Avis juridique important

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32002L0047

Directive 2002/47/EC of the European Parliament and of the Council of 6 June 2002 on financial collateral arrangements

Official Journal L 168 , 27/06/2002 P. 0043 - 0050

Directive 2002/47/EC of the European Parliament and of the Councilof 6 June 2002on financial collateral arrangementsTHE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,Having regard to the Treaty establishing the European Community, and in particular Article 95 thereof,Having regard to the proposal from the Commission(1),Having regard to the opinion of the European Central Bank(2),Having regard to the opinion of the Economic and Social Committee(3),Acting in accordance with the procedure laid down in Article 251 of the Treaty(4),Whereas:(1) Directive 98/26/EC of the European Parliament and of the Council of 19 May 1998 on settlement finality in payment and securities settlement systems(5) constituted a milestone in establishing a sound legal framework for payment and securities settlement systems. Implementation of that Directive has demonstrated the importance of limiting systemic risk inherent in such systems stemming from the different influence of several jurisdictions, and the benefits of common rules in relation to collateral constituted to such systems.(2) In its communication of 11 May 1999 to the European Parliament and to the Council on financial services: implementing the framework for financial markets: action plan, the Commission undertook, after consultation with market experts and national authorities, to work on further proposals for legislative action on collateral urging further progress in the field of collateral, beyond Directive 98/26/EC.(3) A Community regime should be created for the provision of securities and cash as collateral under both security interest and title transfer structures including repurchase agreements (repos). This will contribute to the integration and cost-efficiency of the financial market as well as to the stability of the financial system in the Community, thereby supporting the freedom to provide services and the free movement of capital in the single market in financial services. This Directive focuses on bilateral financial collateral arrangements.(4) This Directive is adopted in a European legal context which consists in particular of the said Directive 98/26/EC as well as Directive 2001/24/EC of the European Parliament and of the Council of 4 April 2001 on the reorganisation and winding up of credit institutions(6), Directive 2001/17/EC of the European Parliament and of the Council of 19 March 2001 on the reorganisation and winding-up of insurance undertakings(7) and Council Regulation (EC) No 1346/2000 of 29 May 2000 on insolvency proceedings(8). This Directive is in line with the general pattern of these previous legal acts and is not opposed to it. Indeed, this Directive complements these existing legal acts by dealing with further issues and going beyond them in connection with particular matters already dealt with by these legal acts.(5) In order to improve the legal certainty of financial collateral arrangements, Member States should ensure that certain provisions of insolvency law do not apply to such arrangements, in particular, those that would inhibit the effective realisation of financial collateral or cast doubt on the validity of current techniques such as bilateral close-out netting, the provision of additional collateral in the form of top-up collateral and substitution of collateral.(6) This Directive does not address rights which any person may have in respect of assets provided as financial collateral, and which arise otherwise than under the terms of the financial collateral arrangement and otherwise than on the basis of any legal provision or rule of law arising by reason of the commencement or continuation of winding-up proceedings or reorganisation measures, such as restitution arising from mistake, error or lack of capacity.(7) The principle in Directive 98/26/EC, whereby the law applicable to book entry securities provided as collateral is the law of the jurisdiction where the relevant register, account or centralised deposit system is located, should be extended in order to create legal certainty regarding the use of such securities held in a cross-border context and used as financial collateral under the scope of this Directive.(8) The lex rei sitae rule, according to which the applicable law for determining whether a financial collateral arrangement is properly perfected and therefore good against third parties is the law of the country where the financial collateral is located, is currently recognised by all Member States. Without affecting the application of this Directive to directly-held securities, the location of book entry securities provided as financial collateral and held through one or more intermediaries should be determined. If the collateral taker has a valid and effective collateral arrangement according to the governing law of the country in which the relevant account is maintained, then the validity against any competing title or interest and the enforceability of the collateral should be governed solely by the law of that country, thus preventing legal uncertainty as a result of other unforeseen legislation.(9) In order to limit the administrative burdens for parties using financial collateral under the scope of this Directive, the only perfection requirement which national law may impose in respect of financial collateral should be that the financial collateral is delivered, transferred, held, registered or otherwise designated so as to be in the possession or under the control of the collateral taker or of a person acting on the collateral taker's behalf while not excluding collateral techniques where the collateral provider is allowed to substitute collateral or to withdraw excess collateral.(10) For the same reasons, the creation, validity, perfection, enforceability or admissibility in evidence of a financial collateral arrangement, or the provision of financial collateral under a financial collateral arrangement, should not be made dependent on the performance of any formal act such as the execution of any document in a specific form or in a particular manner, the making of any filing with an official or public body or registration in a public register, advertisement in a newspaper or journal, in an official register or publication or in any other matter, notification to a public officer or the provision of evidence in a particular form as to the date of execution of a document or instrument, the amount of the relevant financial obligations or any other matter. This Directive must however provide a balance between market efficiency and the safety of the parties to the arrangement and third parties, thereby avoiding inter alia the risk of fraud. This balance should be achieved through the scope of this Directive covering only those financial collateral arrangements which provide for some form of dispossession, i.e. the provision of the financial collateral, and where the provision of the financial collateral can be evidenced in writing or in a durable medium, ensuring thereby the traceability of that collateral. For the purpose of this Directive, acts required under the law of a Member State as conditions for transferring or creating a security interest on financial instruments, other than book entry securities, such as endorsement in the case of instruments to order, or recording on the issuer's register in the case of registered instruments, should not be considered as formal acts.(11) Moreover, this Directive should protect only financial collateral arrangements which can be evidenced. Such evidence can be given in writing or in any other legally enforceable manner provided by the law which is applicable to the financial collateral arrangement.(12) The simplification of the use of financial collateral through the limitation of administrative burdens promotes the efficiency of the cross-border operations of the European Central Bank and the national central banks of Member States participating in the economic and monetary union, necessary for the implementation of the common monetary policy. Furthermore, the provision of limited protection of financial collateral arrangements from some rules of insolvency law in addition supports the wider aspect of the common monetary policy, where the participants in the money market balance the overall amount of liquidity in the market among themselves, by cross-border transactions backed by collateral.(13) This Directive seeks to protect the validity of financial collateral arrangements which are based upon the transfer of the full ownership of the financial collateral, such as by eliminating the so-called re-characterisation of such financial collateral arrangements (including repurchase agreements) as security interests.(14) The enforceability of bilateral close-out netting should be protected, not only as an enforcement mechanism for title transfer financial collateral arrangements including repurchase agreements but more widely, where close-out netting forms part of a financial collateral arrangement. Sound risk management practices commonly used in the financial market should be protected by enabling participants to manage and reduce their credit exposures arising from all kinds of financial transactions on a net basis, where the credit exposure is calculated by combining the estimated current exposures under all outstanding transactions with a counterparty, setting off reciprocal items to produce a single aggregated amount that is compared with the current value of the collateral.(15) This Directive should be without prejudice to any restrictions or requirements under national law on bringing into account claims, on obligations to set-off, or on netting, for example relating to their reciprocity or the fact that they have been concluded prior to when the collateral taker knew or ought to have known of the commencement (or of any mandatory legal act leading to the commencement) of winding-up proceedings or reorganisation measures in respect of the collateral provider.(16) The sound market practice favoured by regulators whereby participants in the financial market use top-up financial collateral arrangements to manage and limit their credit risk to each other by mark-to-market calculations of the current market value of the credit exposure and the value of the financial collateral and accordingly ask for top-up financial collateral or return the surplus of financial collateral should be protected against certain automatic avoidance rules. The same applies to the possibility of substituting for assets provided as financial collateral other assets of the same value. The intention is merely that the provision of top-up or substitution financial collateral cannot be questioned on the sole basis that the relevant financial obligations existed before that financial collateral was provided, or that the financial collateral was provided during a prescribed period. However, this does not prejudice the possibility of questioning under national law the financial collateral arrangement and the provision of financial collateral as part of the initial provision, top-up or substitution of financial collateral, for example where this has been intentionally done to the detriment of the other creditors (this covers inter alia actions based on fraud or similar avoidance rules which may apply in a prescribed period).(17) This Directive provides for rapid and non-formalistic enforcement procedures in order to safeguard financial stability and limit contagion effects in case of a default of a party to a financial collateral arrangement. However, this Directive balances the latter objectives with the protection of the collateral provider and third parties by explicitly confirming the possibility for Member States to keep or introduce in their national legislation an a posteriori control which the Courts can exercise in relation to the realisation or valuation of financial collateral and the calculation of the relevant financial obligations. Such control should allow for the judicial authorities to verify that the realisation or valuation has been conducted in a commercially reasonable manner.(18) It should be possible to provide cash as collateral under both title transfer and secured structures respectively protected by the recognition of netting or by the pledge of cash collateral. Cash refers only to money which is represented by a credit to an account, or similar claims on repayment of money (such as money market deposits), thus explicitly excluding banknotes.(19) This Directive provides for a right of use in case of security financial collateral arrangements, which increases liquidity in the financial market stemming from such reuse of "pledged" securities. This reuse however should be without prejudice to national legislation about separation of assets and unfair treatment of creditors.(20) This Directive does not prejudice the operation and effect of the contractual terms of financial instruments provided as financial collateral, such as rights and obligations and other conditions contained in the terms of issue and any other rights and obligations and other conditions which apply between the issuers and holders of such instruments.(21) This Act complies with the fundamental rights and follows the principles laid down in particular in the Charter of Fundamental Rights of the European Union.(22) Since the objective of the proposed action, namely to create a minimum regime relating to the use of financial collateral, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and effects of the action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve that objective,HAVE ADOPTED THIS DIRECTIVE:Article 1Subject matter and scope1. This Directive lays down a Community regime applicable to financial collateral arrangements which satisfy the requirements set out in paragraphs 2 and 5 and to financial collateral in accordance with the conditions set out in paragraphs 4 and 5.2. The collateral taker and the collateral provider must each belong to one of the following categories:(a) a public authority (excluding publicly guaranteed undertakings unless they fall under points (b) to (e)) including:(i) public sector bodies of Member States charged with or intervening in the management of public debt, and(ii) public sector bodies of Member States authorised to hold accounts for customers;(b) a central bank, the European Central Bank, the Bank for International Settlements, a multilateral development bank as defined in Article 1(19) of Directive 2000/12/EC of the European Parliament and of the Council of 20 March 2000 relating to the taking up and pursuit of the business of credit institutions(9), the International Monetary Fund and the European Investment Bank;(c) a financial institution subject to prudential supervision including:(i) a credit institution as defined in Article 1(1) of Directive 2000/12/EC, including the institutions listed in Article 2(3) of that Directive;(ii) an investment firm as defined in Article 1(2) of Council Directive 93/22/EEC of 10 May 1993 on investment services in the securities field(10);(iii) a financial institution as defined in Article 1(5) of Directive 2000/12/EC;(iv) an insurance undertaking as defined in Article 1(a) of Council Directive 92/49/EEC of 18 June 1992 on the coordination of laws, regulations and administrative provisions relating to direct insurance other than life assurance(11) and a life assurance undertaking as defined in Article 1(a) of Council Directive 92/96/EEC of 10 November 1992 on the coordination of laws, regulations and administrative provisions relating to direct life assurance(12);(v) an undertaking for collective investment in transferable securities (UCITS) as defined in Article 1(2) of Council Directive 85/611/EEC of 20 December 1985 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS)(13);(vi) a management company as defined in Article 1a(2) of Directive 85/611/EEC;(d) a central counterparty, settlement agent or clearing house, as defined respectively in Article 2(c), (d) and (e) of Directive 98/26/EC, including similar institutions regulated under national law acting in the futures, options and derivatives markets to the extent not covered by that Directive, and a person, other than a natural person, who acts in a trust or representative capacity on behalf of any one or more persons that includes any bondholders or holders of other forms of securitised debt or any institution as defined in points (a) to (d);(e) a person other than a natural person, including unincorporated firms and partnerships, provided that the other party is an institution as defined in points (a) to (d).3. Member States may exclude from the scope of this Directive financial collateral arrangements where one of the parties is a person mentioned in paragraph 2(e).If they make use of this option Member States shall inform the Commission which shall inform the other Member States thereof.4. (a) The financial collateral to be provided must consist of cash or financial instruments.(b) Member States may exclude from the scope of this Directive financial collateral consisting of the collateral provider's own shares, shares in affiliated undertakings within the meaning of seventh Council Directive 83/349/EEC of 13 June 1983 on consolidated accounts(14), and shares in undertakings whose exclusive purpose is to own means of production that are essential for the collateral provider's business or to own real property.5. This Directive applies to financial collateral once it has been provided and if that provision can be evidenced in writing.The evidencing of the provision of financial collateral must allow for the identification of the financial collateral to which it applies. For this purpose, it is sufficient to prove that the book entry securities collateral has been credited to, or forms a credit in, the relevant account and that the cash collateral has been credited to, or forms a credit in, a designated account.This Directive applies to financial collateral arrangements if that arrangement can be evidenced in writing or in a legally equivalent manner.Article 2Definitions1. For the purpose of this Directive:(a) "financial collateral arrangement" means a title transfer financial collateral arrangement or a security financial collateral arrangement whether or not these are covered by a master agreement or general terms and conditions;(b) "title transfer financial collateral arrangement" means an arrangement, including repurchase agreements, under which a collateral provider transfers full ownership of financial collateral to a collateral taker for the purpose of securing or otherwise covering the performance of relevant financial obligations;(c) "security financial collateral arrangement" means an arrangement under which a collateral provider provides financial collateral by way of security in favour of, or to, a collateral taker, and where the full ownership of the financial collateral remains with the collateral provider when the security right is established;(d) "cash" means money credited to an account in any currency, or similar claims for the repayment of money, such as money market deposits;(e) "financial instruments" means shares in companies and other securities equivalent to shares in companies and bonds and other forms of debt instruments if these are negotiable on the capital market, and any other securities which are normally dealt in and which give the right to acquire any such shares, bonds or other securities by subscription, purchase or exchange or which give rise to a cash settlement (excluding instruments of payment), including units in collective investment undertakings, money market instruments and claims relating to or rights in or in respect of any of the foregoing;(f) "relevant financial obligations" means the obligations which are secured by a financial collateral arrangement and which give a right to cash settlement and/or delivery of financial instruments.Relevant financial obligations may consist of or include:(i) present or future, actual or contingent or prospective obligations (including such obligations arising under a master agreement or similar arrangement);(ii) obligations owed to the collateral taker by a person other than the collateral provider; or(iii) obligations of a specified class or kind arising from time to time;(g) "book entry securities collateral" means financial collateral provided under a financial collateral arrangement which consists of financial instruments, title to which is evidenced by entries in a register or account maintained by or on behalf of an intermediary;(h) "relevant account" means in relation to book entry securities collateral which is subject to a financial collateral arrangement, the register or account - which may be maintained by the collateral taker - in which the entries are made by which that book entry securities collateral is provided to the collateral taker;(i) "equivalent collateral":(i) in relation to cash, means a payment of the same amount and in the same currency;(ii) in relation to financial instruments, means financial instruments of the same issuer or debtor, forming part of the same issue or class and of the same nominal amount, currency and description or, where a financial collateral arrangement provides for the transfer of other assets following the occurrence of any event relating to or affecting any financial instruments provided as financial collateral, those other assets;(j) "winding-up proceedings" means collective proceedings involving realisation of the assets and distribution of the proceeds among the creditors, shareholders or members as appropriate, which involve any intervention by administrative or judicial authorities, including where the collective proceedings are terminated by a composition or other analogous measure, whether or not they are founded on insolvency or are voluntary or compulsory;(k) "reorganisation measures" means measures which involve any intervention by administrative or judicial authorities which are intended to preserve or restore the financial situation and which affect pre-existing rights of third parties, including but not limited to measures involving a suspension of payments, suspension of enforcement measures or reduction of claims;(l) "enforcement event" means an event of default or any similar event as agreed between the parties on the occurrence of which, under the terms of a financial collateral arrangement or by operation of law, the collateral taker is entitled to realise or appropriate financial collateral or a close-out netting provision comes into effect;(m) "right of use" means the right of the collateral taker to use and dispose of financial collateral provided under a security financial collateral arrangement as the owner of it in accordance with the terms of the security financial collateral arrangement;(n) "close-out netting provision" means a provision of a financial collateral arrangement, or of an arrangement of which a financial collateral arrangement forms part, or, in the absence of any such provision, any statutory rule by which, on the occurrence of an enforcement event, whether through the operation of netting or set-off or otherwise:(i) the obligations of the parties are accelerated so as to be immediately due and expressed as an obligation to pay an amount representing their estimated current value, or are terminated and replaced by an obligation to pay such an amount; and/or(ii) an account is taken of what is due from each party to the other in respect of such obligations, and a net sum equal to the balance of the account is payable by the party from whom the larger amount is due to the other party.2. References in this Directive to financial collateral being "provided", or to the "provision" of financial collateral, are to the financial collateral being delivered, transferred, held, registered or otherwise designated so as to be in the possession or under the control of the collateral taker or of a person acting on the collateral taker's behalf. Any right of substitution or to withdraw excess financial collateral in favour of the collateral provider shall not prejudice the financial collateral having been provided to the collateral taker as mentioned in this Directive.3. References in this Directive to "writing" include recording by electronic means and any other durable medium.Article 3Formal requirements1. Member States shall not require that the creation, validity, perfection, enforceability or admissibility in evidence of a financial collateral arrangement or the provision of financial collateral under a financial collateral arrangement be dependent on the performance of any formal act.2. Paragraph 1 is without prejudice to the application of this Directive to financial collateral only once it has been provided and if that provision can be evidenced in writing and where the financial collateral arrangement can be evidenced in writing or in a legally equivalent manner.Article 4Enforcement of financial collateral arrangements1. Member States shall ensure that on the occurrence of an enforcement event, the collateral taker shall be able to realise in the following manners, any financial collateral provided under, and subject to the terms agreed in, a security financial collateral arrangement:(a) financial instruments by sale or appropriation and by setting off their value against, or applying their value in discharge of, the relevant financial obligations;(b) cash by setting off the amount against or applying it in discharge of the relevant financial obligations.2. Appropriation is possible only if:(a) this has been agreed by the parties in the security financial collateral arrangement; and(b) the parties have agreed in the security financial collateral arrangement on the valuation of the financial instruments.3. Member States which do not allow appropriation on 27 June 2002 are not obliged to recognise it.If they make use of this option, Member States shall inform the Commission which in turn shall inform the other Member States thereof.4. The manners of realising the financial collateral referred to in paragraph 1 shall, subject to the terms agreed in the security financial collateral arrangement, be without any requirement to the effect that:(a) prior notice of the intention to realise must have been given;(b) the terms of the realisation be approved by any court, public officer or other person;(c) the realisation be conducted by public auction or in any other prescribed manner; or(d) any additional time period must have elapsed.5. Member States shall ensure that a financial collateral arrangement can take effect in accordance with its terms notwithstanding the commencement or continuation of winding-up proceedings or reorganisation measures in respect of the collateral provider or collateral taker.6. This Article and Articles 5, 6 and 7 shall be without prejudice to any requirements under national law to the effect that the realisation or valuation of financial collateral and the calculation of the relevant financial obligations must be conducted in a commercially reasonable manner.Article 5Right of use of financial collateral under security financial collateral arrangements1. If and to the extent that the terms of a security financial collateral arrangement so provide, Member States shall ensure that the collateral taker is entitled to exercise a right of use in relation to financial collateral provided under the security financial collateral arrangement.2. Where a collateral taker exercises a right of use, he thereby incurs an obligation to transfer equivalent collateral to replace the original financial collateral at the latest on the due date for the performance of the relevant financial obligations covered by the security financial collateral arrangement.Alternatively, the collateral taker shall, on the due date for the performance of the relevant financial obligations, either transfer equivalent collateral, or, if and to the extent that the terms of a security financial collateral arrangement so provide, set off the value of the equivalent collateral against or apply it in discharge of the relevant financial obligations.3. The equivalent collateral transferred in discharge of an obligation as described in paragraph 2, first subparagraph, shall be subject to the same security financial collateral agreement to which the original financial collateral was subject and shall be treated as having been provided under the security financial collateral arrangement at the same time as the original financial collateral was first provided.4. Member States shall ensure that the use of financial collateral by the collateral taker according to this Article does not render invalid or unenforceable the rights of the collateral taker under the security financial collateral arrangement in relation to the financial collateral transferred by the collateral taker in discharge of an obligation as described in paragraph 2, first subparagraph.5. If an enforcement event occurs while an obligation as described in paragraph 2 first subparagraph remains outstanding, the obligation may be the subject of a close-out netting provision.Article 6Recognition of title transfer financial collateral arrangements1. Member States shall ensure that a title transfer financial collateral arrangement can take effect in accordance with its terms.2. If an enforcement event occurs while any obligation of the collateral taker to transfer equivalent collateral under a title transfer financial collateral arrangement remains outstanding, the obligation may be the subject of a close-out netting provision.Article 7Recognition of close-out netting provisions1. Member States shall ensure that a close-out netting provision can take effect in accordance with its terms:(a) notwithstanding the commencement or continuation of winding-up proceedings or reorganisation measures in respect of the collateral provider and/or the collateral taker; and/or(b) notwithstanding any purported assignment, judicial or other attachment or other disposition of or in respect of such rights.2. Member States shall ensure that the operation of a close-out netting provision may not be subject to any of the requirements that are mentioned in Article 4(4), unless otherwise agreed by the parties.Article 8Certain insolvency provisions disapplied1. Member States shall ensure that a financial collateral arrangement, as well as the provision of financial collateral under such arrangement, may not be declared invalid or void or be reversed on the sole basis that the financial collateral arrangement has come into existence, or the financial collateral has been provided:(a) on the day of the commencement of winding-up proceedings or reorganisation measures, but prior to the order or decree making that commencement; or(b) in a prescribed period prior to, and defined by reference to, the commencement of such proceedings or measures or by reference to the making of any order or decree or the taking of any other action or occurrence of any other event in the course of such proceedings or measures.2. Member States shall ensure that where a financial collateral arrangement or a relevant financial obligation has come into existence, or financial collateral has been provided on the day of, but after the moment of the commencement of, winding-up proceedings or reorganisation measures, it shall be legally enforceable and binding on third parties if the collateral taker can prove that he was not aware, nor should have been aware, of the commencement of such proceedings or measures.3. Where a financial collateral arrangement contains:(a) an obligation to provide financial collateral or additional financial collateral in order to take account of changes in the value of the financial collateral or in the amount of the relevant financial obligations, or(b) a right to withdraw financial collateral on providing, by way of substitution or exchange, financial collateral of substantially the same value,Member States shall ensure that the provision of financial collateral, additional financial collateral or substitute or replacement financial collateral under such an obligation or right shall not be treated as invalid or reversed or declared void on the sole basis that:(i) such provision was made on the day of the commencement of winding-up proceedings or reorganisation measures, but prior to the order or decree making that commencement or in a prescribed period prior to, and defined by reference to, the commencement of winding-up proceedings or reorganisation measures or by reference to the making of any order or decree or the taking of any other action or occurrence of any other event in the course of such proceedings or measures; and/or(ii) the relevant financial obligations were incurred prior to the date of the provision of the financial collateral, additional financial collateral or substitute or replacement financial collateral.4. Without prejudice to paragraphs 1, 2 and 3, this Directive leaves unaffected the general rules of national insolvency law in relation to the voidance of transactions entered into during the prescribed period referred to in paragraph 1(b) and in paragraph 3(i).Article 9Conflict of laws1. Any question with respect to any of the matters specified in paragraph 2 arising in relation to book entry securities collateral shall be governed by the law of the country in which the relevant account is maintained. The reference to the law of a country is a reference to its domestic law, disregarding any rule under which, in deciding the relevant question, reference should be made to the law of another country.2. The matters referred to in paragraph 1 are:(a) the legal nature and proprietary effects of book entry securities collateral;(b) the requirements for perfecting a financial collateral arrangement relating to book entry securities collateral and the provision of book entry securities collateral under such an arrangement, and more generally the completion of the steps necessary to render such an arrangement and provision effective against third parties;(c) whether a person's title to or interest in such book entry securities collateral is overridden by or subordinated to a competing title or interest, or a good faith acquisition has occurred;(d) the steps required for the realisation of book entry securities collateral following the occurrence of an enforcement event.Article 10Report by the CommissionNot later than 27 December 2006, the Commission shall present a report to the European Parliament and the Council on the application of this Directive, in particular on the application of Article 1(3), Article 4(3) and Article 5, accompanied where appropriate by proposals for its revision.Article 11ImplementationMember States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 27 December 2003 at the latest. They shall forthwith inform the Commission thereof.When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such reference on the occasion of their official publication. Member States shall determine how such reference is to be made.Article 12Entry into forceThis Directive shall enter into force on the day of its publication in the Official Journal of the European Communities.Article 13AddresseesThis Directive is addressed to the Member States.Done at Brussels, 6 June 2002.For the European ParliamentThe PresidentP. CoxFor the CouncilThe PresidentA. M. Birulés Y Bertrán(1) OJ C 180 E, 26.6.2001, p. 312.(2) OJ C 196, 12.7.2001, p. 10.(3) OJ C 48, 21.2.2002, p. 1.(4) Opinion of the European Parliament of 13 December 2001 (not yet published in the Official Journal), Council Common Position of 5 March 2002 (not yet published in the Official Journal) and Decision of the European Parliament of 15 May 2002.(5) OJ L 166, 11.6.1998, p. 45.(6) OJ L 125, 5.5.2001, p. 15.(7) OJ L 110, 20.4.2001, p. 28.(8) OJ L 160, 30.6.2000, p. 1.(9) OJ L 126, 26.5.2000, p. 1. Directive as amended by Directive 2000/28/EC (OJ L 275, 27.10.2000, p. 37).(10) OJ L 141, 11.6.1993, p. 27. Directive as last amended by Directive 2000/64/EC of the European Parliament and of the Council (OJ L 290, 17.11.2000, p. 27).(11) OJ L 228, 11.8.1992, p. 1. Directive as last amended by Directive 2000/64/EC of the European Parliament and of the Council.(12) OJ L 360, 9.12.1992, p. 1. Directive as last amended by Directive 2000/64/EC of the European Parliament and of the Council.(13) OJ L 375, 31.12.1985, p. 3. Directive as last amended by Directive 2001/108/EC of the European Parliament and of the Council. (OJ L 41, 13.2.2002, p. 35).(14) OJ L 193, 18.7.1983, p. 1. Directive as last amended by Directive 2001/65/EC of the European Parliament and of the Council (OJ L 283, 27.10.2001, p. 28).


Avis juridique important

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32003L0127

Commission Directive 2003/127/EC of 23 December 2003 amending Council Directive 1999/37/EC on the registration documents for vehicles (Text with EEA relevance)

Official Journal L 010 , 16/01/2004 P. 0029 - 0053

Commission Directive 2003/127/ECof 23 December 2003amending Council Directive 1999/37/EC on the registration documents for vehicles(Text with EEA relevance)THE COMMISSION OF THE EUROPEAN COMMUNITIES,Having regard to the Treaty establishing the European Community,Having regard to Council Directive 1999/37/EC of 29 April 1999 on the registration documents for vehicles(1), and in particular Article 6 thereof,Whereas:(1) Directive 1999/37/EC laid down harmonised rules concerning the registration certificates for vehicles subject to registration in the Community.(2) In view of the increasing introduction of electronic and telematics equipment in vehicles, the Annexes to Directive 1999/37/EC should be adapted to scientific and technical progress to allow Member States to issue vehicle registration documents in microprocessor smart card format instead of paper documents.(3) Directive 1999/37/EC should therefore be amended accordingly.(4) The measures provided for in this Directive are in accordance with the opinion of the Committee instituted by Article 8 of Council Directive 96/96/EC(2),(5) Member States should implement the necessary measures to ensure that the collection and processing of personal data required for the issuing of vehicle registration documents in the format of smart cards complies with Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data(3),HAS ADOPTED THIS DIRECTIVE:Article 1The Annexes to Directive 1999/37/EC are replaced by the text in the Annex to this Directive.Article 21. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 15 January 2005 at the latest. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.2. Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.Article 3This Directive shall enter into force on the 20th day following that of its publication in the Official Journal of the European Union.Article 4This Directive is addressed to the Member States.Done at Brussels, 23 December 2003.For the CommissionLoyola De PalacioVice-President(1) OJ L 138, 1.6.1999, p. 57.(2) OJ L 46, 17.2.1997, p. 1.(3) OJ L 281, 23.11.1995, p. 31.ANNEX"ANNEX IPART I OF THE REGISTRATION CERTIFICATE(1)I. This part may be implemented in either of two formats: as a paper document or as a smart card. The characteristics of the paper document version are specified in Chapter II and those of the smart card version in Chapter III.II. Specifications of Part I of the Registration Certificate in paper formatII.1. The overall dimensions of the Registration Certificate shall not be greater than an A4 format (210 × 297 mm) or a folder of A4 format.II.2. The paper used for Part I of the Registration Certificate shall be made secure against forgery by using at least two of the following techniques:- graphics,- watermark,- fluorescent fibres, or- fluorescent imprints.Member States are free to introduce additional security features.II.3. Part I of the Registration Certificate may consist of several pages. Member States shall determine the number of pages in accordance with the information contained in the document and its layout.II.4. The first page of Part I of the Registration Certificate shall contain:- the name of the Member State issuing Part I of the Registration Certificate,- the distinguishing mark of the Member State issuing Part I of the Registration Certificate, namely:B BelgiumDK DenmarkD GermanyGR GreeceE SpainF FranceIRL IrelandI ItalyL LuxembourgNL NetherlandsA AustriaP PortugalFIN FinlandS SwedenUK United Kingdom,- the name of the competent authority,- the words "Part I of the Registration Certificate" or, if the certificate consists of one part only, the words "Registration Certificate", printed in large type in the language or languages of the Member States issuing the Registration Certificate; they shall also appear, after a suitable space, in small type in the other languages of the European Community,- the words "European Community", printed in the language or languages of the Member State issuing Part I of the Registration Certificate,- the number of the document.II.5. Part I of the Registration Certificate shall also contain the following data, preceded by the corresponding harmonised Community codes:(A) registration number;(B) date of first registration of the vehicle;(C) personal data;(C.1) holder of the Registration Certificate:(C.1.1) surname(s) or business name,(C.1.2) other name(s) or initial(s) (where appropriate),(C.1.3) address in the Member State of registration on the date of issue of the document;(C.4) Where the particulars specified in II.6, code C.2 are not included in the Registration Certificate, reference to the fact that the holder of the Registration Certificate:(a) is the vehicle owner,(b) is not the vehicle owner,(c) is not identified by the Registration Certificate as being the vehicle owner;(D) vehicle:(D.1) make,(D.2) type,- variant (if available),- version (if available);(D.3) commercial description(s);(E) vehicle identification number;(F) mass:(F.1) maximum technically permissible laden mass, except for motorcycles;(G) mass of the vehicle in service with bodywork, and with coupling device in the case of a towing vehicle in service from any category other than M1;(H) period of validity, if not unlimited;(I) date of the registration to which this certificate refers;(K) type-approval number (if available);(P) engine;(P.1) capacity (in cm3),(P.2) maximum net power (in kW) (if available),(P.3) type of fuel or power source;(Q) power/weight ratio (in kW/kg) (only for motorcycles);(S) seating capacity,(S.1) number of seats, including the driver's seat,(S.2) number of standing places (where appropriate).II.6. Part I of the Registration Certificate may, moreover, contain the following data, preceded by the corresponding harmonised Community codes:(C) personal data,(C.2) owner of the vehicle (repeated as many times as there are owners),(C.2.1) surname or business name,(C.2.2) other name(s) or initial(s) (where appropriate),(C.2.3) address in the Member State of registration, on the date of issue of the document,(C.3) natural or legal person who may use the vehicle by virtue of a legal right other than that of ownership,(C.3.1) surname or business name,(C.3.2) other name(s) or initial(s) (where appropriate),(C.3.3) address in the Member State of registration, on the date of issue of the document,(C.5), (C.6), (C.7), (C.8): where a change in the personal data given in points II.5, code C.1, II.6, code C.2 and/or II.6, code C.3 does not give rise to the issue of a new Registration Certificate, the new personal data corresponding to these points may be included under codes (C.5), (C.6), (C.7) or (C.8); they are then broken down in accordance with the references in points II.5, code C.1, II.6, code C.2, II.6, code C.3 and II.5, code C.4;(F) mass:(F.2) maximum permissible laden mass of the vehicle in service in the Member State of registration;(F.3) maximum permissible laden mass of the whole vehicle in service in the Member State of registration;(J) vehicle category;(L) number of axles;(M) wheelbase (in mm);(N) for vehicles with a total exceeding 3500 kg, distribution of the technically permissible maximum laden mass among the axles:(N.1) axle 1 (in kg),(N.2) axle 2 (in kg), where appropriate,(N.3) axle 3 (in kg), where appropriate,(N.4) axle 4 (in kg), where appropriate,(N.5) axle 5 (in kg), where appropriate,(O) technically permissible maximum towable mass of the trailer:(O.1) braked (in kg),(O.2) unbraked (in kg);(P) engine:(P.4) rated speed (in min-1),(P.5) engine identification number;(R) colour of the vehicle;(T) maximum speed (in km/h);(U) sound level:(U.1) stationary (in dB(A)),(U.2) engine speed (in min-1),(U.3) drive-by (in dB(A));(V) exhaust emissions:(V.1) CO (in g/km or g/kWh),(V.2) HC (in g/km or g/kWh),(V.3) NOx (in g/km or g/kWh),(V.4) HC + NOx (in g/km),(V.5) particulates for diesel (in g/km or g/kWh),(V.6) corrected absorption coefficient for diesel (in min-1),(V.7) CO2 (in g/km),(V.8) combined fuel consumption (in l/100 km),(V.9) indication of the environmental category of EC type-approval;reference to the version applicable pursuant to Directive 70/220/EEC.(2) or Directive 88/77/EEC(3).(W) fuel tank(s) capacity (in litres).II.7 Member States may include additional information (in Part I of the Registration Certificate), in particular they may add between brackets to the identification codes, as laid down under II.5 and II.6, additional national codes.III. Specifications of Part I of the Registration Certificate in smart card format (Alternative to the specimen in paper format described in Chapter II)III.1 Card format and data legible with the eyeBeing a microprocessor card, the chip card shall be designed in accordance with the standards mentioned in Chapter III.5. The data stored on the card should be legible with normal reading devices (such as for tachograph cards).Printed on the front and back of the card shall be at least the data specified in Chapters II.4 and II.5; these data shall be legible with the eye (minimum character height: 6 points) and printed on as follows. (Examples of possible lay-outs are presented in Figure 1 at the end of this section.)A. Basic imprintThe basic data shall contain the following:Front(a) To the right of the chip location:in the language(s) of the Member State issuing the Registration Certificate- the words "European Community";- the name of the Member State issuing the Registration Certificate;- the words "Part I of the Registration Certificate", or, if the certificate consists of one part only, the words "Registration Certificate" printed in large type;- another (e.g. previous national) designation of the equivalent document (optional);- the name of the competent authority (alternatively, also in the form of a personalisation imprint as per Letter B);- the unambiguous consecutive number of the document as used within the Member State (alternatively, also in the form of a personalisation imprint as per Letter B);(b) Above the chip location:the distinguishing mark of the Member State issuing the Registration Certificate, white in a blue rectangle and surrounded by twelve yellow stars:B BelgiumDK DenmarkD GermanyGR GreeceE SpainF FranceIRL IrelandI ItalyL LuxembourgNL The NetherlandsA AustriaP PortugalFIN FinlandS SwedenUK United Kingdom(c) Member States might consider adding, at the lower edge in small type and in their national language(s), the note: "This document should be produced to any authorised person requesting it."(d) The basic colour of the card is green (Pantone 362); alternatively, a green-to-white transition is possible.(e) A symbol representing a wheel (see proposed lay-out in Fig.1) shall be printed within the printing area in the bottom left corner of the card front.In other respects, the provisions of Chapter III.13 shall apply.B. Personalisation imprintThe personalisation imprint shall contain the following information:Front(a) the name of the competent authority - see also Letter Aa)(b) the name of the authority issuing the Registration Certificate (optional)(c) the unambiguous consecutive number of the document as used within the Member State - see also Letter Aa)(d) The following data from Chapter II.5; according to Chapter II.7, individual national codes may be added to the preceding harmonised Community codes:>TABLE>BackThe back shall bear at least the remaining data specified in Chapter II.5; in accordance with Chapter II.7, individual national codes may be added to the preceding harmonised Community codes.In detail, these data are:>TABLE>Optionally, additional data from II.6 (with the harmonised codes) and II.7 may be added on the back of the card.C. Physical security features of the smart cardThe threats to the physical security of documents are:- Production of false cards: creating a new object which bears great resemblance to the document, either by making it from scratch or by copying an original document.- Material alteration: changing a property of an original document, e.g. modifying some of the data printed on the document.The material used for Part I of the Registration Certificate shall be made secure against forgery by using at least three of the following techniques:- microprinting,- guilloche printing*,- iridescent printing,- laser engraving,- ultraviolet fluorescent ink,- inks with viewing angle - dependent colour*,- inks with temperature - dependent colour*,- custom holograms*,- variable laser images,- optical variable images.Member States are free to introduce additional security features.As a basis, the techniques indicated with an asterisk are to be preferred as they enable the law enforcement officers to check the validity of the card without any special means.Figure 1: Examples of possible lay-outs of the mandatory data(more optional and additional data may be added to the back side of the card)>PIC FILE= "L_2004010EN.003601.TIF">III.2. Data storage and protectionPreceded by the harmonised common codes (where appropriate, in connection with the individual codes of the Member States according to Chapter II.7), the following data shall or may be additionally stored on the card surface bearing the legible information as per Chapter III.1:(A) Data as per Chapters II.4 and II.5All data specified in Chapters II.4 and II.5 shall be mandatorily stored on the card.(B) Other data as per Chapter II.6Moreover, the Member States are free to store more data as per Chapter II.6, to the necessary extent.(C) Other data as per Chapter II.7Optionally, additional information may be stored on the card.The data from the letters A and B is stored in two corresponding files with transparent structure (see ISO/IEC 7816-4). The Member States may specify the storage of data from Letter C according to their requirements.There are no read restrictions on these files.Write access to these files shall be restricted to the national competent authorities (and their authorised agencies) in the Member State issuing the smart card.Write access is permitted only after an asymmetric authentication with session key exchange for protecting the session between the vehicle registration card and a security module (e.g. a security module card) of the national competent authorities (or their authorised agencies). Thereby card verifiable certificates according to ISO/IEC 7816-8 are exchanged before the authentication process. The card verifiable certificates contain the corresponding public keys to be retrieved and to be used in the following authentication process. These certificates are signed by the national competent authorities and contain an authorisation object (certificate holder authorisation) according to ISO/IEC 7816-9 in order to encode role specific authorisation to the card. This role authorisation is related to the national competent authority (e.g. to update a data field).The corresponding public keys of the national competent authority are stored as trust anchor (root public key) in the card.The specification of the files and commands needed for the authentication process and the writing process is under the responsibility of the Member States. The security assurance has to be approved by common criteria evaluation according to EAL4+. The augmentations are as follows: 1. AVA_MSU.3 Analysis and testing for insecure states; 2. AVA_VLA.4 Highly resistant.(D) Verification data for authenticity of registration dataThe issuing authority calculates its electronic signature about the complete data of a file containing the data of the letter A or B and stores it in a related file. These signatures allow the authenticity of the stored data to be verified. The cards shall store the following data:- electronic signature of registration data related to letter A,- electronic signature of registration data related to letter B,For verification of these electronic signatures the card shall store:- certificates of the issuing authority calculating the signatures about the data of letters A, B.Electronic signatures and the certificates shall be readable without restriction. Write access to electronic signatures and certificates shall be restricted to the national competent authorities.III.3. InterfaceExternal contacts should be used for interfacing. A combination of external contacts with a transponder is optional.III.4. Storage capacity of the cardThe card shall have sufficient capacity to store the data mentioned in Chapter III.2.III.5. StandardsThe chip card and reading devices used shall comply with the following standards:- ISO 7810: Standards for identification cards (plastic cards): Physical characteristics- ISO 7816-1 and -2: Physical characteristics of chip cards, dimensions and location of contacts- ISO 7816-3: Electrical characteristics of contacts, transmission protocols- ISO 7816-4: Communication contents, chip card data structure, safety architecture, access mechanisms- ISO 7816-5: Structure of application identifiers, selection and execution of application identifiers, registration procedure for application identifiers (numbering system)- ISO 7816-6: Inter-industry data elements for interchange- ISO 7816-8: Integrated circuit(s) cards with contacts - Security related inter-industry commands- ISO 7816-9: Integrated circuit(s) cards with contacts - Enhanced inter-industry commandsIII.6. Technical Characteristics and Transmission ProtocolsThe format shall be ID-1 (normal size, see ISO/IEC 7810).The card shall support transmission protocol T=1 in compliance with ISO/IEC 7816-3. Additionally other transmission protocols may be supported, e.g. T=0, USB or contactless protocols.For bit transmission the "direct convention" shall be applied (see ISO/IEC 7816-3).(A) Supply voltage, programming voltageThe card shall work with Vcc = 3V (+/0.3V) or with Vcc = 5V (+/0,5V). The card shall not require a programming voltage at pin C6.(B) Answer to resetThe Information Field Size Card byte shall be presented at the ATR in character TA3. This value shall be at least "80h" (=128 bytes).(C) Protocol parameter selectionThe support of Protocol parameter selection (PPS) according to ISO/IEC 7816-3 is mandatory. It is used for selecting T=1, if T=0 is additionally present in the card, and to negotiate the Fi/Di parameters for achieving higher transmission rates.(D) Transmission protocol T = 1The support of chaining is mandatory.The following simplifications are allowed:- NAD Byte: not used (NAD should be set to "00"),- S-Block ABORT: not used,- S-Block VPP state error: not used.The information field size device (IFSD) shall be indicated from the IFD immediately after ATR, i.e. the IFD shall transmit the S-Block IFS Request after ATR and the card shall send back S-Block IFS. The recommended value for IFSD is 254 bytes.III.7. Temperature rangeThe registration certificate in smart card format shall properly function under all climatic conditions usually prevailing in the territories of the community and at least in the temperature range specified in ISO 7810. The cards shall be capable of operating correctly in the humidity range 10 % to 90 %.III.8. Physical lifetimeIf used in accordance with the environmental and electricity-related specifications, the card must function properly for a period of ten years. The material of the card must be chosen in such a way that this lifetime is ensured.III.9. Electrical characteristicsDuring operation, the cards shall conform to Commission Directive 95/54/EC of 31 October 1995(4), related to electromagnetic compatibility, and shall be protected against electrostatic discharges.III.10. File structureTable 1 lists the mandatory elementary files (EF) of the application DF (see ISO/IEC 7816-4) DF.Registration. All these files have a transparent structure. The access requirements are described in Chapter III.2. The file sizes are specified by the Member States according their requirements.Table 1>TABLE>III.11. Data structureThe stored certificates are in the X.509v3 format according ISO/IEC 9594-8. The electronic signatures are stored transparently.The registration data is stored as BER-TLV data objects (see ISO/IEC 7816-4) in the corresponding elementary files. The value fields are coded as ASCII character as defined by ISO/IEC 8824-1, the values "C0"-"FF" are defined by ISO/IEC 8859-1 (Latin1 character set), ISO/IEC 8859-7 (Greek character set) or ISO/IEC 8859-5 (Cyrillic character set). The format of dates is YYYYMMDD.Table 2 lists the Tags identifying the data objects corresponding to the registration data of the Chapters II.4 and II.5 together with additional data from Chapter III.1. Unless otherwise stated, the data objects listed in Table 2 are mandatory. Optional data objects may be omitted. The column of the Tag indicates the level of nesting.Table 2>TABLE>Table 3 lists the Tags identifying the data objects corresponding to the registration data of Chapter II.6. The data objects listed in Table 3 are optional.Table 3>TABLE>Structure and format of the data according Chapter II.7 are specified by the Member States.III.12. Reading the registration dataA. Application selectionThe application "Vehicle Registration" shall be selectable by a SELECT DF (by name, see ISO/IEC 7816-4) with its application identifier (AID). The AID value is requested from a laboratory selected by the European Commission.B. Reading data from filesThe files corresponding to Chapter II, Letters A, B and D, shall be selectable by SELECT (see ISO/IEC 7816-4) with the command parameters P1 set to "02", P2 set to "04" and the command data field containing the file identifier (see Chapter X, Table 1). The returned FCP template contains the file size which can be useful for reading these files.These files shall be readable with READ BINARY (see ISO/IEC 7816-4) with an absent command data field and Le set to the length of the expected data, using a short Le.C. Verification of data authenticityTo verify the authenticity of the stored registration data, the corresponding electronic signature may be verified. This means that besides the registration data also the corresponding electronic signature may be read from the registration card.The public key for signature verification can be retrieved by reading the corresponding issuing authority certificate from the registration card. Certificates contain the public key and the identity of the corresponding authority. The signature verification may be performed by another system than the registration card.The Member States are free to retrieve the public keys and certificates for verifying the issuing authority certificate.III.13. Special provisionsIrrespective of the other provisions herein, the Member States, after notifying the European Commission, may add colours, marks or symbols. In addition, for certain data of Chapter III.2 Letter C, the Member States may allow XML format and may allow access via TCP/IP.Member States may, with the agreement of the European Commission, add other applications for which no harmonised rules or documents exist yet at EU level (e.g. roadworthiness certificate), on the vehicle registration card to realise additional vehicle related services.(1) The certificate consisting of one part only will bear the words "Registration Certificate", and there will be no reference in the text to "Part I".(2) Council Directive 70/220/EEC of 20 March 1970 on the approximation of the laws of the Member States relating to measures to be taken against air pollution by gases from positive-ignition engines of motor vehicles (OJ L 76, 6.4.1970, p. 1), Directive as last amended by Commission Directive 2002/80/EC (OJ L 291, 28.10.2002, p. 20).(3) Council Directive 88/77/EEC of 3 December 1987 on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous pollutants from diesel engines for use in vehicles (OJ L 36, 9.2.1988, p. 33). Directive as last amended by Commission Directive 2001/27/EC (OJ L 107, 18.4.2001, p. 10).(4) Commission Directive 95/54/EC of 31 October 1995 adapting to technical progress Council Directive 72/245/EEC on the approximation of the laws of the Member States relating to the suppression of radio interference produced by spark-ignition engines fitted to motor vehicles and amending Directive 70/156/EEC on the approximation of the laws of the Member States relating to the type-approval of motor vehicles and their trailers (OJ L 266, 8.11.1995 p. 1).ANNEX IIPART II OF THE REGISTRATION CERTIFICATE(1)I. This part may be implemented in either of two formats: as a paper document or as a smart card. The characteristics of the paper document version are specified in Chapter II and those of the smart card version in Chapter III.II. Specifications of Part II of the registration certificate in paper formatII.1. The overall dimensions of the registration certificate shall not be greater than an A4 format (210 × 297 mm) or a folder of A4 format.II.2. The paper used for part II of the registration certificate shall be made secure against forgery by using at least two of the following techniques:- graphics,- watermark,- fluorescent fibres, or- fluorescent imprints.Member States are free to introduce additional security features.II.3. Part II of the registration certificate may consist of several pages. Member States shall determine the number of pages in accordance with the information contained in the document and its layout.II.4. The first page of Part II of the registration certificate shall contain- the name of the Member State issuing Part II of the registration certificate,- the distinguishing mark of the Member State issuing Part II of the registration certificate, namely:B BelgiumDK DenmarkD GermanyGR GreeceE SpainF FranceIRL IrelandI ItalyL LuxembourgNL NetherlandsA AustriaP PortugalFIN FinlandS SwedenUK United Kingdom,- the name of the competent authority,- the words "Part II of the Registration Certificate", printed in large type in the language or languages of the Member States issuing the registration certificate; they shall also appear, after a suitable space, in small type, in the other languages of the European Community,- the words "European Community", printed in the language or languages of the Member State issuing Part II of the registration certificate,- the number of the document.II.5. Part II of the Registration Certificate shall also contain the following data, preceded by the corresponding harmonised Community codes:(A) registration number(B) date of the first registration of the vehicle(D) vehicle:(D.1) make,(D.2) type,- variant (if available)- version (if available)(D.3) commercial description(s)(E) vehicle identification number(K) type-approval number (if available)II.6. Part II of the registration certificate may, moreover, contain the following data, preceded by the corresponding harmonised Community codes:(C) personal data(C.2) owner of the vehicle,(C.2.1) surname(s) or business name,(C.2.2) other name(s) or initial(s) (where appropriate),(C.2.3) address in the Member State of registration, on the date of issue of the document,(C.3) natural or legal person who may use the vehicle by virtue of a legal right other than that of ownership,(C.3.1) surname(s) or business name,(C.3.2) other name(s) or initial(s) (where appropriate),(C.3.3) address in the Member State of registration, on the date of issue of the document(C.5), (C.6) where a change in the personal data given in point II.6, code C.2 and/or point II.6, code C.3 does not give rise to the issue of a new Part II of the Registration Certificate, the new personal data corresponding to these points may be included under codes (C.5) or (C.6); they are broken down in accordance with point II.6, code C.2 and point II.6, code C.3.(J) vehicle category.II.7. Member States may include additional information in Part II of the registration certificate; in particular, they may add between brackets to the identification codes, as laid down under points II.5 and II.6, additional national codes.III. Specifications of Part II of the Registration Certificate in smart card format (Alternative to the specimen in paper format described in Chapter II)III.1. Card format and data legible with the eyeBeing a microprocessor card, the chip card shall be designed in accordance with the standards mentioned in Chapter III.5.Printed on the front and back of the card shall be at least the data specified in Chapters II.4 and II.5; these data shall be legible with the eye (minimum character height: 6 points) and printed on as follows. (Examples of possible lay-outs are presented in Figure 2 at the end of this section)A. Basic imprintThe basic data shall contain the following:Front(a) To the right of the chip location:in the language(s) of the Member State issuing the Registration Certificate- the words "European Community",- the name of the Member State issuing the Registration Certificate,- the words "Part II of the Registration Certificate" printed in large type,- another (e.g. previous national) designation of the equivalent document (optional),- the name of the competent authority (alternatively, also in the form of a personalisation imprint as per Letter B),- the unambiguous consecutive number of the document as used within the Member State (alternatively, also in the form of a personalisation imprint as per Letter B).(b) Above the chip location:the distinguishing mark of the Member State issuing the Registration Certificate, white in a blue rectangle and surrounded by twelve yellow stars:B BelgiumDK DenmarkD GermanyGR GreeceE SpainF FranceIRL IrelandI ItalyL LuxembourgNL The NetherlandsA AustriaP PortugalFIN FinlandS SwedenUK United Kingdom(c) Member States might consider adding, at the lower edge in small type and in their national language(s), the note: "This document should be kept in a safe place outside the vehicle."(d) The basic colour of the card is red (Pantone 194); alternatively, a red-to-white transition is possible.(e) A symbol representing a wheel (see proposed lay-out) shall be printed within the printing area in the bottom left corner of the card front.In other respects, the provisions of Chapter III.13 shall apply.B. Personalisation imprintThe personalisation imprint shall contain the following information:Front(a) the name of the competent authority - see also Letter Aa).(b) the name of the authority issuing the Registration Certificate (optional).(c) the unambiguous consecutive number of the document as used within the Member State - see also Letter Aa).(d) The following data from Chapter II.5; according to Chapter II.7, individual national codes may be added to the preceding harmonised Community codes.>TABLE>BackThe back shall bear at least the remaining data specified in Chapter II.5; according to Chapter II.7, individual national codes may be added to the preceding harmonised community codes.In detail, these data are:>TABLE>Optionally, additional data from II.6 (with the harmonised codes) and II.7 may be added on the back of the card.C. Physical security features of the smart cardThe threats to the physical security of documents are:- Production of false cards: creating a new object which bears great resemblance to the document, either by making it from scratch or by copying an original document.- Material alteration: changing a property of an original document, e.g. modifying some of the data printed on the document.The material used for Part II of the registration certificate shall be made secure against forgery by using at least three of the following techniques:- microprinting,- guilloche printing*,- iridescent printing,- laser engraving,- ultraviolet fluorescent ink,- inks with viewing angle - dependent colour*,- inks with temperature - dependent colour*,- custom holograms*,- variable laser images,- optical variable images.Member States are free to introduce additional security features.As a basis, the techniques indicated with an asterisk are to be preferred as they enable the law enforcement officers to check the validity of the card without any special means.Figure 2: Examples of possible lay-outs of the mandatory data(more optional and additional data may be added to the back side of the card)>PIC FILE= "L_2004010EN.004801.TIF">III.2. Data storage and protectionPreceded by the harmonised common codes (where appropriate, in connection with the individual codes of the Member States according to Chapter II.7), the following data shall or may be additionally stored on the card surface bearing the legible information as per Chapter III.1:(A) Data as per Chapters II.4 and II.5All data specified in Chapters II.4 and II.5 shall be mandatorily stored on the card.(B) Other data as per Chapter II.6Moreover, the Member States are free to store more data as per Chapter II.6, to the necessary extent.(C) Other data as per Chapter II.7Optionally, further vehicle-related data of general interest may be stored on the card.The data from the Letters A and B is stored in two corresponding files with transparent structure (see ISO/IEC 7816-4). The Member States may specify the storage of data from Letter C according their requirements.There are no read restrictions on these files.Write access to these files shall be restricted to the national competent authorities (and their authorised Agencies) in the Member State issuing the smart card.Write access is permitted only after an asymmetric authentication with session key exchange for protecting the session between the vehicle registration card and a Security Module (e.g. a Security Module Card) of the national competent authorities (or their authorised Agencies). Thereby Card Verifiable certificates according to ISO/IEC 7816-8 are exchanged before the authentication process. The Card Verifiable certificates contain the corresponding public keys to be retrieved and to be used in the following authentication process. These certificates are signed by the national competent authorities and contain an authorisation object (certificate holder authorisation) according to ISO/IEC 7816-9 in order to encode role specific authorisation to the card. This role authorisation is related to the national competent authority (e.g. to update a data field).The corresponding public keys of the national competent authority are stored as trust anchor (root public key) in the card.The specification of the files and commands needed for the authentication process and the writing process is under responsibility of the Member States. The security assurance has to be approved by Common Criteria Evaluation according to EAL4+. The augmentations are as follows: 1. AVA_MSU.3 Analysis and testing for insecure states; 2. AVA_VLA.4 Highly resistant.(D) Verification data for authenticity of registration dataThe issuing authority calculates its electronic signature about the complete data of a file containing the data of the Letter A or B and stores it in a related file. These signatures allow the authenticity of the stored data to be verified. The cards shall store the following data:- electronic signature of registration data related to Letter A,- electronic signature of registration data related to Letter B.For verification of these electronic signatures the card shall store:- certificates of the issuing authority calculating the signatures about the data of Letters A, B.Electronic signatures and the certificates shall be readable without restriction. Write access to electronic signatures and certificates shall be restricted to the national competent authorities.III.3. InterfaceExternal contacts should be used for interfacing. A combination of external contacts with a transponder is optional.III.4. Storage capacity of the cardThe card shall have sufficient capacity to store the data mentioned in Chapter III.2.III.5. StandardsThe chip card and reading devices used shall comply with the following standards:- ISO 7810: Standards for identification cards (plastic cards): Physical characteristics,- ISO 7816-1 and - 2: Physical characteristics of chip cards, dimensions and location of contacts,- ISO 7816-3: Electrical characteristics of contacts, transmission protocols,- ISO 7816-4: Communication contents, chip card data structure, safety architecture, access mechanisms,- ISO 7816-5: Structure of application identifiers, selection and execution of application identifiers, registration procedure for application identifiers (numbering system),- ISO 7816-6: Inter-industry data elements for interchange,- ISO 7816-8: Integrated circuit(s) cards with contacts - Security related inter-industry commands,- ISO 7816-9: Integrated circuit(s) cards with contacts - Enhanced inter-industry commands,III.6. Technical characteristics and transmission protocolsThe format shall be ID-1 (normal size, see ISO/IEC 7810).The card shall support transmission protocol T = 1 in compliance with ISO/IEC 7816-3. Additionally other transmission protocols may be supported, e.g. T=0, USB or contactless protocols. For bit transmission the "direct convention" shall be applied (see ISO/IEC 7816-3).A. Supply voltage, programming voltageThe card shall work with Vcc = 3V (+/0.3V) or with Vcc = 5V (+/0.5V). The card shall not require a programming voltage at pin C6.B. Answer to resetThe Information Field Size Card byte shall be presented at the ATR in character TA3. This value shall be at least "80h" (=128 bytes).C. Protocol parameter selectionThe support of protocol parameter selection (PPS) according to ISO/IEC 7816-3 is mandatory. It is used for selecting T=1, if T=0 is additionally present in the card, and to negotiate the Fi/Di parameters for achieving higher transmission rates.D. Transmission protocol T = 1The support of chaining is mandatory.The following simplifications are allowed:- NAD Byte: not used (NAD should be set to "00"),- S-Block ABORT: not used,- S-Block VPP state error: not used.The information field size device (IFSD) shall be indicated from the IFD immediately after ATR, i.e. the IFD shall transmit the S-block IFS request after ATR and the card shall send back S-block IFS. The recommended value for IFSD is 254 bytes.III.7. Temperature rangeThe registration certificate in smart card format shall properly function under all climatic conditions usually prevailing in the territories of the community and at least in the temperature range specified in ISO 7810. The cards shall be capable of operating correctly in the humidity range 10 % to 90 %.III.8. Physical lifetimeIf used in accordance with the environmental and electricity-related specifications, the card must function properly for a period of ten years. The material of the card must be chosen in such a way that this lifetime is ensured.III.9. Electrical characteristicsDuring operation, the cards shall conform to Directive 95/54/EC, related to electromagnetic compatibility, and shall be protected against electrostatic discharges.III.10. File structureTable 1 lists the mandatory elementary files (EF) of the application DF (see ISO/IEC 7816-4) DF.Registration. All these files have a transparent structure. The access requirements are described in Chapter III.2. The file sizes are specified by the Member States according their requirements.Table 4>TABLE>III.11. Data structureThe stored certificates are in the X.509v3 format according ISO/IEC 9594-8.The electronic signatures are stored transparent.The registration data is stored as BER-TLV data objects (see ISO/IEC 7816-4) in the corresponding elementary files. The value fields are coded as ASCII character as defined by ISO/IEC 8824-1, the values "C0"-"FF" are defined by ISO/IEC 8859-1 (Latin1 character set) or ISO/IEC 8859-7 (Greek character set) or ISO/IEC 8859-5 (Cyrillic character set). The format of dates is YYYYMMDD.Table 2 lists the Tags identifying the data objects corresponding to the registration data of Chapter II.4 and II.5 together with additional data from Chapter III.1. Unless otherwise stated, the data objects listed in Table 2 are mandatory. Optional data objects may be omitted. The column of the Tag indicates the level of nesting.Table 5>TABLE>Table 6 lists the Tags identifying the data objects corresponding to the registration data of Chapter II.6. The data objects listed in Table 6 are optional.Table 6>TABLE>Structure and format of the data according Chapter II.7 are specified by the Member States.III.12. Reading the registration dataA. Application selectionThe Application "Vehicle Registration" shall be selectable by a SELECT DF (by name, see ISO/IEC 7816-4) with its Application identifier (AID). The AID value is requested from a laboratory selected by the European Commission.B. Reading data from filesThe files corresponding to Chapter II, letters A, B and D, shall be selectable by SELECT (see ISO/IEC 7816-4) with the command parameters P1 set to "02", P2 set to "04" and the command data field containing the file identifier (see Chapter X, Table 1). The returned FCP template contains the file size which can be useful for reading these files.These files shall be readable with READ BINARY (see ISO/IEC 7816-4) with an absent command data field and Le set to the length of the expected data, using a short Le.C. Verification of data authenticityTo verify the authenticity of the stored registration data, the corresponding electronic signature may be verified. This means that besides the registration data also the corresponding electronic signature may be read from the registration card.The public key for signature verification can be retrieved by reading the corresponding issuing authority certificate from the registration card. Certificates contain the public key and the identity of the corresponding authority. The signature verification may be performed by another system than the registration card.The Member States are free in retrieving the public keys and certificates for verifying the issuing authority certificate.III.13. Special provisionsIrrespective of the other provisions herein, the Member States, after notifying the European Commission, may add colours, marks or symbols. In addition, for certain data of Chapter III.2 Letter C, the Member States may allow XML format and may allow access via TCP/IP. Member States may, with the agreement of the European Commission, add other applications for which no harmonised rules or documents exist yet at EU level (e.g. roadworthiness certificate), on the vehicle registration card to realise additional vehicle related services.(1) This Annex is concerned only with Registration Certificates consisting of Parts I and II."


title: Commission Directive 2010/71/EU of 4 November 2010 amending Directive 98/8/EC of the European Parliament and of the Council to include metofluthrin as an active substance in Annex I thereto  Text with EEA relevance

text:
               5.11.2010

               EN

               Official Journal of the European Union

               L 288/17

         COMMISSION DIRECTIVE 2010/71/EU
   of 4 November 2010
   amending Directive 98/8/EC of the European Parliament and of the Council to include metofluthrin as an active substance in Annex I thereto
   (Text with EEA relevance)
   THE EUROPEAN COMMISSION,
   Having regard to the Treaty on the Functioning of the European Union,
   Having regard to Directive 98/8/EC of the European Parliament and of the Council of 16 February 1998 concerning the placing of biocidal products on the market (1), and in particular Article 11(4) thereof,
   Whereas:

               (1)

               The United Kingdom received on 23 December 2005 an application from Sumitomo Chemical (UK) Plc, in accordance with Article 11(1) of Directive 98/8/EC, for the inclusion of the active substance metofluthrin in its Annex I for use in product-type 18, insecticides, acaricides and products to control other arthropods, as defined in Annex V to Directive 98/8/EC. Metofluthrin was not on the market on the date referred to in Article 34(1) of Directive 98/8/EC as an active substance of a biocidal product.

               (2)

               After carrying out an evaluation, the United Kingdom submitted its evaluation report, together with a recommendation, to the Commission on 19 June 2008.

               (3)

               The report was reviewed by the Member States and the Commission within the Standing Committee on Biocidal Products on 27 May 2010, and the findings of the review were incorporated in an assessment report.

               (4)

               It appears from the examinations made that biocidal products used as insecticides, acaricides and products to control other arthropods and containing metofluthrin may be expected to satisfy the requirements laid down in Article 5 of Directive 98/8/EC. It is therefore appropriate to include metofluthrin in Annex I to that Directive.

               (5)

               Not all potential uses have been evaluated at the European level. It is therefore appropriate that Member States assess those uses or exposure scenarios and those risks to the compartments and populations that have not been representatively addressed in the European level risk assessment and, when granting product authorisations, ensure that appropriate measures are taken or specific conditions imposed in order to reduce the identified risks to acceptable levels.

               (6)

               It is important that the provisions of this Directive be applied simultaneously in all the Member States in order to ensure equal treatment of biocidal products on the market containing the active substance metofluthrin and to facilitate the proper operation of the biocidal market in general.

               (7)

               A reasonable period should be allowed to elapse before an active substance is included in Annex I in order to permit Member States to bring into force the laws, regulations and administrative provisions necessary to comply with this Directive.

               (8)

               Directive 98/8/EC should therefore be amended accordingly.

               (9)

               The measures provided for in this Directive are in accordance with the opinion of the Standing Committee on Biocidal Products,

         HAS ADOPTED THIS DIRECTIVE:
   Article 1
   Annex I to Directive 98/8/EC is amended in accordance with the Annex to this Directive.
   Article 2
   Transposition
   1.   Member States shall adopt and publish, by 30 April 2011 at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive.
   They shall apply those provisions from 1 May 2011.
   When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.
   2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
   Article 3
   This Directive shall enter into force on the 20th day following its publication in the Official Journal of the European Union.
   Article 4
   This Directive is addressed to the Member States.

      Done at Brussels, 4 November 2010.

            For the Commission

            The President

         José Manuel BARROSO

      (1)  OJ L 123, 24.4.1998, p. 1.

      ANNEX
      In Annex I to Directive 98/8/EC, the following entry for the substance metofluthrin is added:

                     No

                     Common Name

                     IUPAC Name
                     Identification Numbers

                     Minimum purity of the active substance in the biocidal product as placed on the market

                     Date of inclusion

                     Deadline for compliance with Article 16(3) (except for products containing more than one active substance, for which the deadline to comply with Article 16(3) shall be the one set out in the last of the inclusion decisions relating to its active substances)

                     Expiry date of inclusion

                     Product type

                     Specific provisions (1)

                     ‘36

                     Metofluthrin

                                 RTZ isomer:
                                 2,3,5,6-tetrafluoro-4-(methoxymethyl)benzyl-(1R,3R)-2,2-dimethyl-3-(Z)-(prop-1-enyl)cyclopropanecarboxylate
                                 EC No: n.a.
                                 CAS No: 240494-71-7

                                 Sum of all isomers:
                                 2,3,5,6-tetrafluoro-4-(methoxymethyl)benzyl (EZ)-(1RS,3RS;1SR,3SR)-2,2-dimethyl-3-prop-1-enylcyclopropanecarboxylate
                                 EC No: n.a.
                                 CAS No: 240494-70-6

                     The active substance shall comply with both the following minimum purities:

                                 RTZ isomer:
                                 754 g/kg

                                 Sum of all isomers:
                                 930 g/kg

                     1 May 2011

                     Not applicable

                     30 April 2021

                     18

                     When assessing the application for authorisation of a product in accordance with Article 5 and Annex VI, Member States shall assess, when relevant for the particular product, those uses or exposure scenarios and those risks to compartments and populations that have not been representatively addressed in the European level risk assessment.’

         (1)  For the implementation of the common principles of Annex VI, the content and conclusions of assessment reports are available on the Commission website: http://ec.europa.eu/comm/environment/biocides/index.htm


Avis juridique important

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31980L1141

Council Directive 80/1141/EEC of 8 December 1980 amending Directives 70/457/EEC and 70/458/EEC on the common catalogue of varieties of agricultural plant species and on the marketing of vegetable seed

Official Journal L 341 , 16/12/1980 P. 0027 - 0028 Greek special edition: Chapter 03 Volume 32 P. 0033  Spanish special edition: Chapter 03 Volume 20 P. 0039  Portuguese special edition Chapter 03 Volume 20 P. 0039  Finnish special edition: Chapter 3 Volume 12 P. 0215  Swedish special edition: Chapter 3 Volume 12 P. 0215

COUNCIL DIRECTIVE  of 8 December 1980  amending Directives 70/457/EEC and 70/458/EEC on the common catalogue of varieties of agricultural plant species and on the marketing of vegetable seed  (80/1141/EEC)  THE COUNCIL OF THE EUROPEAN COMMUNITIES,  Having regard to the Treaty establishing the European Economic Community, and in particular Articles 43 and 100 thereof,  Having regard to the proposal from the Commission,  Having regard to the opinion of the European Parliament (1),  Whereas, for the reasons given below, Council Directive 70/457/EEC of 29 September 1970 on the common catalogue of varieties of agricultural plant species (2) and Council Directive 70/458/EEC of 29 September 1970 on the marketing of vegetable seed (3), as last amended by Directive 79/967/EEC (4), should be amended;  Whereas, pursuant to the provisions on the common catalogues of varieties, official acceptances of varieties granted before the implementation of those provisions in accordance with principles other than those laid down in the Directives in question expire not later than 30 June 1980, if by that date the varieties in question have not been accepted under the provisions of the Directives;  Whereas, in the case of a certain number of such varieties, it has not been possible to complete the acceptance procedure under the provisions of the Directives;  Whereas it therefore appears appropriate to provide for the possibility of extending the date for certain varieties,  HAS ADOPTED THIS DIRECTIVE:    Article 1 The following paragraph shall be added to Article 3 of Directive 70/457/EEC:  "4. In accordance with the procedure laid down in Article 23, Member States may be authorized in respect of individual varieties to extend until 31 December 1982 at the latest the date of expiry provided for in paragraph 3, in so far as, on 1 July 1980, the examination procedure initiated for these varieties prior to this date, with a view to their acceptance under the provisions of this Directive, has not yet been completed."   Article 2 The following paragraph shall be inserted in Article 9 of Directive 70/458/EEC:  "2a. In accordance with the procedure laid down in Article 40, Member States may be authorized in respect of individual varieties to extend until 31 December 1982 at the latest the date of expiry provided for in paragraph 2, in so far as, on 1 July 1980, the examination procedure initiated for these varieties prior to this date, with a view to their acceptance under the provisions of this Directive, has not yet been completed."  (1)OJ No C 291, 10.11.1980, p. 57. (2)OJ No L 225, 12.10.1970, p. 1. (3)OJ No L 225, 12.10.1970, p. 7. (4)OJ No L 293, 20.11.1979, p. 16.    Article 3 Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive with effect from 1 July 1980.   Article 4 This Directive is addressed to the Member States.     Done at Brussels, 8 December 1980.  For the Council  The President  C. NEY