The Recreational Craft Regulations 2004

Citation, commencement and revocation U.K.

1.—(1) These Regulations may be cited as the Recreational Craft Regulations 2004.

(2) This regulation, regulations 2, 12 and 13 shall come into force on 30th June 2004, except that regulation 2(2)(a) shall not have effect until the date of the coming into force of the Decision by the EEA Joint Committee by which the application of the amendment M1 of the Directive is extended to the EEA.

(3) The remaining regulations shall come into force on 1st January 2005.

(4) The Recreational Craft Regulations 1996 M2 are hereby revoked save as regards their application to:

(a) any product (as defined in those Regulations) placed on the market (as so defined) prior to 1st January 2005;

(b) any such product to which these Regulations do not apply by virtue of regulation 6;

(c) any such product placed on the market in the EEA (other than in [F1 the European Union]) until such time as regulation 2(2)(a) has effect; and

(d) the appointment or termination of appointment of any notified body for the purposes of those Regulations.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

Marginal Citations

M1 Directive 2003/44/EC (OJ No. L214, 26.8.2003, p. 18).

M2 S.I. 1996/1353, amended by S.I. 1998/116.

Interpretation U.K.

2.—(1) In these Regulations, the following definitions shall apply—

“the 1987 Act” means the Consumer Protection Act 1987 M3 ;

“authorised representative” means any person established in [F1 the European Union] who has received a written mandate from the manufacturer to act on his behalf with regard to the latter’s obligation under the Directive;

“CE marking” means the CE conformity marking referred to in regulation 8 consisting of the initials “CE” taking the form of the specimen given in Schedule 4;

“the Commission” means the Commission of [F1 the European Union;

“component” means any one of the components referred to in Schedule 2 when placed on the Community market and when intended for installation in recreational craft [F2 or personal watercraft];

“the Directive” means Directive 94/25/EC of the European Parliament and of the Council on the approximation of the laws, regulations and administrative provisions of the member States relating to recreational craft M4 ;

“enforcement authority” shall be construed in accordance with regulation 15;

“engine family” means the manufacturer’s grouping of engines which, through their design, are expected to have similar exhaust emission characteristics and which comply with the exhaust emissions requirements of the Directive;

“essential requirements” means the requirements in Annex I which is set out in Schedule 1;

“harmonised standard” means a technical specification adopted by the European Committee for Standardisation or the European Committee for Electrotechnical Standardisation or both upon a remit from the Commission in accordance with Directive 98/34/EC of the European Parliament and of the Council laying down a procedure for the provision of information in the field of technical standards and regulations and of rules on Information Society services M5 ;

“major craft conversion” means a conversion of a craft which:

(a)

changes the means of propulsion of the craft;

(b)

involves a major engine modification; or

(c)

alters the craft to such an extent that it is considered a new craft;

“major engine modification” means the modification of an engine which:

(a)

could potentially cause the engine to exceed the emission limits set out in Annex I.B., which is set out in Schedule 1, excluding routine replacement of engine components that do not alter the emission characteristics; or

(b)

increases the rated power of the engine by more than 15%;

“manufacturer” means any person who designs and manufactures a product or who has such a product designed and/or manufactured with a view to placing it on the market on his own behalf, and in respect of a product which requires a declaration specified in Annex III, which is set out in Schedule 3, shall include the builder of that product;

“means of propulsion” means the mechanical method by which the craft is driven, in particular marine propellers or waterjet mechanical drive systems;

“notified body” shall be construed in accordance with regulation 11;

“personal watercraft” means a vessel less than 4 metres in length which uses an internal combustion engine having a water jet pump as its primary source of propulsion and designed to be operated by a person or persons sitting, standing or kneeling on, rather than within the confines of, a hull;

“placing on the market” includes (except for the purposes of the definition of “component”, regulations 3(1)(c)(ii), 3(2), 4(a)(vi) and (vii), 4(b)(i)(bb), 4(b)(iii), 4(c)(ii), 7(2)(b)(i) (second reference only), 7(2)(c), 7(3)(b) and 16(2)) putting into service, and cognate expressions shall be construed accordingly;

“product” means any product described in regulation 3(1);

“propulsion engine” means any spark or compression ignition, internal combustion engine used for propulsion purposes, including 2-stroke and 4-stroke inboard, stern-drive with or without integral exhaust and outboard engines;

“recreational craft” means any boat of any type regardless of its means of propulsion—

(a)

whose hull, when measured in accordance with the appropriate harmonised standards, is not less than 2.5 metres and not more than 24 metres in length; and

(b)

which is intended for sports or leisure purposes;

and “partly completed recreational craft” or “partly completed boat”, as the case may be, shall be construed accordingly; and

“transposed harmonised standard” means a standard the reference number of which is published—

(a)

in the United Kingdom, by the Secretary of State in such manner as she considers appropriate; or

(b)

in another member State of [F1 the European Union],

and which corresponds to a harmonised standard the reference number of which is published in the Official Journal of [F1 the European Union].

(2) In these Regulations—

(a) except for the references to [F1 the European Union] in the definition of “the Commission” and in relation to the Official Journal, a reference to [F1 the European Union] includes a reference to the EEA, and a reference to a member State includes a reference to an EEA State: for the purposes of this sub-paragraph—

(i) the “EEA” means in the European Economic Area;

(ii) an “EEA State” means a State which is a Contracting Party to the EEA Agreement; and

(iii) the “EEA Agreement” means the Agreement on the European Economic Area signed at Oporto on 2nd May 1992 as adjusted by the Protocol signed at Brussels on 17th March 1993 M6 ; and

(b) a reference to an Annex is a reference to an Annex of the Directive.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

F2 Words in reg. 2(1) added (1.1.2005) by The Recreational Craft (Amendment) Regulations 2004 (S.I. 2004/3201), regs. 1, 2(a)

Marginal Citations

M3 1987 c. 43.

M4 OJ No. L164, 30.6.94, p. 15, as amended by Directive 2003/44/EC of the European Parliament and of the Council (OJ No. L214, 26.8.2003, p. 18).

M5 OJ No. L204, 21.7.98, p. 37, as amended by Directive 98/48/EC (OJ No. L217, 5.8.98, p. 18).

M6 The application of Directive 94/25/EC was extended to the EEA from 1st February 1995 by virtue of Decision 44/94 of the EEA Joint Committee (OJ No. L372, 31.12.94, p. 20) which added a reference to that Directive in a new chapter XXXL to Annex II to the EEA Agreement. At the time of making these Regulations, no such Decision has been made in respect of Directive 2003/44/EC.

Application U.K.

3.— (1) Subject to paragraph (3) and regulations 4, 5 and 6, these Regulations apply to any product of the following descriptions:

(a) with regard to design and construction, to—

(i) recreational craft and partly completed boats;

(ii) personal watercraft; and

(iii) components;

(b) with regard to exhaust emissions, to—

(i) propulsion engines which are installed or specifically intended for installation on or in recreational craft and personal watercraft; and

(ii) propulsion engines installed on or in such craft that are subject to a major engine modification; and

(c) with regard to noise emissions, to—

(i) recreational craft with stern drive engines without integral exhausts or inboard propulsion engine installations;

(ii) recreational craft with stern drive engines without integral exhausts or with inboard propulsion installations which are subject to a major craft conversion and subsequently placed on the Community market within five years following conversion;

(iii) personal watercraft; and

(iv) outboard engines and stern drive engines with integral exhausts intended for installation on recreational craft.

(2) The application of these Regulations to any recreational craft or partly completed recreational craft shall not be prevented by the fact that the said craft could be used for charter or for recreational boating training when it is placed on the market for recreational purposes.

(3) The requirements of these Regulations shall not apply to the showing of any product at any trade fair, exhibition, demonstration or the like provided that a visible sign clearly indicates that the product in question may not be placed on the market until it has been made to comply with them.

Excluded products U.K.

4.   The following are not products for the purposes of these Regulations—

(a) with regard to products referred to in regulation 3(1)(a)—

(i) craft intended solely for racing, including rowing racing boats and training rowing boats, labelled as such by the manufacturer;

(ii) canoes and kayaks, gondolas and pedalos;

(iii) sailing surfboards;

(iv) surfboards, including powered surfboards;

(v) original historical craft and individual replicas thereof designed before 1950, built predominantly with the original materials and labelled as such by the manufacturer;

(vi) experimental craft, provided that they are not subsequently placed on the Community market;

(vii) craft built for own use, provided that they are not subsequently placed on the Community market during a period of five years;

(viii) craft specifically intended to be crewed and to carry passengers for commercial purposes (without prejudice to regulation 3(2)), in particular those defined in Council Directive 82/714/EEC of 4th October 1982 laying down technical requirements for inland waterway vessels M7 , regardless of the number of passengers;

(ix) submersibles;

(x) air cushion vehicles;

(xi) hydrofoils; and

(xii) external combustion steam powered craft, fuelled by coal, coke, wood, oil or gas;

(b) with regard to products referred to in regulation 3(1)(b)—

(i) propulsion engines installed or specifically intended for installation on the following:

(aa) craft intended solely for racing and labelled as such by the manufacturer,

(bb) experimental craft, provided that they are not subsequently placed on the Community market,

(cc) craft specifically intended to be crewed and to carry passengers for commercial purposes (without prejudice to regulation 3(2)), in particular those defined in Directive 82/714/EEC, regardless of the number of passengers,

(dd) submersibles,

(ee) air cushion vehicles, or

(ff) hydrofoils;

(ii) original and individual replicas of historical propulsion engines, which are based on a pre-1950 design, not produced in series and fitted on craft referred to in paragraph (a)(v) and (vii);

(iii) propulsion engines built for own use provided that they are not subsequently placed on the Community market during a period of five years; and

(c) with regard to products referred to in regulation 3(1)(c)—

(i) all craft referred to in paragraph (b); and

(ii) craft built for own use, provided that they are not subsequently placed on the Community market during a period of five years.

Products placed on the market before 1st January 2005 U.K.

5.   These Regulations do not apply to any product which is placed on the market before 1st January 2005.

Exclusion until 31st December 2005 and 31st December 2006 of specified products complying with national rules in force on 16th June 2003 U.K.

6.— (1) These Regulations do not apply to:

(a) any product referred to in regulation 3(1)(a) or any compression ignition or 4-stroke spark ignition engine which is placed on the market on or before 31st December 2005; or

(b) any 2-stroke spark ignition engine which is placed on the market on or before 31st December 2006,

and which complies with any safety provisions with which it would have been required to comply for it to be placed on the market in the United Kingdom on 16th June 2003.

(2) The exclusion provided in paragraph (1) does not apply in the case of any product which—

(a) unless required to bear the CE marking pursuant to any other European Union obligation, bears the CE marking or an inscription liable to be confused therewith; or

(b) bears or is accompanied by any other indication, however expressed, that it complies with the Directive.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

Prohibition on placing on the market U.K.

7.— (1) Subject to paragraph (4), no person shall place on the market any product to which these Regulations apply unless the requirements of paragraph (2) have been complied with in relation to it.

(2) The requirements in respect of any product are that:

(a) it satisfies the essential requirements which are applicable to that product and, for the purpose of satisfying those requirements—

(i) where a transposed harmonised standard covers one or more of the essential requirements, a product which conforms with that standard shall be presumed to comply with that or, as the case may be, those essential requirements; and

(ii) in the case of a partly completed recreational craft, it complies with the requirements which apply at the relevant stage of construction;

(b) except in the case of any partly completed recreational craft and subject to paragraph (3),

(i) the appropriate conformity assessment procedure has been carried out in accordance with regulation 10—

(aa) by the manufacturer;

(bb) by the manufacturer’s authorised representative established in the European Union; or

(cc) in the case of post-construction assessment for recreational craft, if neither the manufacturer nor his authorised representative established within [F1 the European Union] fulfils the responsibilities for the product’s conformity to the Directive, these can be assumed by any person established within [F1 the European Union] who places the product on the market under his own responsibility,

save that (in the case of (aa) or (bb)) where the procedure in Annex V, VII or VIII (which are respectively set out in Schedules 5, 7 and 8) is part of or, as the case may be, is the appropriate conformity assessment procedure and the person placing the product on the market is neither the manufacturer nor his authorised representative established in [F1 the European Union], the obligation to retain the technical documentation, required as part of the appropriate conformity assessment procedure, shall be fulfilled by the person who places that product on the market; and

(ii) in the case of any of the products specified in regulation 8(1), the CE marking has been affixed to it or, in the case of a component, its packaging in accordance with regulation 8 and Schedule 4 to indicate that it conforms with all the provisions of the Directive including the appropriate conformity assessment procedure;

(c) in the case of any partly completed recreational craft, the manufacturer or his authorised representative established in [F1 the European Union] or the person responsible for the placing on the market declares, in accordance with Annex III(a) (which is set out in Schedule 3(a)), that it is intended to be completed by others; and

(d) when correctly constructed, maintained and used in accordance with its intended purpose, it does not endanger the safety and health of persons, property or the environment.

(3) In the case of a component to which these Regulations apply, compliance with the appropriate conformity assessment procedure is not required where it is accompanied by a written declaration of conformity as provided for in Annex XV, which is set out in Schedule 14, and is intended to be incorporated into a recreational craft, in accordance with the declaration, referred to in Annex III(b) (which is set out in Schedule 3(b)), by—

(a) the manufacturer or his authorised representative established in [F1 the European Union]; or

(b) in the case of an import from outside [F1 the European Union], any person who places that component on the Community market,

and, in the case of such a component, the CE marking shall indicate that that component complies with the essential requirements which are relevant to it.

(4) In the case of—

(a) inboard engines and stern drive propulsion engines without integral exhaust;

(b) engines which are type-approved in accordance with Directive 97/68/EC of the European Parliament and of the Council on the approximation of the laws of the member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery M8 and which are in compliance with stage II as provided for in section 4.2.3 of Annex I to that Directive; or

(c) engines which are type-approved according to Council Directive 88/77/EEC on the approximation of the laws of the member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles M9 ,

where the manufacturer or his authorised representative established in [F1 the European Union] declares in accordance with Annex XV.3, which is set out in Schedule 14.3, that the engine will meet the exhaust emission requirements of the Directive, when installed in a recreational craft or personal watercraft in accordance with the manufacturer’s supplied instructions, that engine shall be deemed to satisfy the exhaust emission requirements of these Regulations.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

Marginal Citations

M8 OJ No. L59, 27.2.98, p. 1, as amended by Commission Directive 2001/63/EC (OJ No. L227, 23.8.2001, p. 41).

M9 OJ No. L36, 9.2.88, p. 33, as last amended by Commission Directive 2001/27/EC (OJ No. L107, 18.4.2001, p. 10).

CE marking U.K.

8.— (1) This regulation applies to—

(a) recreational craft, personal watercraft and components, which are regarded as meeting the corresponding essential requirements set out in Annex I, which is set out in Schedule 1;

(b) outboard engines which are regarded as meeting the essential requirements set out in Annex I.B. and I.C.; and

(c) stern drive engines with integral exhaust which are regarded as meeting the essential requirements set out in Annex I.B. and I.C.

(2) Subject to the following paragraphs of this regulation, the products referred to in paragraph (1) which either meet the relevant essential requirements or are presumed so to do in accordance with regulation 7(2)(a)(i) shall bear the CE marking in a visible, legible and indelible form, affixed by either the manufacturer or his authorised representative in the European Union.

(3) In the case of any recreational craft and personal watercraft, the CE marking shall be affixed in accordance with paragraph 2.2 of Annex I.A.

(4) In the case of any component, the CE marking shall be affixed either on the component itself or on its packaging or on both.

(5) In the case of any outboard engine or stern drive engine with integral exhaust, the CE marking shall be affixed in accordance with paragraph 1.1 of Annex I.B.

(6) The CE marking shall be accompanied by the identification number of the notified body responsible for carrying out the procedures in Annexes IX, X, XI, XII and XVI which are respectively set out in Schedules 9, 10, 11, 12 and 15.

(7) Subject to paragraph (8) below, where any product referred to in paragraph (1) is subject to any other directive or directives or relevant parts thereof, as the case may be, in addition to the Directive which also provides for the affixing of the CE marking, the CE marking shall indicate that that product also fulfils the provisions of that other applicable directive or those directives or relevant parts thereof.

(8) Where one or more of the other directives, or parts thereof, referred to in paragraph (7) are applied by the manufacturer, the CE marking shall indicate that the product in question fulfils the provisions only of the directive or directives or relevant parts thereof applied by the manufacturer; and, in this case, particulars of the directives (and relevant parts thereof, as the case may be) applied, as published in the Official Journal of [F1 the European Union], must be given in the documents, notices or instructions required by those directives and accompanying the product in question.

(9) In the case of post-construction assessment for recreational craft in the circumstances referred to in regulation 7(2)(b)(i)(cc), the person who places the product on the market shall affix, or cause to be affixed, the CE marking accompanied by the distinguishing number of the relevant notified body on the product in a visible, legible and indelible form.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

Other markings and inscriptions U.K.

9.— (1) No person shall affix on any product, to which these Regulations apply, any markings or inscriptions which are likely to mislead third parties with regard to the meaning or the form of the CE marking.

(2) Without prejudice to paragraph (1), nothing in these Regulations shall prohibit the affixing on any product, or on its packaging, of any other markings, provided that the visibility and legibility of the CE marking are not thereby reduced.

Conformity assessment U.K.

10.— (1) For the purposes of regulation 7(2)(b)(i), the appropriate conformity assessment procedure shall be determined—

(a) except in the case of post-construction assessment for recreational craft in the circumstances referred to in regulation 7(2)(b)(i)(cc), with regard to design and construction of products referred to in regulation 3(1)(a), in accordance with paragraph (2);

(b) except as aforesaid, with regard to exhaust emissions for products referred to in regulation 3(1)(b), in accordance with paragraph (3);

(c) except as aforesaid, with regard to noise emissions for products referred to in regulation 3(1)(c)(i) and (ii), in accordance with paragraph (4) and for products referred to in regulation 3(1)(c)(iii) and (iv), in accordance with paragraph (5); and

(d) in the case of post-construction assessment for recreational craft in the circumstances referred to in regulation 7(2)(b)(i)(cc), in accordance with paragraph (6).

(2) For boat design categories A,B,C and D as referred to in section 1 of Annex 1.A, which is set out in Schedule 1, the manufacturer of any product or his authorised representative established in the European Union shall apply the following procedures—

(a) for categories A and B—

(i) for boats from 2.5 metres to 12 metres hull length: the internal production control plus tests (module Aa) referred to in Annex VI, which is set out in Schedule 6, or the EC type-examination (module B) as described in Annex VII, which is set out in Schedule 7, supplemented by conformity to type (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B+D, or B+E, or B+F, or G or H;

(ii) for boats from 12 metres to 24 metres hull length: the EC type-examination (module B) referred to in Annex VII, which is set out in Schedule 7, supplemented by type conformity (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B+D, or B+E, or B+F, or G or H;

(b) for category C—

(i) for boats from 2.5 metres to 12 metres hull length—

(aa) where the harmonised standards relating to sections 3.2 and 3.3 of Annex I.A are complied with, the internal production control (module A), referred to in Annex V, which is set out in Schedule 5, or internal production control plus tests (module Aa) referred to in Annex VI, which is set out in Schedule 6, or the EC type-examination (module B) as described in Annex VII, which is set out in Schedule 7, supplemented by conformity to type (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B+D, or B+E, or B+F, or G, or H,

(bb) where the harmonised standards relating to sections 3.2 and 3.3 of Annex I.A are not complied with, the internal production control plus tests (module Aa) referred to in Annex VI, which is set out in Schedule 6, or the EC type-examination (module B) as described in Annex VII, which is set out in Schedule 7, supplemented by conformity to type (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B+D, or B+E, or B+F, or G, or H;

(ii) for boats from 12 metres to 24 metres hull length, the EC type-examination (module B) referred to in Annex VII, which is set out in Schedule 7, followed by conformity to type (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B+D, or B+E, or B+F, or G or H;

(c) for category D, for boats from 2.5 metres to 24 metres hull length, the internal production control (module A) referred to in Annex V, which is set out in Schedule 5, or the internal production control plus tests (module Aa) referred to in Annex VI, which is set out in Schedule 6, or the EC type-examination (module B) as described in Annex VII, which is set out in Schedule 7, supplemented by conformity to type (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B+D, or B+E, or B+F, or G or H;

(d) for personal watercraft, the internal production control (module A) referred to in Annex V, which is set out in Schedule 5, or the internal production control plus tests (module Aa) referred to in Annex VI, which is set out in Schedule 6, or the EC type-examination (module B) as described in Annex VII, which is set out in Schedule 7, followed by conformity to type (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B+D, or B+E, or B+F, or G or H; and

(e) for components, any of the following modules: B+C, or B+D, or B+F, or G or H.

(3) The engine manufacturer or his authorised representative established in [F1 the European Union] shall apply the EC type-examination (module B) as described in Annex VII, which is set out in Schedule 7, followed by conformity to type (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B+D, or B+E, or B+F, or G or H.

(4) The boat manufacturer or his authorised representative established in [F1 the European Union] shall apply:

(a) where tests are conducted using the harmonised standard M10 for noise measurement: either internal production control plus tests (module Aa) referred to in Annex VI, which is set out in Schedule 6, or unit verification (module G) referred to in Annex XI, which is set out in Schedule 11, or full quality assurance (module H) referred to in Annex XII, which is set out in Schedule 12;

(b) where the Froude number and power displacement ratio method is used for assessment: either the internal production control (module A) referred to in Annex V, which is set out in Schedule 5, or the internal production control plus tests (module Aa) referred to in Annex VI, which is set out in Schedule 6, or unit verification (module G) referred to in Annex XI, which is set out in Schedule 11, or full quality assurance (module H) referred to in Annex XII which is set out in Schedule 12; and

(c) where certified reference boat data, established in accordance with sub-paragraph (a), is used for assessment: either internal production control (module A) referred to in Annex V, which is set out in Schedule 5, or internal production control plus supplementary requirements (module Aa) referred to in Annex VI, which is set out in Schedule 6, or unit verification (module G) referred to in Annex XI, which is set out in Schedule 11, or full quality assurance (module H) referred to in Annex XII, which is set out in Schedule 12.

(5) The personal watercraft/engine manufacturer or his authorised representative established in [F1 the European Union] shall apply: internal production control plus supplementary requirements referred to in Annex VI (module Aa), which is set out in Schedule 6, or module G or H.

(6) The person who places the product on the market must—

(a) lodge an application for a post-construction report with a notified body; and

(b) provide the notified body with any available document and technical file referring to the first placing on the market of the product in the country of origin.

The notified body shall examine the individual product and carry out calculations and other assessment to ensure its equivalent conformity with the relevant requirements of the Directive. In this case, the Builder’s plate described in Annex I, 2.2, which is set out in Schedule 1, shall include the words “(Post-construction certificate)”. The notified body shall draw up a report of conformity concerning the assessment carried out and shall inform the person who places the product on the market of his obligations. That person shall draw up a declaration of conformity in accordance with Annex XV (which is set out in Schedule 14).

(7) For the purposes of this regulation—

(a) a reference to module B, C, D, E, F, G or H is a reference to the module which respectively comprises the conformity assessment procedure in Annex VII, VIII, IX, XVI, X, XI and XII and which is respectively set out in Schedule 7, 8, 9, 15, 10, 11 and 12;

(b) the technical documentation, which is required as part of the conformity assessment procedures in Annexes V, VII, VIII, IX and XI, which are respectively set out in Schedules 5, 7, 8, 9 and 11, is specified in Annex XIII, which is set out in Schedule 13; and

(c) the contents of the written declaration of conformity, which is required as part of the conformity assessment procedures in Annexes V, VIII, IX, X, [F3 XI, XII, and XVI] which are respectively set out in Schedules 5, 8, 9, 10, [F3 11, 12 and 15], are specified in Annex XV, which is set out in Schedule 14.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

F3 Words in reg. 10(7)(c) substituted (1.1.2005) by The Recreational Craft (Amendment) Regulations 2004 (S.I. 2004/3201), regs. 1, 2(b)

Marginal Citations

M10 EN ISO 14509.

Notified bodies U.K.

11.   For the purposes of these Regulations, a notified body is a body which has been—

(a) appointed as a United Kingdom notified body pursuant to regulation 12;

(b) appointed by a member State other than the United Kingdom; or

(c) recognised for the purpose of carrying out those functions by inclusion in a mutual recognition agreement, relating to the Directive, or a similar agreement (including a Protocol to the European Agreement, or other Agreement, on Conformity Assessment and Acceptance of Industrial Products) which has been concluded between the European Union and a State other than an EEA State,

to carry out one or more of the conformity assessment procedures specified in Article 8 of the Directive which are referred to in regulation 10 and which, in the case of paragraph (a) or (b), has been notified by the United Kingdom or by such other member State, as the case may be, to the Commission and the other member States pursuant to Article 9(1) of the Directive; for the purposes of paragraph (c), EEA State has the same meaning as that given to those words in regulation 2(2)(a).

Appointment of notified bodies U.K.

12.— (1) The Secretary of State may from time to time appoint such persons as she thinks fit to be notified bodies for the purposes of these Regulations.

(2) Such appointment—

(a) may relate to all descriptions of product or such descriptions (which may be framed by reference to any circumstances whatsoever) of product as the Secretary of State may from time to time determine;

(b) may be made subject to such conditions as the Secretary of State may from time to time determine, which may include conditions which are to apply upon or following termination of the appointment;

(c) shall, without prejudice to the generality of sub-paragraph (b) above and subject to paragraph (4), require the body to carry out the procedures and specific tasks for which it has been appointed including (where so provided as part of those procedures) surveillance to ensure that the manufacturer duly fulfils the obligations arising out of the relevant conformity assessment procedure;

(d) shall be terminated upon 90 days' notice in writing to the Secretary of State, at the request of the notified body; and

(e) may be terminated if it appears to the Secretary of State that any of the conditions of the appointment are not complied with.

(3) Subject to paragraphs (2)(d) and (e), an appointment under this regulation may be for the time being or for such period as may be specified in the appointment.

(4) A notified body appointed by the Secretary of State shall not be required to carry out the functions referred to in paragraph (2)(c) if—

(a) the documents submitted to it in relation to carrying out such functions are not in English or another language acceptable to that body;

(b) the person making the application has not submitted with its application the amount of the fee which the body requires to be submitted with the application pursuant to regulation 13; or

(c) the body reasonably believes that, having regard to the number of applications made to it in relation to its appointment under these Regulations which are outstanding, it will be unable to commence the required work within 3 months of receiving the application.

(5) If for any reason the appointment of a notified body is terminated under this regulation, the Secretary of State may—

(a) give such directions (either to the body the subject of the termination or to another notified body) for the purposes of making such arrangements for the determination of outstanding applications as she considers appropriate; and

(b) without prejudice to the generality of the foregoing, authorise another notified body to take over its functions in respect of such cases as she may specify.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

Fees U.K.

13.— (1) Subject to paragraph (2), a notified body appointed by the Secretary of State may charge such fees in connection with, or incidental to, carrying out the tasks referred to in regulation 12(2)(c) as it may determine; provided that such fees shall not exceed the sum of the following—

(a) the costs incurred or to be incurred by the notified body in performing the relevant function; and

(b) an amount on account of profit which is reasonable in the circumstances having regard to—

(i) the character and extent of the work done or to be done by the body on behalf of the applicant; and

(ii) the commercial rate normally charged on account of profit for that work or similar work.

(2) The power in paragraph (1) includes the power to require the payment of fees or a reasonable estimate thereof in advance of carrying out the work requested by the applicant.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

Procedure where a notified body is minded to refuse to issue an EC type-examination certificate U.K.

14.   Where a notified body is minded to refuse to issue an EC type-examination certificate as part of the procedure described in Annex VII which is set out in Schedule 7, it shall—

(a) give notice in writing to the applicant of the reasons why it is minded to do so; and

(b) give the applicant the opportunity to make representations within a period of 28 days of the said notice being given and consider any representations made within that period by the applicant.

Enforcement authorities U.K.

15.— (1) It shall be the duty of the following authorities to enforce these Regulations within their area—

(a) in Great Britain, weights and measures authorities; and

(b) in Northern Ireland, every district council.

(2) Nothing in this regulation shall authorise any enforcement authority to bring proceedings in Scotland for an offence.

Enforcement powers U.K.

16.— (1) Subject to paragraph (2), Schedule 17 shall have effect for the purposes of providing for the enforcement of these Regulations and for matters incidental thereto.

(2) Except in the case of a product which, when correctly constructed, installed, maintained and used in accordance with its intended purpose, may in the opinion of an enforcement authority endanger the safety and health of persons, property or the environment, where an enforcement authority has reasonable grounds for suspecting that the CE marking has been affixed to any product referred to in regulation 8(1) or, in the case of a component, to its packaging, in relation to which any provision of these Regulations has not been complied with, it may serve a notice (“a compliance notice”) on—

(a) the manufacturer or his authorised representative established in the United Kingdom; or

(b) where the manufacturer is established outside [F1 the European Union] and—

(i) he has no authorised representative established in the United Kingdom; or

(ii) his authorised representative established in the United Kingdom is not the person who places the product on the market,

the person who places it on the market in the United Kingdom;

and in such a case no other action pursuant to paragraph 1(b) or (c) of Schedule 17 may be taken, and no proceedings pursuant to regulation 17 may be brought, until such a notice has been so served and the person on whom it has been served has failed to comply with its requirements.

(3) A compliance notice shall—

(a) state that the enforcement authority suspects that the CE marking has been affixed to the product or, in the case of a component, to its packaging, in circumstances where a provision or provisions of these Regulations has or have not been complied with and the reasons for that suspicion;

(b) specify the provision or provisions referred to in sub-paragraph (a) above;

(c) require the person upon whom the notice is served—

(i) to secure that any product to which the notice relates conforms as regards the provisions concerning the CE marking and to end the infringement within such period as may be specified in the notice; or

(ii) to provide evidence within the period, to the satisfaction of the enforcement authority, that all the provisions of these Regulations, which apply to the product in question, have been complied with; and

(d) warn that person that if the non-conformity continues after (or if satisfactory evidence has not been provided within) the period specified in the notice, further action may be taken under these Regulations in respect of that product or any product of the same type placed on the market by that person.

(4) A compliance notice may include directions as to the measures to be taken by the person upon whom it is served to secure conformity of the product with the provisions of these Regulations, which apply to the product in question, including different ways of securing conformity.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

Offences and penalties U.K.

17.   Any person who contravenes regulation 7, 9 or 20 shall be guilty of an offence and shall be liable on summary conviction—

(a) to imprisonment for a term not exceeding 3 months; or

(b) to a fine not exceeding level 5 on the standard scale,

or to both.

Defence of due diligence U.K.

18.— (1) Subject to the following provisions of this regulation, in proceedings against any person for an offence under regulation 17 it shall be a defence for that person to show that he took all reasonable steps and exercised all due diligence to avoid committing the offence.

(2) Where in any proceedings against a person for such an offence the defence provided by paragraph (1) involves an allegation that the commission of the offence was due—

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

(b) to reliance on information given by another,

that person shall not, without the leave of the court, be entitled to rely on the defence unless, not later than 7 clear days before the hearing of the proceedings (or, in Scotland, the trial diet), he has served a notice under paragraph (3) on the person bringing the proceedings.

(3) A notice under this paragraph shall give such information identifying or assisting in the identification of the person who committed the act or default or gave the information as is in the possession of the person serving the notice at the time he serves it.

(4) It is hereby declared that a person shall not be entitled to rely on the defence provided by paragraph (1) by reason of his reliance on information supplied by another, unless he shows that it was reasonable in all the circumstances for him to have relied on the information, having regard in particular—

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

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

Liability of persons other than the principal offender U.K.

19.— (1) Where the commission by any person of an offence under regulation 17 is due to an act or default committed by some other person in the course of any business of his, the other person shall be guilty of the offence and may be proceeded against and punished by virtue of this paragraph whether or not proceedings are taken against the first-mentioned person.

(2) Where a body corporate is guilty of an offence under these Regulations (including where it is so guilty by virtue of paragraph (1)) in respect of any act or default which is shown to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or any person who was purporting to act in any such capacity he, as well as the body corporate, shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.

(3) Where the affairs of any body corporate are managed by its members, paragraph (2) shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.

(4) In this regulation, references to a “body corporate” include references to a partnership in Scotland and, in relation to such partnership, any reference to a director, manager, secretary or other similar officer of a body corporate is a reference to a partner.

Requirement to give information about any product which does not bear the CE marking or other product not required to bear the CE marking U.K.

20.   A person who places on the market—

(a) a product specified in regulation 8(1) which does not bear a CE marking and, in the case of a component, no CE marking appears on its packaging; or

(b) a partly completed recreational craft, stern drive engine without integral exhaust or an inboard engine,

shall, on his being required at a reasonable time to give such information, give to an enforcement authority, or to any of its officers, all the information he has about—

(i) the date when that product was placed on the market in the European Union]; and

(ii) in the case of paragraph (a), the basis on which the product or, in the case of a component, that component’s packaging is not so marked.

Textual Amendments

F1 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6, 8-10

Commencement of proceedings U.K.

21.  In England, Wales and Northern Ireland, a magistrates' court may try an information (in the case of England and Wales) or a complaint (in the case of Northern Ireland) in respect of an offence committed under regulation 17 or section 12 of the 1987 Act in relation to a contravention of these Regulations if (in the case of England and Wales) the information is laid or (in the case of Northern Ireland) the complaint is made within twelve months from the time when the offence is committed, and in Scotland summary proceedings for such an offence may be begun at any time within twelve months from the time when the offence is committed.

Sainsbury of Turville,

Parliamentary Under Secretary of State for Science and Innovation,

Department of Trade and Industry