformity assessment, including calibration, testing, certification and inspection;

“conformity assessment body” means a body that performs conformity assessment activities;

“conformity assessment procedure” means a procedure referred to in regulations 40 (conformity assessment procedures prior to manufacture) and 41(conformity assessment procedures prior to placing a vessel on the market);

“the Directive” means Directive 2014/29/EU of the European Parliament and of the Council on the harmonisation of the laws of the Member States relating to the making available on the market of simple pressure vessels(5);

“distributor” means any person in the supply chain, other than the manufacturer or the importer, who makes a vessel available on the market;

“district council” means a district council within the meaning of the Local Government Act (Northern Ireland) 1972(6);

“economic operator” means a manufacturer, an authorised representative, an importer or a distributor;

“enforcing authority” means any person enforcing these Regulations under regulation 55 (enforcement);

“essential safety requirements” means the requirements set out in Schedule 1;

“harmonised standard” has the meaning given by Article 2(1)(c) of Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council, and repealing Council Decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council(7) (as amended from time to time);

“the HSE” means the Health and Safety Executive established under section 10 of the 1974 Act;

“the HSENI” means the Health and Safety Executive for Northern Ireland established under Article 12 of the 1978 Order;

“importer” means a person who—

(a)

is established in the EU; and

(b)

who places a vessel from a third country on the EU market;

“inscriptions” means the following information in respect of a vessel—

(a)

the maximum working pressure (PS);

(b)

the maximum working temperature (T_max);

(c)

the minimum working temperature (T_min); and

(d)

the capacity (V);

“instructions and safety information” means the following information in respect of a vessel—

(a)

its intended use; and

(b)

the maintenance and installation requirements for vessel safety;

“make available on the market” means any supply of a vessel for distribution or use on the EU market in the course of a commercial activity, whether in return for payment or free of charge, and related expressions must be construed accordingly;

“manufacturer” means a person who—

(a)

manufactures a vessel or has a vessel designed or manufactured; and

(b)

markets that vessel under that person’s name or trademark;

“market surveillance authority” has the meaning set out in regulation 54 (designation of market surveillance authority);

“maximum working pressure” or “PS” means the maximum gauge pressure (in Bar) which may be exerted under a vessel’s normal conditions of use;

“maximum working temperature” or “T_max” means the highest stabilised temperature (in °C) which the wall of the vessel may attain under normal conditions of use;

“minimum working temperature or “T_min” means the lowest stabilised temperature which the wall of the vessel may attain under normal conditions of use;

“national accreditation body” has the meaning set out in Article 2(11) of RAMS (as amended from time to time);

“notified body” means a body described in regulation 45 (notified bodies);

“notified body requirements” means the requirements set out in Part 1 of Schedule 4;

“Official Journal” means the Official Journal of the European Union;

“place on the market” means the first making available of a vessel on the EU market, and related expressions must be construed accordingly;

RAMS means Regulation (EC) No 765/2008 of the European Parliament and of the Council setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93(8);

“recall” means any measure aimed at achieving the return of a vessel that has already been made available to the end-user and related expressions must be construed accordingly;

“relevant economic operator” means, in relation to a vessel, an economic operator who has obligations in respect of that vessel under Part 2 of these Regulations;

“supply” is to be read in accordance with section 46 of the 1987 Act, and includes offering or agreeing to supply, and exposing or possessing for supply, and “supplied” and “supplier” have the corresponding meanings;

“technical documentation” means the documentation referred to in paragraph 2(2)(c) of Part 1 of Schedule 2;

“technical specification” means a document that prescribes technical requirements to be fulfilled by a vessel;

“V” means capacity of the vessel in litres;

“weights and measures authority” means a local weights and measures authority as defined in section 69 of the Weights and Measures Act 1985(9);

“withdraw”, in relation to a vessel, means any measure aimed at preventing a vessel in the supply chain from being made available on the market and related expressions must be construed accordingly.

(5) In these Regulations, a reference to a vessel being “in conformity with Part 2” means that—

(a) the vessel complies with the essential safety requirements; and

(b) is a vessel in respect of which each relevant economic operator has complied, or is complying, with the obligations imposed on them under Part 2 of these Regulations.

(6) In these Regulations, a reference to a Member State must be read as a reference to an EEA State and references to the EU must be read as references to the European Economic Area.

Application

3.—(1) Subject to paragraph 2, these Regulations apply to a vessel placed on the market on or after the commencement date.

(2) These Regulations do not apply to—

(a) a vessel specifically designed for nuclear use, failure of which may cause an emission of radioactivity;

(b) a vessel specifically intended for installation in or the propulsion of ships and aircraft; and

(c) fire extinguishers.

(3) In paragraph (2), “ship” has the meaning given by section 313 of the Merchant Shipping Act 1995(10).

PART 2 Obligations of economic operators

Manufacturers

Design and manufacture in accordance with essential safety requirements and sound engineering practice

4.—(1) Before placing a category A vessel on the market, a manufacturer must ensure that the vessel has been designed and manufactured in accordance with the essential safety requirements.

(2) Before placing a category B vessel on the market, a manufacturer must ensure that the vessel has been designed and manufactured in accordance with the sound engineering practice of a Member State.

Technical documentation and conformity assessment for category A vessels

5.  Before placing a category A vessel on the market, a manufacturer must–

(a) draw up the technical documentation in respect of that vessel; and

(b) carry out a relevant conformity assessment procedure in respect of the vessel or have such a procedure carried out.

EU declaration of conformity, CE marking and inscriptions for category A vessels

6.—(1) Where the conformity of a category A vessel with the essential safety requirements has been demonstrated by a relevant conformity assessment procedure, before placing that vessel on the market, a manufacturer must—

(a) draw up an EU declaration of conformity in accordance with regulation 43 (EU declaration of conformity); and

(b) affix to the vessel, or to its data plate, the CE marking, the last two digits of the year in which the CE marking is affixed, the inscriptions and the information referred to in regulation 11(1)(labelling).

(2) Where a data plate is used, it must be so designed that it cannot be reused and must include a vacant space to enable other information to be provided.

(3) The information referred to in paragraph (1)(b) must be visible, legible and indelible.

(4) The manufacturer must keep the EU declaration of conformity up-to-date.

(5) Where a category A vessel is subject to more than one EU instrument requiring the drawing up of a declaration of conformity, the manufacturer must draw up a single declaration of conformity, which—

(a) identifies the EU instruments; and

(b) includes references to the publication of those EU instruments in the Official Journal.

Inscriptions for category B vessels

7.—(1) Before placing a category B vessel on the market, a manufacturer must affix the following to the vessel or to its data plate—

(a) the inscriptions; and

(b) the information referred to in regulation 11(1).

(2) Where a data plate is used, it must be so designed that it cannot be reused and must include a vacant space to enable other information to be provided.

(3) The inscriptions and information referred to in paragraph (1) must be visible, legible and indelible.

Retention by manufacturer of technical documentation and EU declaration of conformity

8.  A manufacturer must keep the technical documentation and the EU declaration of conformity drawn up in respect of a category A vessel and make it available for inspection by the enforcing authorities for a period of 10 years beginning on the day on which the vessel was placed on the market.

Compliance procedures for series production

9.—(1) A manufacturer must ensure, before placing a vessel on the market, that procedures are in place to ensure that series production remains in conformity with Part 2.

(2) In doing so, the manufacturer must take adequate account of—

(a) any change in vessel design or characteristics; and

(b) any change in a harmonised standard or in another technical specification by reference to which the EU declaration of conformity was drawn up.

Monitoring of vessels made available on the market

10.—(1) When appropriate, having regard to the risks to the health and safety of end-users presented by a vessel, a manufacturer must—

(a) carry out sample testing of vessels manufactured by it made available on the market;

(b) investigate complaints that vessels manufactured by it are not in conformity with Part 2;

(c) keep a register of—

(i) complaints that vessels are not in conformity with Part 2;

(ii) vessels which are found not to be in conformity with Part 2; and

(iii) vessel recalls; and

(d) keep distributors informed of any monitoring carried out under this regulation.

(2) The manufacturer must keep an entry made in the register for a period of at least 10 years beginning on the day on which the obligation to make the entry arose.

Labelling of vessels

11.—(1) Before placing a vessel on the market, a manufacturer must ensure that the following appear on the vessel or its data plate—

(a) a type and serial or batch identification allowing its identification; and

(b) the following information—

(i) the name, registered trade name or registered trade mark of the manufacturer; and

(ii) a postal address at which the manufacturer can be contacted.

(2) The information referred to in paragraph (1) must be clear, understandable and intelligible.

(3) The contact details referred to in paragraph (1)(b) must be in a language which can be easily understood by end-users and the competent national authority in the Member State in which it is to be made available.

Provision of instructions and safety information

12.—(1) When placing a vessel on the market, a manufacturer must ensure that a vessel is accompanied by the instructions and safety information in a language which can be easily understood by end-users in the Member State in which it is to be made available on the market.

(2) The instructions and safety information referred to in paragraph (1) must be clear, understandable and intelligible.

(3) Where the Member State referred to in paragraph (1) is the United Kingdom, the language referred to in that paragraph must be English.

Duty of manufacturer to take action in respect of vessels placed on the market which are considered not to be in conformity

13.—(1) A manufacturer who considers, or has reason to believe, that a vessel which the manufacturer has placed on the market is not in conformity with Part 2 must immediately take the corrective measures necessary to—

(a) bring the vessel into conformity;

(b) withdraw the vessel; or

(c) recall the vessel.

(2) Where the vessel presents a risk to the health or safety of persons, to domestic animals or to property, a manufacturer must immediately inform the market surveillance authority of the risk, and the competent national authorities of any other Member States in which the manufacturer made the vessel available on the market, giving details, in particular, of—

(a) the respect in which the vessel is considered not to be in conformity with Part 2; and

(b) any corrective measures taken.

Provision of information and cooperation

14.—(1) Following a request from the enforcing authority, and within such period as the authority may specify, a manufacturer must provide the authority with all the information and documentation necessary to demonstrate that a vessel is in conformity with Part 2.

(2) A request referred to in paragraph (1)—

(a) may only be made during the period of 10 years beginning on the day the vessel was placed on the market; and

(b) must be accompanied by the reasons for making the request.

(3) The information referred to in paragraph (1)–

(a) may be provided electronically; and

(b) must be in a language which can be easily understood by the enforcing authority.

(4) A manufacturer must, at the request of the enforcing authority, cooperate with that authority on any action taken to—

(a) evaluate a vessel in accordance with regulation 58 (evaluation of vessels presenting a risk); or

(b) eliminate the risks posed by a vessel which the manufacturer has placed on the market.

Appointment by manufacturer of authorised representative

15.—(1) Subject to regulation 16, a manufacturer may, by written mandate, appoint a person as their authorised representative to perform specified tasks on the manufacturer’s behalf.

(2) A manufacturer who has appointed an authorised representative to perform, on the manufacturer’s behalf, a task under these Regulations remains responsible for the proper performance of that task.

Obligations of authorised representative

16.—(1) The obligations laid down in regulation 4 (design and manufacture in accordance with essential safety requirements and sound engineering practice) and in of regulation 5(a) (technical documentation and conformity assessment for category A vessels) must not form part of an authorised representative’s mandate.

(2) The mandate must allow the authorised representative to do at least the following in relation to a vessel covered by the mandate—

(a) perform the manufacturer’s obligations under regulation 8 (retention by manufacturer of technical documentation and EU declaration of conformity); and

(b) perform the manufacturer’s obligations under regulation 14 (provision of information and cooperation).

(3) An authorised representative must comply with all the duties imposed on the manufacturer in relation to each obligation under these Regulations that the representative is appointed by the mandate to perform and accordingly as far as those duties are concerned, as well as the penalties for failure to comply with those duties, a reference in these Regulations (except in regulation 15) to the manufacturer is to be taken as including a reference to the authorised representative.

Importers

Prohibition on placing on the market vessels which are not in conformity

17.  An importer must not place a vessel on the market unless it is in conformity with Part 2.

Requirements which must be satisfied before an importer places a category A vessel on the market

18.  Before placing a category A vessel on the market, an importer must ensure that—

(a) the relevant conformity assessment procedure has been carried out;

(b) the manufacturer has drawn up the technical documentation;

(c) the vessel bears the CE marking and the inscriptions; and

(d) the manufacturer has complied with the requirements set out in regulation 11 (labelling of vessels).

Prohibition on an importer placing on the market a category A vessel considered not to be in conformity with the essential safety requirements

19.—(1) Where an importer considers or has reason to believe that a category A vessel is not in conformity with the essential safety requirements, the importer must not place the vessel on the market.

(2) Where the vessel presents a risk to the health or safety of persons, to domestic animals or to property, the importer must inform the manufacturer and the market surveillance authority of that risk.

Requirements which must be satisfied before an importer places a category B vessel on the market

20.  Before placing a category B vessel on the market, an importer must ensure that—

(a) it has been designed and manufactured in accordance with the sound engineering practice in a Member State;

(b) it bears the inscriptions; and

(c) the manufacturer has complied with the requirements set out in regulation 11 (labelling of vessels).

Information identifying importer

21.—(1) Before placing a vessel on the market, an importer must indicate on the vessel or, where that is not possible, in a document accompanying the vessel—

(a) the name, registered trade name or registered trade mark of the importer; and

(b) a postal address at which the importer can be contacted.

(2) The contact details referred to in paragraph (1) must be in a language which can be easily understood by end-users and the competent national authority in the Member State in which it is to be made available to such end-users.

Instructions and safety information

22.—(1) When placing a vessel on the market, an importer must ensure that the vessel is accompanied by the instructions and safety information in a language which can be easily understood by end-users in the Member State in which it is to be made available.

(2) The instructions and safety information referred to in paragraph (1) must be clear and understandable.

(3) Where the Member State referred to in paragraph (1) is the United Kingdom, the language referred to in that paragraph must be English.

Transport and storage conditions

23.  Where an importer has responsibility for a category A vessel, the importer must ensure that the conditions under which the vessel is stored or transported do not jeopardise its conformity with the essential safety requirements.

Monitoring by importer of vessels made available on the market

24.—(1) When appropriate, having regard to the risks to the health and safety of end-users presented by a vessel, an importer must—

(a) carry out sample testing of vessels made available by the importer on the market;

(b) investigate complaints that vessels made available on the market by the importer are not in conformity with Part 2;

(c) keep a register of—

(i) complaints that vessels are not in conformity with Part 2;

(ii) vessels which are found not to be in conformity with Part 2; and

(iii) vessel recalls; and

(d) keep distributors informed of any monitoring carried out under this regulation.

(2) The importer must keep an entry made in the register for a period of at least 10 years beginning on the day on which the obligation to make the entry arose.

Duty of importer to take action in respect of vessels placed on the market which are considered not to be in conformity

25.—(1) An importer who considers, or has reason to believe, that a vessel which the importer has placed on the market is not in conformity with Part 2 must immediately take the corrective measures necessary to—

(a) bring the vessel into conformity;

(b) withdraw the vessel; or

(c) recall the vessel.

(2) Where the vessel presents a risk to the health or safety of persons, to domestic animals or to property, an importer must immediately inform the market surveillance authority of the risk, and the competent national authorities of any other Member State in which the importer made the vessel available on the market, giving details, in particular, of—

(a) the respect in which the vessel is considered not to be in conformity with Part 2; and

(b) any corrective measures taken.

Retention by importer of technical documentation and EU declaration of conformity

26.  An importer must, for a period of 10 years beginning on the day on which a category A vessel was placed on the market, keep and, upon request, make available to an enforcing authority the following in relation to the vessel—

(a) a copy of the EU declaration of conformity (as referred to in regulation 43); and

(b) the technical documentation.

Provision of information and cooperation

27.—(1) Following a request from an enforcing authority, and within such period as the authority may specify, an importer must provide the authority with all the information and documentation necessary to demonstrate that a vessel is in conformity with Part 2.

(2) A request referred to in paragraph (1)—

(a) may only be made during the period of 10 years beginning on the day that the importer places the vessel on the market; and

(b) must be accompanied by the reasons for making the request.

(3) The information referred to in paragraph (1)–

(a) may be provided electronically; and

(b) must be in a language which can be easily understood by the enforcing authority.

(4) An importer must, at the request of the enforcing authority, cooperate with the authority on any action taken to—

(a) evaluate a vessel in accordance with regulation 58 (evaluation of vessels presenting a risk); or

(b) eliminate the risks posed by vessels which the importer has placed on the market.

Distributors

Duty to act with due care

28.  When making a vessel available on the market a distributor must act with due care to ensure that it is in conformity with Part 2.

Requirements which must be satisfied before a distributor makes available on the market a category A vessel

29.  Before making a category A vessel available on the market, a distributor must ensure that—

(a) the vessel—

(i) bears the CE marking and the inscriptions; and

(ii) is accompanied by the instructions and safety information in a language which can be easily understood by end-users in the Member State in which the vessel is to be made available on the market;

(b) the manufacturer has complied with the requirements set out in regulation 11 (labelling of vessels); and

(c) the importer has complied with the requirements in regulation 21 (information identifying importer).

Prohibition on a distributor making available on the market a category A vessel not considered to be in conformity with essential safety requirements

30.—(1) Where a distributor considers or has reason to believe that a category A vessel is not in conformity with the essential safety requirements, the distributor must not make the vessel available on the market until it has been brought into conformity.

(2) Where the vessel presents a risk to the health or safety of persons, to domestic animals or to property, the distributor must inform the following of that risk–

(a) the importer (if there is one);

(b) the manufacturer (if there is no importer); and

(c) the market surveillance authority.

Requirements which must be satisfied before a distributor makes a category B vessel available on the market

31.—(1) Before making a category B vessel available on the market, a distributor must verify that—

(a) the vessel—

(i) bears the inscriptions;

(ii) is accompanied by the instructions and safety information in a language which can be easily understood by end-users in the Member State in which the vessel is to be made available on the market;

(b) the manufacturer has complied with the requirements set out in regulation 11 (labelling of vessels); and

(c) the importer has complied with the requirements in regulation 21 (information identifying importer).

(2) Where the Member State referred to in paragraph (1) is the United Kingdom, the language referred to in paragraph (1) must be English.

Storage and transport conditions

32.  Where a distributor has responsibility for a Category A vessel, the distributor must ensure that the conditions under which it is stored or transported do not jeopardise its conformity with the essential safety requirements.

Duty for distributor to take action in respect of vessels made available on the market which are not in conformity

33.—(1) A distributor who considers or has reason to believe that a vessel which the distributor has made available on the market is not in conformity with Part 2, must make sure that the necessary corrective measures are taken to—

(a) bring the vessel into conformity;

(b) withdraw the vessel; or

(c) recall the vessel.

(2) Where the vessel presents a risk to the health or safety of persons, to domestic animals or to property, a distributor must immediately inform the market surveillance authority of the risk and the competent national authorities of any other Member States in which the distributor made the vessel available on the market, giving details, in particular, of—

(a) the respect in which the vessel is considered not to be in conformity with Part 2; and

(b) any corrective measures taken.

Provision of information and cooperation

34.—(1) Following a request from an enforcing authority, and within such period as the authority may specify, a distributor must provide the authority with all the information and documentation necessary to demonstrate that a vessel is in conformity with Part 2.

(2) A request referred to in paragraph (1)—

(a) may only be made during the period of 10 years beginning on the day on which the vessel was made available on the market; and

(b) must be accompanied by the reasons for making the request.

(3) The information referred to in paragraph (1)–

(a) may be provided electronically; and

(b) must be in a language which can easily be understood by the enforcing authority.

(4) A distributor must, at the request of the enforcing authority, cooperate with the authority on any action taken to—

(a) evaluate a vessel in accordance with regulation 58 (evaluation of vessels presenting a risk);

(b) eliminate the risks posed by a vessel which the distributor has made available on the market.

All economic operators

Cases in which obligations of manufacturers apply to importers and distributors

35.  An importer or distributor (“A”) is to be considered a manufacturer for the purposes of these Regulations, and is subject to the obligations of the manufacturer under this Part, where A—

(a) places a vessel on the market under A’s own name or trademark; or

(b) modifies a vessel already placed on the market in such a way that it may affect whether the vessel is in conformity with Part 2.

Translation of EU declaration of conformity

36.—(1) Before making a Category A vessel available on the market, an economic operator must ensure that the EU declaration of conformity is prepared in, or translated into, the language required by the Member State in which it is to be made available on the market.

(2) Where the category A vessel is to be made available on the market in the United Kingdom, the language required is English.

Identification of economic operators

37.—(1) An economic operator (“E”) who receives a request in relation to a vessel from the market surveillance authority before the end of the relevant period, must, within such period as the authority may specify, identify to the authority—

(a) any other economic operator who has supplied E with the vessel; and

(b) any other economic operator to whom E has supplied the vessel.

(2) The relevant period is—

(a) in the case of paragraph (1)(a), the period of 10 years beginning on the day on which E was supplied with the vessel; and

(b) in the case of paragraph 1(b), the period of 10 years beginning on the day on which E supplied the vessel.

Prohibition on improper use of CE marking

38.—(1) An economic operator must not affix the CE marking to a Category A vessel unless—

(a) that economic operator is the manufacturer of the vessel; and

(b) the conformity of the vessel with the essential safety requirements has been demonstrated by a relevant conformity assessment procedure.

(2) An economic operator must not affix a marking to a vessel which is not the CE marking but which purports to attest that the vessel satisfies the essential safety requirements.

(3) An economic operator must not affix to a vessel a marking, sign or inscription which is likely to mislead any other person as to the meaning or form of the CE marking.

(4) An economic operator must not affix to a vessel any other marking if the visibility, legibility and meaning of the CE marking would be impaired as a result.

PART 3 Conformity of Category A Vessels

Presumption of conformity of category A vessels

39.—(1) A category A vessel which is in conformity with a harmonised standard (or part of such a standard) the reference to which has been published in the Official Journal, is presumed to be in conformity with the essential safety requirements covered by that standard (or that part of that standard).

(2) The presumption in paragraph (1) is rebuttable.

Conformity assessment procedures prior to manufacture

40.—(1) Prior to the manufacture of a category A vessel, an EU-type examination (Module B), as described in paragraph 1 of Schedule 2, must be carried out in respect of the technical design of the vessel.

(2) Where a vessel is to be manufactured in accordance with a harmonised standard (or part of such standard) referred to in regulation 39, (presumption of conformity of category A vessels) the manufacturer must choose one of the following forms of examination—

(a) an examination of the technical documentation and supporting evidence in respect of the vessel without an examination of a specimen vessel (Module B – design type); or

(b) an examination of the technical documentation and supporting evidence in respect of the vessel, with an examination of a prototype, representative of the production envisaged, of the complete vessel (Module B – production type).

(3) Where a vessel is not to be manufactured, or is to be manufactured only partly, in accordance with a harmonised standard (or part of such standard) referred to in regulation 39, the examination must be an examination of the type referred to in paragraph (2)(b).

(4) Paragraphs 2 to 9 of Schedule 2 make provision in respect of an EU-type examination (Module B) and related matters.

Conformity assessment procedures prior to placing a vessel on the market

41.—(1) Before placing a category A.1 vessel on the market, the vessel must be subjected to conformity to type based on internal production control plus supervised testing (Module C1) as described in paragraph 10 of Schedule 2.

(2) Before placing a category A.2 vessel on the market, that vessel must be subjected to either–

(a) the procedure referred to in paragraph (1) (Module C1), or

(b) conformity to type based on internal production control plus supervised vessel checks at random intervals (Module C2) as described in paragraph 14 of Schedule 2.

(3) Before placing a category A.3 vessel on the market, that vessel must be subjected to either–

(a) the procedure referred to in paragraph (1) (Module C1), or

(b) conformity to type based on internal production control (Module C) as described in paragraph 18 of Schedule 2.

(4) Paragraphs 11 to 13 of Schedule 2 make provision in respect of conformity to type based on internal production control plus supervised testing (Module C1) and related matters.

(5) Paragraphs 15 to 17 of Schedule 2 make provision in respect of conformity to type based on internal production control plus supervised vessel checks at random intervals (Module C2) and related matters.

(6) Paragraphs 19 and 20 of Schedule 2 make provision in respect of conformity to type based on internal production control (Module C) and related matters.

Records and correspondence language requirements

42.  The records and correspondence relating to the conformity assessment procedures referred to in regulations 40 (conformity assessment procedures prior to manufacture) and 41 (conformity assessment procedures prior to placing a vessel on the market) must be in an official language of the Member State in which the notified body is established or in a language acceptable to that body.

EU declaration of conformity

43.  The EU declaration of conformity in respect of a category A vessel must—

(a) state that the fulfilment of the essential safety requirements has been demonstrated in respect of the vessel;

(b) have the model structure set out in Schedule 3; and

(c) contain the elements specified in Schedule 2 for the relevant conformity assessment procedure followed in respect of the vessel.

Identification number

44.—(1) The CE marking, affixed to the vessel or its data plate pursuant to regulation 6 (EU declaration of conformity, CE marking and inscriptions for category A vessels), must be followed by the identification number of the notified body involved in the relevant conformity assessment procedure pursuant to regulation 41(conformity assessment procedures prior to placing a vessel on the market).

(2) The identification number of the notified body must be affixed—

(a) by the notified body; or

(b) where instructed to do so by the notified body, by the manufacturer or the manufacturer’s authorised representative.

PART 4 Notification of Conformity Assessment Bodies

Notified bodies

45.—(1) A notified body is a conformity assessment body—

(a) which has been notified by the Secretary of State to the European Commission and to the other Member States–

(i) under regulation 46 (notification); or

(ii) before the date these Regulations come into force, in accordance with Article 17 of the Directive; and

(b) in respect of which no objections were raised by the European Commission or other Member States–

(i) within 2 weeks of the date of notification, where the notification is accompanied by an accreditation certificate; or

(ii) within 2 months of the date of notification, where the notification is not accompanied by an accreditation certificate.

(2) Paragraph (1) has effect subject to regulation 51 (changes to notifications).

Notification

46.—(1) The Secretary of State may notify to the European Commission and the other Member States only those conformity assessment bodies that qualify for notification.

(2) A conformity assessment body qualifies for notification if the first and second conditions below are met.

(3) The first condition is that the conformity assessment body has applied to the Secretary of State to become a notified body and the application is accompanied by–

(a) a description of–

(i) the conformity assessment activities that the conformity assessment body intends to carry out;

(ii) the conformity assessment module in respect of which the conformity assessment body claims to be competent;

(iii) the category of vessels in respect of which the conformity assessment body claims to be competent; and either

(b) an accreditation certificate; or

(c) the documentary evidence necessary for the Secretary of State to verify, recognise and regularly monitor the conformity assessment body’s compliance with the notified body requirements.

(4) The second condition is that the Secretary of State is satisfied that the conformity assessment body meets the notified body requirements.

(5) For the purposes of paragraph (4), the Secretary of State may accept an accreditation certificate, provided in accordance with paragraph (3)(b), as sufficient evidence that the conformity assessment body meets the notified body requirements.

(6) When deciding whether to notify a conformity assessment body that qualifies for notification to the European Commission and the other Member States, the Secretary of State may–

(a) have regard to any other matter which appears to the Secretary of State to be relevant; and

(b) set conditions that the conformity assessment body must meet.

(7) The Secretary of State must inform the European Commission of the United Kingdom’s procedures for the assessment and notification of conformity assessment bodies, and any changes to those procedures.

Presumption of conformity of notified bodies

47.—(1) Where a conformity assessment body demonstrates its conformity with the criteria laid down in a harmonised standard (or part of such standard) the reference of which has been published in the Official Journal, the Secretary of State is to presume that the conformity assessment body meets the notified body requirements covered by that standard (or that part of that standard).

(2) The presumption in paragraph (1) is rebuttable.

Contents of notification

48.  A notification under regulation 46 (notification) must include—

(a) details of—

(i) the conformity assessment activities in respect of which the conformity assessment body has made its application for notification;

(ii) the conformity assessment modules in respect of which the conformity assessment body has made its application for notification; and

(iii) the category of vessels in respect of which the conformity assessment body has made its application for notification; and either

(b) an accreditation certificate; or

(c) documentary evidence which attests to—

(i) the conformity assessment body’s competence; and

(ii) the arrangements in place to ensure that the conformity assessment body will be monitored regularly and will continue to satisfy the notified body requirements.

Monitoring

49.—(1) The Secretary of State must monitor each notified body with a view to verifying that the notified body—

(a) continues to meet the notified body requirements;

(b) meets any conditions set in accordance with regulation 46(6)(b); and

(c) carries out its functions in accordance with these Regulations.

(2) The Secretary of State must inform the European Commission of the United Kingdom’s procedures for the monitoring of notified bodies, and any changes to those procedures.

United Kingdom Accreditation Service

50.  The Secretary of State may authorise the United Kingdom Accreditation Service to carry out the following activities on behalf of the Secretary of State—

(a) assessing whether a conformity assessment body meets the notified body requirements; and

(b) monitoring notified bodies in accordance with regulation 49.

Changes to notifications

51.—(1) Where the Secretary of State determines that a notified body—

(a) no longer meets a notified body requirement, or

(b) is failing to fulfil its obligations under these Regulations, other than a condition referred to in regulation 46(6)(b),

the Secretary of State must restrict, suspend or withdraw the body’s status as a notified body under regulation 45 (notified bodies).

(2) Where the Secretary of State determines that a notified body no longer meets a condition referred to in regulation 46(6)(b), the Secretary of State may restrict, suspend or withdraw the body’s status as a notified body under regulation 45.

(3) In deciding what action is required under paragraph (1) or (2), the Secretary of State must have regard to the seriousness of the non-compliance.

(4) Before taking action under paragraph (1) or (2), the Secretary of State must—

(a) give notice in writing to the notified body of the proposed action and the reasons for it;

(b) give the notified body an opportunity to make representations to the Secretary of State regarding the proposed action within a reasonable period from the date of the notice; and

(c) consider any such representations made by the notified body.

(5) Where the Secretary of State takes action under paragraph (1) or (2), the Secretary of State must immediately inform the European Commission and the other Member States.

(6) Where the Secretary of State has taken action in respect of a notified body under paragraph (1) or (2), or where a notified body has ceased its activity, the notified body must, at the request of the Secretary of State—

(a) transfer its files relating to the activities it has undertaken as a notified body to another notified body or to the Secretary of State; or

(b) keep its files relating to the activities it has undertaken as a notified body available for the Secretary of State and market surveillance authorities for a period of 10 years from the date they were created.

Operational matters in relation to notified bodies

52.—(1) Subject to the terms of its appointment and to paragraph (3), a notified body must carry out the conformity assessment activities and modules in respect of which the body’s notification was made to the European Commission and to the other Member States under regulation 46 (notification).

(2) Where a notified body carries out a conformity assessment procedure, it must do so in accordance with Part 2 of Schedule 4.

(3) A notified body must make provision for a manufacturer to be able to make an appeal against a refusal by the notified body—

(a) to issue an EU-type examination certificate referred to in Schedule 2; or

(b) to affix, or cause to be affixed, the body’s identification number pursuant to regulation 44 (identification number)

Subsidiaries and contractors

53.—(1) A notified body may subcontract specific conformity assessment activities, or use a subsidiary to carry out such activities provided—

(a) the body is satisfied that the subcontractor or subsidiary meets the notified body requirements;

(b) the body has informed the Secretary of State that it is satisfied that the subcontractor or subsidiary meets those requirements; and

(c) the economic operator for whom the activities are to be carried out has consented to the activities being carried out by that person.

(2) The notified body which subcontracts specific conformity assessment activities or uses a subsidiary to carry out such activities remains responsible for the proper performance of those activities (irrespective of where the subcontractor or subsidiary is established).

(3) Where a notified body subcontracts, or uses a subsidiary to carry out, a specific conformity assessment activity, the notified body must, for a period of 10 years beginning on the day on which the activity is first carried out, keep available for inspection by the Secretary of State all relevant documentation concerning—

(a) the assessment of the qualifications of the subcontractor or the subsidiary; and

(b) the conformity assessment activity carried out by the subcontractor or subsidiary.

PART 5 Market surveillance and enforcement

Designation of market surveillance authority

54.—(1) In Great Britain, the market surveillance authority is—

(a) within its area, the weights and measures authority in relation to vessels for private use or consumption; and

(b) subject to paragraph (3), the HSE in relation to vessels for use in the workplace.

(2) In Northern Ireland, the market surveillance authority is—

(a) within its area, the district council in relation to vessels for private use or consumption; and

(b) the HSENI in relation to vessels for use in the workplace.

(3) In so far as these Regulations apply to vessels intended exclusively or primarily for use on relevant nuclear sites, the market surveillance authority is the Office for Nuclear Regulation.

(4) In paragraph (3), “relevant nuclear site” means a site which is–

(a) a GB nuclear site (within the meaning given in section 68 of the Energy Act 2013(11);

(b) an authorised defence site (within the meaning given in regulation 2(1) of the Health and Safety (Enforcing Authority) Regulations 1998(12)); or

(c) a new nuclear build site (within the meaning given in regulation 2A of those Regulations).

Enforcement

55.—(1) Subject to paragraph (2), these Regulations and RAMS (in its application to vessels) must be enforced by the market surveillance authority.

(2) The Secretary of State, or a person appointed by the Secretary of State to act on behalf of the Secretary of State, may enforce these Regulations and RAMS (in its application to vessels).

(3) Before taking action under paragraph (2), an enforcing authority which is not the market surveillance authority must notify the market surveillance authority of the proposed action.

(4) In Scotland, only the Lord Advocate may prosecute offences under these Regulations.

Enforcement Powers

56.—(1) Schedule 5 has effect where the enforcing authority is—

(a) a weights and measures authority;

(b) a district council; or

(c) the Secretary of State.

(2) Schedule 6 has effect where the enforcing authority is the HSE or the Office for Nuclear Regulation.

(3) Schedule 7 has effect where the enforcing authority is the HSENI.

(4) In addition to the powers available to an enforcing authority under, as appropriate, paragraph (1), (2) or (3), the authority may use the powers set out in Schedule 8.

Exercise of enforcement powers

57.  When enforcing these Regulations or RAMS (in its application to vessels), the enforcing authority must exercise its powers in a manner which is consistent with—

(a) regulation 58 (evaluation of vessels presenting a risk);

(b) regulation 59 (enforcement action in respect of vessels which are not in conformity);

(c) regulation 60 (EU safeguard procedure);

(d) regulation 61 (enforcement action in respect of vessels which are in conformity but which present a risk);

(e) regulation 62 (enforcement action in respect of formal non-compliance); and

(f) regulation 63 (restrictive measures).

Evaluation of vessels presenting a risk

58.—(1) Where the market surveillance authority has sufficient reason to believe that a vessel presents a risk to the health or safety of persons, to domestic animals or to property, the market surveillance authority must carry out an evaluation in relation to the vessel covering the relevant requirements of Part 2 applying in respect of that vessel.

(2) Where an enforcing authority other than the market surveillance authority has sufficient reason to believe that a vessel presents a risk to the health or safety of persons, to domestic animals or to property, that enforcing authority may carry out an evaluation in relation to the vessel covering the relevant requirements of Part 2 applying in respect of that vessel.

Enforcement action in respect of vessels which are not in conformity

59.—(1) Where, in the course of the evaluation referred to in regulation 58 (evaluation of vessels presenting a risk), an enforcing authority finds that the vessel is not in conformity with Part 2, it must, without delay, require a relevant economic operator to—

(a) take appropriate corrective actions to bring the vessel into compliance with those requirements within a prescribed period;

(b) withdraw the vessel from the market within a prescribed period; or

(c) recall the vessel within a prescribed period.

(2) The enforcing authority must inform the notified body which carried out the conformity assessment procedure in respect of the vessel of—

(a) the respects in which the vessel is not in conformity with Part 2; and

(b) the corrective actions which it requires the relevant economic operator to take.

(3) Where the enforcing authority is not the Secretary of State and it considers that the lack of conformity referred to in paragraph (1) is not restricted to the United Kingdom, it must notify the Secretary of State of—

(a) the results of the evaluation; and

(b) the corrective actions which it requires the relevant economic operator to take.

(4) Where the Secretary of State receives a notice under paragraph (3), or otherwise considers that the lack of conformity referred to in paragraph (1) is not restricted to the United Kingdom, the Secretary of State must inform the European Commission and other Member States of—

(a) the results of the evaluation; and

(b) the actions which the enforcing authority requires the relevant economic operator to take.

(5) Where the relevant economic operator does not take adequate corrective action within the prescribed period referred to in paragraph (1), the enforcing authority must take all appropriate measures to—

(a) prohibit or restrict the vessel being made available on the market in the United Kingdom;

(b) withdraw the vessel from the United Kingdom market; or

(c) recall the vessel.

(6) Where the enforcing authority is not the Secretary of State and it takes measures under paragraph (5), it must notify the Secretary of State of those measures without delay.

(7) Where the Secretary of State receives a notice under paragraph (6), or takes measures under paragraph (5), the Secretary of State must notify the European Commission and the other Member States of those measures without delay.

(8) The notices in paragraphs (6) and (7) must include all available details and, in particular—

(a) the data necessary for the identification of the vessel;

(b) the origin of the vessel;

(c) the nature of the lack of conformity alleged and the risk involved;

(d) the nature and duration of the measures taken;

(e) the arguments put forward by the relevant economic operator; and

(f) whether the lack of conformity is due to either of the following—

(i) the failure of the vessel to meet relevant requirements relating to the health or safety of persons, to the protection of domestic animals or to property; or

(ii) shortcomings in a harmonised standard referred to in regulation 39 (presumption of conformity of category A vessels) conferring a presumption of conformity.

(9) In this regulation, “prescribed period” means a period which is—

(a) prescribed by the enforcing authority; and is

(b) reasonable and commensurate with the nature of the risk presented by the vessel.

(10) An economic operator must ensure that it takes the action required by an enforcing authority under paragraph (1) of this regulation in respect of all the vessels that it has made available on the market throughout the EU.

EU safeguard procedure

60.—(1) Where the market surveillance authorities of another Member State have initiated the procedure under Article 35 of the Directive (as amended from time to time), each enforcing authority (other than the Secretary of State) must, without delay, inform the Secretary of State of—

(a) any measures taken by the enforcing authority in respect of the vessel;

(b) any additional information which the enforcing authority has at its disposal relating to the lack of conformity of the vessel.

(2) Where the market surveillance authorities of another Member State have initiated the procedure under Article 35 of the Directive (as amended from time to time), the Secretary of State must, without delay, inform the European Commission and the other Member States of—

(a) any measures taken by an enforcing authority in respect of the vessel;

(b) any additional information which an enforcing authority has at its disposal relating to the lack of conformity of the vessel; and

(c) any objections that the Secretary of State may have to the measure taken by the Member State initiating the procedure.

(3) Where a measure taken by another Member State in respect of a vessel is deemed justified under Article 35(7) of the Directive, the market surveillance authority must ensure that appropriate measures, such as withdrawal, are taken in respect of the vessel without delay.

(4) Where a measure taken by another Member State under in respect of a vessel is considered by the European Commission to be justified pursuant to Article 36(1) of the Directive (as amended from time to time), the market surveillance authority must take all necessary measures to ensure that the vessel is withdrawn from the United Kingdom market.

(5) Where the market surveillance authority is not the Secretary of State and it has taken action under paragraphs (3) or (4), it must notify the Secretary of State.

(6) Where the Secretary of State receives a notice under paragraph (5), or has taken action under paragraphs (3) or (4), the Secretary of State must inform the European Commission of the action taken.

(7) If a measure taken by an enforcing authority pursuant to regulation 59 is considered unjustified by the European Commission under Article 36(1) of the Directive (as amended from time to time), the enforcing authority must withdraw that measure.

Enforcement action in respect of vessels which are in conformity, but which present a risk

61.—(1) Where, having carried out an evaluation under regulation 58 (evaluation of vessels presenting a risk), an enforcing authority finds that although a vessel is in conformity with Part 2, it presents a risk to the health or safety of persons, to domestic animals or to property, the enforcing authority must require a relevant economic operator to take all appropriate measures to—

(a) ensure that the vessel concerned, when placed on the market, no longer presents such a risk;

(b) withdraw the vessel within a prescribed period; or

(c) recall the vessel within a prescribed period.

(2) Where an enforcing authority is not the Secretary of State and it takes measures under paragraph (1), it must notify the Secretary of State immediately.

(3) Where the Secretary of State receives a notice under paragraph (2) or takes measures under paragraph (1), the Secretary of State must notify the European Commission and the other Member States immediately.

(4) The notices referred to in paragraphs (2) and (3) must include all available details and, in particular—

(a) the data necessary for the identification of the vessel;

(b) the origin and the supply chain of the vessel;

(c) the nature of the risk involved; and

(d) the nature and duration of the measures taken by the enforcing authority.

(5) In this regulation, “prescribed period” means a period which—

(a) is prescribed by the enforcing authority; and

(b) is reasonable and commensurate with the nature of the risk presented by the vessel.

Enforcement action in respect of formal non-compliance

62.—(1) Where an enforcing authority makes one of the following findings in relation to a vessel, it must require a relevant economic operator to remedy the non-compliance concerned within such reasonable period as the enforcing authority specifies—

(a) in relation to a category A vessel—

(i) no CE marking has been affixed;

(ii) the CE marking has been affixed otherwise than in accordance with regulation 6 (EU declaration of conformity, CE marking and inscriptions for category A vessels) or 38 (prohibition on improper use of CE marking);

(iii) where a notified body is involved in the production control phase for the vessel—

(aa) no identification number in respect of the notified body has been affixed; or

(bb) an identification number in respect of the notified body has been affixed otherwise than in accordance with regulation 44 (identification number);

(iv) the EU declaration of conformity has not been drawn up or has been drawn up otherwise than in accordance with regulations 6 (EU declaration of conformity, CE marking and inscriptions for category A vessels) or 43 (EU declaration of conformity);

(v) the technical documentation is unavailable or incomplete;

(b) in relation to a category A or a category B vessel—

(i) an inscription has not been affixed or has been affixed otherwise than in accordance with regulation 6 (EU declaration of conformity, CE marking and inscriptions for category A vessels) or 7 (inscriptions for category B vessels);

(ii) the information specified in regulation 11 (labelling of vessels) or 21 (information identifying importer) is absent, false or incomplete;

(iii) any other administrative requirement imposed on the manufacturer or importer under Part 2 has not been fulfilled.

(2) The enforcing authority must not take any enforcement action against the relevant economic operator under these Regulations in respect of the non-compliance concerned until the period referred to in paragraph (1) has elapsed.

(3) Where the non-compliance referred to in paragraph (1) persists, the enforcing authority must take all appropriate measures to—

(a) restrict or prohibit the vessel being made available on the market;

(b) ensure that the vessel is withdrawn; or

(c) ensure that the vessel is recalled.

(4) Nothing in this regulation is to prevent an enforcing authority from taking action under regulations 59 (enforcement action in respect of vessels which are not in conformity) or 60(3) (EU safeguard procedure).

Restrictive measures

63.  When enforcing these Regulations, an enforcing authority must comply with the requirements of Article 21 of RAMS (as amended from time to time) in relation to any measure to—

(a) prohibit or restrict a vessel being made available on the market;

(b) withdraw a vessel; or

(c) recall a vessel.

Offences

64.—(1) It is an offence for a person to contravene or fail to comply with any requirement of regulations 4 to 13, 14(4), 16 to 26, 27(4), 28 to 33, 34(4) or 37 to 38.

(2) It is an offence for any person to contravene or fail to comply with any requirement of a withdrawal or recall notice served on that person by an enforcing authority under these Regulations.

Penalties

65.—(1) A person guilty of an offence under regulation 64 (offences) (other than an offence arising from a contravention of or failure to comply with a requirement of regulation 8 or regulation 26) is liable on summary conviction—

(a) in England and Wales, to a fine or imprisonment for a term not exceeding three months, or to both;

(b) in Scotland, to a fine not exceeding level 5 on the standard scale or imprisonment for a term not exceeding three months, or to both; and

(c) in Northern Ireland, to a fine not exceeding level 5 on the standard scale or imprisonment for a term not exceeding three months, or to both.

(2) A person guilty of an offence arising from a contravention of or failure to comply with a requirement of regulation 8 or regulation 26 is liable on summary conviction—

(a) in England and Wales, to a fine;

(b) in Scotland and Northern Ireland, to a fine not exceeding level 5 on the standard scale.

Defence of due diligence

66.—(1) Subject to paragraphs (2) to (5), in proceedings for an offence under regulation 64 (offences), it is a defence for a person (“P”) to show that P took all reasonable steps and exercised all due diligence to avoid committing the offence.

(2) P may not rely on a defence under paragraph (1) which involves a third party allegation unless P has—

(a) served a notice in accordance with paragraph (3); or

(b) obtained the leave of the court.

(3) The notice referred to in paragraph (2) must—

(a) give any information in P’s possession which identifies or assists in identifying the person who—

(i) committed the act or default; or

(ii) supplied the information on which P relied.

(b) be served on the person bringing the proceedings not less than seven clear days before—

(i) in England, Wales and Northern Ireland, the hearing of the proceedings;

(ii) in Scotland, the trial diet.

(4) P may not rely on a defence under paragraph (1) which involves an allegation that the commission of the offence was due to reliance on information supplied by another person unless it was reasonable for P to have relied upon the information, having regard in particular—

(a) to the steps that P took, and those which might reasonably have been taken, for the purpose of verifying the information; and

(b) to whether P had any reason to disbelieve the information.

(5) In this regulation, “third party allegation” means an allegation that the commission of the offence was due—

(a) to the act or default of another person; or

(b) to reliance on information supplied by another person.

Liability of persons other than principal offender

67.—(1) Where the commission of an offence by one person (“A”) under regulation 64 (offences) is due to anything which another person (“B”) did or failed to do in the course of business, B is guilty of the offence and may be proceeded against and punished, whether or not proceedings are taken against A.

(2) Where a body corporate commits an offence, a relevant person is also guilty of the offence where the body corporate’s offence was committed—

(a) with the consent or connivance of the relevant person; or

(b) as a result of the negligence of the relevant person.

(3) In paragraph (2), “relevant person” means—

(a) a director, manager, secretary or other similar officer of the body corporate;

(b) in relation to a body corporate managed by its members, a member of that body corporate performing managerial functions;

(c) in relation to a Scottish partnership, a partner;

(d) a person purporting to act as a person described in sub-paragraphs (a), (b) or (c).

Time limit for prosecution of offences

68.—(1) Subject to paragraph (4), in England and Wales an information relating to an offence under regulation 64 (offences) that is triable by a magistrates’ court may be so tried if it is laid within 12 months after the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the knowledge of the prosecutor.

(2) Subject to paragraph (4), in Scotland—

(a) summary proceedings for an offence under regulation 64 may be commenced before the end of 12 months after the date on which evidence sufficient in the Lord Advocate’s opinion to justify the proceedings came to the Lord Advocate’s knowledge; and

(b) section 136(3) of the Criminal Procedure (Scotland) Act 1995(13) (time limit for certain offences) applies for the purpose of this paragraph as it applies for the purpose of that section.

(3) Subject to paragraph (4), in Northern Ireland summary proceedings for an offence under regulation 64 may be instituted within 12 months after the date on which evidence sufficient in the opinion of the prosecutor to justify proceedings comes to the knowledge of the prosecutor.

(4) No proceedings may be brought more than three years after the commission of the offence.

(5) For the purposes of this regulation a certificate of the prosecutor (or in Scotland, the Lord Advocate) as to the date on which the evidence referred to paragraphs (1), (2) or (3) came to light, is conclusive evidence.

(6) This regulation has effect subject to paragraph 1(n) of Schedule 6 and paragraph 1(n) of Schedule 7.

Service of documents

69.—(1) Any document required or authorised by these Regulations to be served on a person may be served by—

(a) delivering it to that person in person;

(b) leaving it at that person’s proper address;

(c) sending it by post or electronic means to that person’s proper address;

(2) In the case of a body corporate, a document may be served on a director of that body.

(3) In the case of a partnership, a document may be served on a partner or a person having control or management of the partnership business.

(4) For the purposes of this regulation, “proper address” means—

(a) in the case of a body corporate or its director—

(i) the registered or principal office of that body; or

(ii) the email address of the secretary or clerk of that body;

(b) in the case of a partnership, a partner or person having control or management of the partnership business—

(i) the principal office of the partnership; or

(ii) the email address of a partner or person having that control or management;

(c) in any other case, a person’s last known address, which address may be an email address.

(5) If a person to be served with a document has specified an address in the United Kingdom (other than that person’s proper address) at which that person or someone on that person’s behalf will accept service, that address must also be treated as that person’s proper address.

(6) In this regulation, “partnership” includes a Scottish partnership.

Recovery of expenses of enforcement

70.—(1) This regulation applies where a person commits an offence under regulation 64 (offences).

(2) The court may (in addition to any other order it may make as to costs or expenses) order the person to reimburse the enforcing authority for any expenditure which the enforcing authority has incurred in investigating the offence.

Action by enforcing authority

71.—(1) An enforcing authority may itself take action which an economic operator could have been required to take by a notice served under these Regulations where the conditions for serving such a notice are met and either—

(a) the enforcing authority has been unable to identify any economic operator on whom to serve such a notice; or

(b) the economic operator on whom such a notice has been served has failed to comply with it.

(2) If the enforcing authority has taken action as a result of the condition in paragraph (1)(b) being met, the authority may recover from that person as a civil debt any costs or expenses reasonably incurred by the enforcing authority in taking the action.

(3) A civil debt recoverable under paragraph (2) may be recovered summarily—

(a) in England and Wales by way of a complaint pursuant to section 58 of the Magistrates’ Courts Act 1980(14);

(b) in Northern Ireland in proceedings under article 62 of the Magistrates’ Court (Northern Ireland) Order 1981(15).

Appeals against notices

72.—(1) Any application for an order to vary or set aside the terms of a notice served under these Regulations may be made—

(a) by the economic operator on whom the notice has been served; and

(b) in the case of a notice other than a recall notice by a person having an interest in the vessel in respect of which the notice has been served.

(2) An application must be made before the end of the period of 21 days beginning with the day on which the notice was served.

(3) The appropriate court may only make an order setting aside a notice served under these Regulations if satisfied—

(a) that the requirements of these Regulations and RAMS (in its application to vessels) have been complied with in respect of the vessel to which the notice relates; or

(b) that the enforcing authority failed to comply with regulation 57 (exercise of enforcement powers) when serving the notice.

(4) On an application to vary the terms of a notice served under these Regulations, the appropriate court may vary the terms of the notice as it considers appropriate.

(5) In this regulation—

(a) the “appropriate court” is to be determined in accordance with regulation 73 (appropriate court for appeals against notices); and

(b) “notice” means—

(i) a prohibition notice served in accordance with Schedule 5;

(ii) a notice to warn served in accordance with Schedule 5;

(iii) a suspension notice served in accordance with Schedule 5;

(iv) a compliance notice served in accordance with Schedule 8;

(v) a withdrawal notice served in accordance with Schedule 8;

(vi) a recall notice served in accordance with Schedule 8.

Appropriate court for appeals against notices

73.—(1) In England and Wales or Northern Ireland, the appropriate court for the purposes of regulation 72 (appeals against notices) is—

(a) the court in which proceedings have been brought in relation to the vessel for an offence under regulation 64 (offences);

(b) an employment tribunal seized of appeal proceedings against a notice which relates to the vessel and which has been served under or by virtue of paragraph 1 of Schedule 6;

(c) an industrial tribunal seized of appeal proceedings against a notice which relates to the vessel and which has been served under or by virtue of paragraph 1 of Schedule 7; or

(d) in any other case, a magistrates’ court.

(2) In Scotland, the appropriate court for the purposes of regulation 72 is—

(a) the sheriff court within whose sheriffdom the appellant resides or, as the case may be, has a registered or principal office; or

(b) an employment tribunal seized of appeal proceedings against a notice which relates to the vessel and which has been served under or by virtue of paragraph 1 of Schedule 6.

(3) A person aggrieved by an order made by a magistrates’ court in England and Wales or Northern Ireland pursuant to an application under regulation 72, or by a decision of such a court not to make such an order, may appeal against that order or decision—

(a) in England and Wales, to the Crown Court;

(b) in Northern Ireland, to the county court.

Compensation

74.—(1) Where an enforcing authority other than the HSE, the HSENI or the Office for Nuclear Regulation serves a relevant notice in respect of a vessel, that authority is liable to pay compensation to a person having an interest in the vessel for any loss or damage suffered by reason of the notice if both of the conditions in paragraph (2) are met.

(2) The conditions are that—

(a) the vessel in respect of which the relevant notice was served neither—

(i) presents a risk to the health and safety of persons, to domestic animals or to property; nor

(ii) contravenes any requirement of these Regulations; and

(b) the relevant notice was not served because of neglect or default by a relevant economic operator.

(3) In this regulation, “relevant notice” means a suspension, withdrawal or recall notice as referred to in regulation 72(5)(b).

PART 6 Miscellaneous

Review

75.—(1) The Secretary of State must from time to time—

(a) carry out a review of these Regulations;

(b) set out the conclusions of the review in a report; and

(c) publish the report.

(2) In carrying out the review the Secretary of State must, so far as is reasonable, have regard to how the Directive is implemented in other Member States.

(3) The report must, in particular—

(a) set out the objectives intended to be achieved by the regulatory system established by these Regulations;

(b) assess the extent to which those objectives are achieved; and

(c) assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved by a system that imposes less regulation.

(4) The first report under this regulation must be published before the end of the period of five years beginning on the date these Regulations come into force.

(5) Reports under this regulation are afterwards to be published at intervals not exceeding five years.

Transitional provision

76.—(1) A certificate issued by a United Kingdom approved body under regulations 10 (EC certificate of adequacy), 11 (EC type-examination certificate), 12(7) (EC verification) and 13 (EC certificate of conformity) of the 1991 Regulations, or under the corresponding provisions of another Member State’s enactment implementing the 2009 Directive, is valid under these Regulations.

(2) In this regulation, “2009 Directive” means Directive 2009/105/EC of the European Parliament and of the Council of 16 September 2009 relating to simple pressure vessels(16).

Revocations and savings

77.—(1) Subject to paragraph (2), the 1991 Regulations and the Simple Pressure Vessels (Safety) (Amendment) Regulations 1994(17) are revoked.

(2) The Regulations referred to in paragraph (1) continue to apply, as if they had not been revoked, to a vessel placed on the market before the commencement date.

(3) Accordingly, despite its repeal by regulation 78(7)(a), the entry in paragraph 10 of Schedule 5 to the Consumer Rights Act 2015 relating to the 1991 Regulations is to continue to have effect in relation to a vessel placed on the market before the commencement date.

Consequential Amendments

78.—(1) In Schedule 1 to the Provision and Use of Work Equipment Regulations 1998(18) omit the entry “The Simple Pressure Vessels (Safety) Regulations 1991” and in the appropriate place insert “The Simple Pressure Vessels (Safety) Regulations 2016”.

(2) In Schedule 2 to the Provision and Use of Work Equipment Regulations (Northern Ireland) 1999(19) omit the entry “The Simple Pressure Vessels (Safety) Regulations 1999” and in the appropriate place insert “The Simple Pressure Vessels (Safety) Regulations 2016”.

(3) The Enterprise Act 2002 (Part 9 Restrictions on Disclosure of Information) (Amendment and Specification) Order 2003(20) is amended as follows—

(a) in Schedule 3, omit the entry “Paragraph 3 of Schedule 5 to the Simple Pressure Vessels (Safety) Regulations 1991”, and after the last entry insert “Regulation 55 of the Simple Pressure Vessels (Safety) Regulations 2016 (in so far as information comes to a public authority enforcing those regulations in respect of vessels for private use or consumption)”;

(b) in Schedule 4 omit the entry “paragraph 3 of Schedule 5 to the Simple Pressure Vessels (Safety) Regulations 1991”, and after the last entry insert “Regulation 55 of the Simple Pressure Vessels (Safety) Regulations 2016 (in so far as information is disclosed to a public authority enforcing those regulations in respect of vessels for private use or consumption)”; and

(c) in Schedule 5, omit the entry in respect of the Simple Pressure Vessels (Safety) Regulations 1991.

(4) The Legislative and Regulatory Reform (Regulatory Functions) Order 2007(21) is amended as follows—

(a) in Part 3 of the Schedule, under the heading “Public health and safety”, omit the entry “Simple Pressure Vessels (Safety) Regulations 1991” and after the last entry insert “Simple Pressure Vessels (Safety) Regulations 2016”; and

(b) in Part 13 of the Schedule, omit the entry “Simple Pressure Vessels (Safety) Regulations 1991” and after the last entry insert “Simple Pressure Vessels (Safety Regulations 2016”.

(5) The Co-ordination of Regulatory Enforcement (Regulatory Functions in Scotland and Northern Ireland) Order 2009(22) is amended as follows—

(a) in Part 4 of Schedule 1, omit the entry “Simple Pressure Vessels (Safety) Regulations 1991” and after the last entry insert “Simple Pressure Vessels (Safety) Regulations 2016”; and

(b) in Part 2 of Schedule 2, omit the entry “Simple Pressure Vessels (Safety) Regulations 1991” and after the last entry insert “Simple Pressure Vessels (Safety) Regulations 2016”.

(6) In the Energy Act 2013 (Office for Nuclear Regulation) (Consequential Amendments, Transitional Provisions and Savings) Order 2014(23), omit paragraph 52 of Schedule 3.

(7) Subject to paragraph (3) of regulation 77, paragraph 10 of Schedule 5 to the Consumer Rights Act 2015(24) is amended as follows–

(a) omit the entry “paragraph 3(a) of Schedule 5 to the Simple Pressure Vessels (Safety) Regulations 1991 (SI 1991/2749);”; and

(b) at the appropriate place insert—

“regulation 55(1) or (2) of the Simple Pressure Vessels (Safety) Regulations 2016 (SI 2016/1092);”.

Margot James

Parliamentary Under Secretary of State, Minister for Small Business, Consumers and Corporate Responsibility

Department for Business, Energy and Industrial Strategy

15th November 2016