title: COMMISSION IMPLEMENTING REGULATION (EU) …/... on detailed rules concerning the procedures for the notification of commercial vehicles with major or dangerous deficiencies identified during a technical roadside inspection

text:
               COMMISSION IMPLEMENTING REGULATION (EU) …/...

               of 29.11.2017

               on detailed rules concerning the procedures for the notification of commercial vehicles with major or dangerous deficiencies identified during a technical roadside inspection

               (Text with EEA relevance)

               THE EUROPEAN COMMISSION,

               Having regard to the Treaty on the Functioning of the European Union,

               Having regard to Directive 2014/47/EU of the European Parliament and of the Council of 3 April 2014 on the technical roadside inspection of the roadworthiness of commercial vehicles circulating in the Union and repealing Directive 2000/30/EC
                  1
               , and in particular Article 18(1) thereof,

               Whereas:

               (1)In accordance with Article 18(1) of Directive 2014/47/EU, in cases where inter alia major or dangerous deficiencies are identified in a vehicle not registered in the Member State of inspection, the contact point is required to notify the results of the inspection to the contact point of the Member State where the vehicle is registered. The notification shall contain the elements of the roadside inspection report set out in its Annex IV, which has to be drawn up by the inspector on completion of a more detailed inspection in accordance with Article 16(2) of Directive 2014/47/EU.

               (2)In order to facilitate communication between the national contact points, the Commission is required to adopt detailed rules for the implementation of the notification procedure.

               (3)In accordance with Article 18(1) of Directive 2014/47/EU, the notification shall preferably be communicated through the national electronic register referred to in Article 16 of Regulation (EC) No 1071/2009 of the European Parliament and the Council
                  2
               .

               (4)Article 16(2) of Regulation (EC) No 1071/2009 specifies the mandatory minimum content of the national electronic registers. However, the elements of the roadside inspection report as set out in Annex IV of Directive 2014/47/EU do not form part of that mandatory minimum content.

               (5)Article 16(5) of Regulation (EC) No 1071/2009 provides that the national electronic registers are to be interconnected.

               (6)Due to the limited scope of Article 16(2) of Regulation (EC) No 1071/2009 and the resulting limited scope of the European Registers of Road Transport Undertakings' (ERRU) system, the notification set out in Article 18(1) of Directive 2014/47/EU cannot be transmitted via the national electronic registers using that system.

               (7)However in order to avoid unnecessary administrative burdens and costs, the system architecture of ERRU should be used to develop the messaging system for the notification stipulated by Article 18(1) of Directive 2014/47/EU.

               (8)The common rules for the interconnection via ERRU are established in Commission Regulation (EU) No 1213/2010
                  3
               .

               (9)Commission Implementing Regulation (EU) 2016/480
                  4
                will introduce significant amendments to the general functionalities of ERRU and replace Commission Regulation (EU) No 1213/2010 as of 30 January 2019. The messaging system used for the roadside inspection (RSI) notification will be built on the general functionalities of ERRU.

               (10)In order to limit administrative burdens and procedures and to ensure coherence it is therefore necessary that the messaging system used for notifications following a RSI also becomes applicable as of 30 January 2019.

               (11)The provisions on personal data protection, as laid down in particular by Directive 95/46/EC of the European Parliament and the Council
                  5
               , apply to the processing of any personal data pursuant to Directive 2014/47/EU. In particular, Member States should implement appropriate security measures to prevent misuse of personal data.

               (12)Where applicable, the provisions on personal data protection, as laid down by Regulation (EC) No 45/2001 of the European Parliament and of the Council
                  6
                apply to the processing of any personal data pursuant to Directive 2014/47/EU.

               (13)The measures provided for in this Regulation are adopted in accordance with the opinion of the Committee set up by Article 19(1) of Directive 2014/45/EU
                  7
               ,

               HAS ADOPTED THIS REGULATION:

               Article 1
                  Subject matter

               This Regulation lays down the rules applicable to the notification of the results of a technical roadside inspection (RSI) of commercial vehicles with major or dangerous deficiencies communicated via the RSI system referred to in Article 3.

               Article 2
                  Definitions

               In addition to the definitions set out in Regulation (EU) 2016/480, for the purposes of this Regulation, the following definitions shall apply:

               (1)'RSI message' means the notification message following a more detailed technical roadside inspection referred to in Article 10(3) of Directive 2014/47/EU sent via the RSI system or other secure network in a structured format as set out in the Annex to this Regulation.

               (2)RSI more detailed report means the document issued after a more detailed roadside inspection referred to in Article 16(2) of Directive 2014/47/EU.

               (3)'Member State of registration' means the Member State in which the vehicle is registered or, in cases where the vehicle is not subject to registration under the national legislation, put into service.

               Article 3
                  RSI system

               1.The Commission shall set up a messaging system (RSI system) using the system architecture of the messaging system of the European Registers of Road Transport Undertakings in accordance with Regulation (EU) 2016/480. The RSI system shall facilitate the notification obligation laid down in Article 18(1) of Directive 2014/47/EU.

               2.The RSI system shall fulfil the technical specifications laid down in Annexes I, III points 1 and 2, V, VI and VII of Regulation (EU) 2016/480 and in the Annex to this Regulation.

               Article 4
                  Notification

               1.The contact point of the Member State which carried out the technical roadside inspection shall notify without delay the results of the inspection to the Member State of registration.

               2.The Member State conducting the technical roadside inspection shall notify the Member State of registration using the RSI system, in accordance with the procedures and technical requirements laid down in the Annex.

               Article 5
                  Entry into force and application

               This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

               It shall apply from 30 June 2020.

               However, Article 4(1) shall apply from 20 May 2018.

               This Regulation shall be binding in its entirety and directly applicable in all Member States.

               Done at Brussels, 29.11.2017

                     For the Commission

                     The President
                     Jean-Claude JUNCKER

                     (1)

                        OJ L 127, 29.4.2014, p. 134.

                     (2)

                        Regulation (EC) No 1071/2009 of the European Parliament and the Council of 21 October 2009 establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC (OJ L 300, 14.11.2009, p. 51).

                     (3)

                        Commission Regulation (EU) No 1213/2010 of 16 December 2010 establishing common rules concerning the interconnection of national electronic registers on road transport undertakings (OJ L 335, 18.12.2010, p. 21).

                     (4)

                        Commission Implementing Regulation (EU) 2016/480 of 1 April 2016 establishing common rules concerning the interconnection of national electronic registers on road transport undertakings and repealing Regulation (EU) No 1213/2010 (OJ L 87, 2.4.2016, p. 4).

                     (5)

                        Directive 95/46/EC of the European Parliament and 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 (OJ L 281, 23.11.1995, p. 31).

                     (6)

                        Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).

                     (7)

                        Directive 2014/45/EU of the European Parliament and the Council of 3 April 2014 on periodic roadworthiness tests for motor vehicles and their trailers and repealing Directive 20009/40/EC (OJ L 127, 29.4.2014, p. 51.).

    ---documentbreak---

               ANNEX

               Minimum requirements for the content of the XML messages

               1.Header

               All the XML messages exchanged with the system shall have the same header to identify the sender, the recipient, the date and time sent, and some technical information.

                        Common Header

                        Mandatory

                        Version

                        The official version of the XML specifications shall be specified through the namespace defined in the message XML Schema Definition file (XSD) and in the version attribute of the header element of any XML message. The version number (‘n.m’) shall be defined as fixed value in every release of the XSD.

                        Yes

                        Test Identifier

                        Optional id for testing. The originator of the test shall populate the id and all participants in the workflow shall forward / return the same id. In production it shall be ignored and shall not be used if it is supplied.

                        No

                        Technical Identifier

                        A UUID uniquely identifying each individual message. The sender generates a UUID and populates this attribute. This data is not used in any business capacity.

                        Yes

                        Workflow Identifier

                        The workflow Id is a UUID and shall be generated by the requesting Member State. This id is then used in all messages to correlate the workflow.

                        Yes

                        Sent At

                        The date and time in Coordinated Universal Time (UTC) format when the message was sent.

                        Yes

                        Timeout

                        This is an optional date and time (in UTC format) attribute. This value shall be set only by the Hub for forwarded requests. This shall inform the responding Member State of the time when the request will be timed out. It is optional so that the same header definition may be used for all message types regardless of whether or not the Timeout attribute is required.

                        NOT USED, as we send only notifications, no response is expected.

                        No

                        From

                        The ISO 3166-1 Alpha 2 code of the Member State sending the message or ‘EU’ ("EU" used when sending error messages from the Hub).

                        Yes

                        To

                        The ISO 3166-1 Alpha 2 code of the Member State to which the message is being sent or ‘EU’ ("EU" used when sending error messages to the Hub).

                        Yes

               2.More Detailed Report

               In case of communicating the result of a more detailed technical roadside inspection, the RSI message and the automatically sent acknowledgement message shall be composed as follows.

               In order to facilitate the notification, the checklist set out in Annex IV, the reasons for failure and the assessment of the deficiencies set out in Annex II of Directive 2014/47/EU shall be included in the RSI message as an optional content.

               The RSI message shall always be sent by the Member State of inspection to the Member State of registration. The receipt of the RSI message shall not be refused.

               The acknowledgement message serves to acknowledge the reception of the notification message.

                        RSI Notification Request

                        Mandatory

                        Business Case Identifier

                        A serial or reference number identifying each individual case.

                        A case Id could be used to keep a link when more than one workflow of messages is used to treat the same case, for instance  when sending an initial notification and later a more detailed one, both related to the same case.

                        (Text)

                        Yes

                        Sending Authority

                        The competent authority that issues the RSI message.

                        (Text)

                        Yes

                        RSI Details

                        Yes

                        RSI Identifier

                        The unique ID of the RSI in the Member State of inspection.

                        Facilitates communication and allows the Member State of registration to ask for more details to the Member State of inspection, who can use it to search in their database.

                        (Text)

                        No

                        Location

                        The place where the RSI occurred. Could be exact coordinates, municipality, town, etc.

                        (Text)

                        Yes

                        Date/Time

                        The date of the RSI in ISO 8601 UTC Format (YYYY-MM-DDThh:mm:ssZ)

                        Yes

                        Inspector

                        The name of the officer, inspector or authority who conducted the RSI.

                        (Text)

                        Yes

                        Vehicle Details

                        Yes

                        Category

                        The vehicle category.

                        N2 (3,5 to 12 t)

                        N3 (more than 12 t)

                        O3 (3,5 to 12 t)

                        O4 (more than 10 t)

                        M2 (>9 seats to 5 t)

                        M3 (>9 seats more than 5 t)

                        T5

                        T1b,

                        T2b,

                        T3b,

                        T4.1b,

                        T4.2b

                        T4.3b

                        Other vehicle category

                        (Selectable list, one item selected only)

                        Yes

                        Other category

                        Specify the other category:

                        M1, N1, O1, O2, T1a, T2a, T3a, T4a, T4.1a, T4.2a, T4.3a, C, R1a, R1b, R2a, R2b, R3a, R3b, R4a, R4b, S1a, S1b, S2a, S2b, L1e, L2e, L3e, L4e, L5e, L6e, L7e

                        (Selectable list, one item selected only, only if Other is chosen but not mandatory)

                        No

                        Registration

                        The registration number of the vehicle.

                         (Text)

                        Yes

                        VIN

                        The vehicle identification number of the vehicle.

                        (Text)

                        Yes

                        Odometer

                        The odometer reading of the vehicle at the time of the RSI.

                        IMPORTANT: If an odometer is fitted, this field must be filled in, otherwise put "0".

                        (Number)

                        Yes

                        Transport Undertaking/Holder Details

                        Yes (One of both must be filled Undertaking or Holder)

                        Transport Undertaking

                        Yes (Only if Undertaking)

                        Undertaking Name

                        The name of the transport undertaking.

                        (Text)

                        Yes

                        Undertaking Address

                        The address of the transport undertaking (address, postal code, city, country).

                        (Text)

                        Yes

                        Undertaking Community Licence

                        The number of the Community licence (according to Regulations (EC) No 1072/2009 and (EC) 1073/2009)

                        IMPORTANT: If the Community licence is known it must be filled in.

                         (Text)

                        Yes

                        Holder (in case of no undertaking)

                        Yes (Only if Holder)

                        Company

                        Yes (Only if Holder is a company)

                        Name

                        The name of the Holder company.

                        (Text)

                        Yes

                        Address

                        The address of the Holder company (address, postal code, city, country).

                        (Text)

                        Yes

                        Natural person

                        Yes (Only if Holder is a natural person)

                        Family Name

                        The family name of the Holder.

                        (Text)

                        Yes

                        First Name

                        The first name(s) of the Holder.

                        (Text)

                        Yes

                        Address

                        The address of the Holder (address, postal code, city, country).

                        (Text)

                        Yes

                        Registration certificate

                        Number of the "Registration certificate".

                        No

                        Driver Details

                        Yes

                        Family Name

                        The family name of the driver.

                        (Text)

                        Yes

                        First Name

                        The first name(s) of the driver.

                        (Text)

                        Yes

                        Driving Licence

                        The driving licence number of the driver. If possible, for better identification.

                        (Text)

                        No

                        Driving Licence country

                        The country where the driving licence was issued in two letter code ISO 3166-1 alpha 2.

                        No

                        Checked item

                        (this section is repeated for each Checked Item; mandatory for a RSI message and then at least one item must be indicated as checked)

                        Yes

                        Item

                        The items defined in checklist of Annex IV of Directive 2014/47/EU.

                        If an item is selected, it means that it has been checked.

                        List items:

                        (0)Identification

                        (1)Braking equipment

                        (2)Steering

                        (3)Visibility

                        (4)Lighting equipment and electrical system

                        (5)Axles, wheels, tyres, suspension

                        (6)Chassis and chassis attachments

                        (7)Other equipment incl. tachograph and speed limitation device

                        (8)Nuisance incl. emissions and spillage of fuel and/or oil

                        (9)Supplementary tests for category M2 and M3 vehicles

                        (10)Cargo securing

                        (Selectable list, one item selected only)

                        Yes

                        Failed?

                        For each Checked item the result of the check (Passed/Failed): True if Failed

                        (True/False)

                        Yes

                        Checked item detail

                        (If result is Failed, for each Checked item this section is repeated for each deficiency found)

                        No (Only if result is Failed, but it's not mandatory to indicate more details)

                        Reason for failure

                        For each Checked item = Failed, the detail of the deficiency as defined in Annex II of Directive 2014/47/EU.

                        List items:

                        0.1.a IDENTIFICATION OF THE VEHICLE > Registration number plates (if needed by requirements) > Number plate(s) missing or so insecurely fixed that it is (they are) likely to fall off.

                        1.1.1.a BRAKING EQUIPMENT > Mechanical condition and operation > Service brake pedal/hand lever pivot > Pivot too tight.

                        6.2.5.a.1 CHASSIS AND CHASSIS ATTACHMENTS > Cab and bodywork > Driver's seat > Seat with defective structure.

                        Etc.

                        (Selectable list, one item selected only, if there are more than one deficiencies this sub-section shall be repeated for each one)

                        The assessment of the deficiency is not indicated, it is known in accordance with Annex II of Directive 2014/47/EU.

                        IMPORTANT: In Annex II, some reasons for failure are not numbered, i.e. 6.2.5.a has two options, to know to which one we are referring they shall be numbered 1 and 2 in the system.

                        Yes

                        Rectified?

                        Has the failure been rectified in the Member State of inspection? True = Yes

                        (True/False)

                        No

                        Result of inspection

                        Yes

                        Result of inspection

                        The RSI result (Passed/Failed): True if Passed

                        (True/False)

                        Yes

                        Prohibition or Restriction

                        Prohibition or restriction of using the vehicle, which has dangerous deficiencies.

                        (True/False)

                        Yes

                        PTI Requested?

                        Is the Member State of inspection requesting the Member State of registration to conduct a periodical technical inspection? True = Yes

                        (True/False)

                        Yes

                        RSI Notification Acknowledgement

                        (Sent automatically)

                        Mandatory

                        Status Code

                        Status code of the acknowledgement.

                        (Selectable list, one item selected only)

                        Yes

                        Status Message

                        Any additional comments to the Status Code.

                        (Text)

                        No


title: COMMISSION IMPLEMENTING REGULATION (EU) …/... on technical arrangements for developing, maintaining and employing electronic systems for the exchange of information and for the storage of such information under the Union Customs Code

text:
               COMMISSION IMPLEMENTING REGULATION (EU) …/...

               of 14.11.2017

               on technical arrangements for developing, maintaining and employing electronic systems for the exchange of information and for the storage of such information under the Union Customs Code

               THE EUROPEAN COMMISSION,

               Having regard to the Treaty on the Functioning of the European Union,

               Having regard to Regulation (EU) No 952/2013 of the European Parliament and the Council of 9 October 2013 laying down the Union Customs Code
                  1
               , and in particular Articles 8(1)(b) and 17 thereof,

               Whereas:

               (1)Article 6(1) of Regulation (EU) No 952/2013 ('the Code') requires that all exchanges of information, such as declarations, applications or decisions, between customs authorities and between economic operators and customs authorities, and the storage of that information, as required under the customs legislation, are made by using electronic data-processing techniques.

               (2)Commission Implementing Decision (EU) 2016/578
                  2
                establishes the Work Programme for the implementation of the electronic systems required for the application of the Code, which are to be developed through projects listed in section II of the Annex to that Implementing Decision.

               (3)Important technical arrangements for the functioning of the electronic systems should be specified, such as arrangements for development, testing and deployment as well as for maintenance and for changes to be introduced in the electronic systems. Further arrangements should be specified concerning data protection, updating of data, limitation of data processing and systems ownership and security.

               (4)In order to safeguard the rights and interests of the Union, Member States and economic operators, it is important to lay down the procedural rules and provide for alternative solutions to be implemented in the event of a temporary failure of the electronic systems.

               (5)The Customs Decisions system, developed through the UCC Customs Decisions project referred to in Implementing Decision (EU) 2016/578, pursues the objective of harmonising the processes for the application for a customs decision, for the decision taking and the decision management in the whole of the Union using only electronic data-processing techniques. It is therefore necessary to lay down the rules governing that electronic system. The scope of the system should be determined by reference to the customs decisions which are to be applied for, taken and managed using that system. Detailed rules should be set out for the system's common components (EU trader portal, central customs decisions management system and customer reference services) and national components (national trader portal and national customs decisions management system), by specifying their functions and their interconnections.

               (6)Furthermore, rules have to be put in place concerning the data relating to authorisations that are already stored in existing electronic systems, such as the Regular Shipping Service system (RSS), and national systems and that have to be migrated to the Customs Decisions System.

               (7)The Uniform User Management and Digital Signature system, developed through the Direct trader access to the European Information Systems (Uniform User Management & Digital Signature) project referred to in Implementing Decision (EU) 2016/578, is to manage the authentication and access verification process for economic operators and other users. Detailed rules need to be set out regarding the scope and characteristics of the system by defining the different components (common and national components) of the system, their functions and interconnections. However, the "Digital Signature" functionality is not yet available as part of the Uniform User Management and Digital Signature system. No detailed rules could therefore be laid down regarding that functionality in this Regulation.

               (8)This Regulation respects the fundamental rights and observes the principles recognised by the Charter of Fundamental Rights of the European Union, and notably the right to protection of personal data. Where for the purposes of the application of the customs legislation it is necessary to process personal data in the electronic systems, those data must be processed in accordance with Regulation (EU) 2016/679 of the European Parliament and of the Council
                  3
                and Regulation (EU) No 45/2001 of the European Parliament and of the Council
                  4
               . The personal data of economic operators and persons other than economic operators processed by the electronic systems are restricted to the dataset as defined in Annex A, Group 3- Parties and Annex 12-01 of Commission Delegated Regulation (EU) 2015/2446
                  5
               .

               (9)The measures provided for in this Implementing Regulation are in accordance with the opinion of the Customs Code Committee,

               HAS ADOPTED THIS REGULATION:

               Chapter I

               General Provisions

               Article 1

               Scope

               This Regulation shall apply to the following electronic systems:

               (a)
                     the Customs Decisions system developed through the UCC Customs Decisions project referred to in the Annex to Implementing Decision (EU) 2016/578;

               (b)
                     the Uniform User Management and Digital Signature system developed through the Direct trader access to the European Information Systems (Uniform User Management & Digital Signature) project referred to in the Annex to Implementing Decision (EU) 2016/578.

               Article 2

               Definitions

               For the purpose of this Regulation, the following definitions shall apply:

               (1)
                     ‘common component’ means a component of the electronic systems developed at Union level, which is available for all Member States;

               (2)
                     ‘national component’ means a component of the electronic systems developed at national level, which is available in the Member State that created such a component.

               Article 3

               Contact points for the electronic systems

               The Commission and the Member States shall designate contact points for each of the electronic systems for the purposes of exchanging information to ensure a coordinated development, operation and maintenance of those electronic systems. They shall communicate the details of those contact points to each other.

               The Commission and the Member States shall inform each other immediately of any changes to the details of those contact points.

               Chapter II

               Customs Decisions system

               Article 4

               Object and structure of the CDS

               1.
                     The Customs Decisions system (CDS) shall enable communication between the Commission, Member States, economic operators and persons other than economic operators for the purposes of submitting and processing applications and decisions referred to in Article 5(1), as well as the management of decisions related to the authorisations, namely, amendments, revocations, annulments and suspensions.

               2.
                     The CDS shall consist of the following common components:

               (a) an EU trader portal;

               (b) a central customs decisions management system ("central CDMS");

               (c) customer reference services.

               3.
                     Member States may create the following national components:

               (a) a national trader portal;

               (b) a national customs decisions management system ("national CDMS").

               Article 5

               Use of the CDS

               1.
                     The CDS shall be used for the purposes of submitting and processing applications for the following authorisations, as well as the management of decisions related to the applications or authorisations:

               (a)
                     authorisation for the simplification of the determination of amounts being part of the customs value of the goods, as referred to in Article 73 of the Code;

               (b)
                     authorisation for the provision of a comprehensive guarantee, including possible reduction or waiver, as referred to in Article 95 of the Code;

               (c)
                     authorisation of deferment of the payment of the duty payable, as far as the permission is not granted in relation to a single operation, as referred to in Article 110 of the Code;

               (d)
                     authorisation for the operation of temporary storage facilities, as referred to in Article 148 of the Code;

               (e)
                     authorisation to establish regular shipping services, as referred to in Article 120 of Commission Delegated Regulation (EU) 2015/2446;

               (f)
                     authorisation for the status of authorised issuer, as referred to in Article 128 of Delegated Regulation (EU) 2015/2446;

               (g)
                     authorisation for the regular use of a simplified declaration, as referred to in Article 166(2) of the Code;

               (h)
                     authorisation for centralised clearance, as referred to in Article 179 of the Code;

               (i)
                     authorisation to lodge a customs declaration through an entry of data in the declarant’s records, including for the export procedure, as referred to in Article 182 of the Code;

               (j)
                     authorisation for self-assessment, as referred to in Article 185 of the Code;

               (k)
                     authorisation for the status of an authorised weigher of bananas, as referred to in Article 155 of Delegated Regulation (EU) 2015/2446;

               (l)
                     authorisation for the use of the inward processing procedure, as referred to in Article 211(1)(a) of the Code;

               (m)
                     authorisation for the use of the outward processing procedure, as referred to in Article 211(1)(a) of the Code;

               (n)
                     authorisation for the use of the end-use procedure, as referred to in Article 211(1)(a) of the Code;

               (o)
                     authorisation for the use of the temporary admission procedure, as referred to in Article 211(1)(a) of the Code;

               (p)
                     authorisation for the operation of storage facilities for customs warehousing of goods, as referred to in Article 211(1)(b) of the Code;

               (q)
                     authorisation for the status of an authorised consignee for TIR operation, as referred to in Article 230 of the Code;

               (r)
                     authorisation for the status of an authorised consignor for Union transit, as referred to in Article 233(4)(a) of the Code;

               (s)
                     authorisation for the status of an authorised consignee for Union transit, as referred to in Article 233(4)(b) of the Code;

               (t)
                     authorisation to use of seals of a special type, as referred to in Article 233(4)(c) of the Code;

               (u)
                     authorisation to use a transit declaration with a reduced dataset, as referred to in Article 233(4)(d) of the Code;

               (v)
                     authorisation for the use of an electronic transport document as a customs declaration, as referred to in Article 233(4)(e) of the Code.

               2.
                     The common components of the CDS shall be used with respect to applications and authorisations referred to in paragraph 1, as well as the management of decisions related to those applications and authorisations where those authorisations or decisions may have an impact in more than one Member State.

               3.
                     A Member State may decide that the common components of the CDS may be used with respect to applications and authorisations referred to in paragraph 1, as well as the management of decisions related to those applications and authorisations where those authorisations or decisions have an impact only in that Member State.

               4.
                     The CDS shall not be used with respect to applications, authorisations or decisions other than those listed to in paragraph 1.

               Article 6

               Authentication and access to the CDS

               1.
                     The authentication and access verification of economic operators and persons other than economic operators for the purposes of access to the common components of the CDS shall be effected using the Uniform User Management and Digital Signatures (UUM&DS) system referred to in Article 14.

               2.
                     The authentication and access verification of Member States' officials for the purposes of access to the common components of the CDS shall be effected using the network services provided by the Commission.

               3.
                     The authentication and access verification of Commission's staff for the purposes of access to the common components of the CDS shall be effected using the UUM&DS system or the network services provided by the Commission.

               Article 7

               EU trader portal

               1.
                     The EU trader portal shall be an entry point to the CDS for economic operators and persons other than economic operators.

               2.
                     The EU trader portal shall interoperate with the central CDMS as well as with national CDMS where created by Member States.

               3.
                     The EU trader portal shall be used for applications and authorisations referred to in Article 5(1), as well as the management of decisions related to those applications and authorisations where those authorisations or decisions may have an impact in more than one Member State.

               4.
                     A Member State may decide that the EU trader portal may be used for applications and authorisations referred to in Article 5(1), as well as the management of decisions related to those applications and authorisations where those authorisations or decisions have an impact only in that Member State.

               Where a Member State takes a decision to use the EU trader portal for authorisations or decisions that have an impact only in that Member State, it shall inform the Commission thereof.

               Article 8

               Central customs decisions management system

               1.
                     The central CDMS shall be used by the customs authorities of the Member States for processing of the applications and authorisations referred to in Article 5(1), as well as the management of decisions related to those applications and authorisations by enabling Member States to verify whether the conditions for the acceptance of the applications and for taking the decisions are fulfilled.

               2.
                     The central CDMS shall interoperate with the EU trader portal, the customer reference services and with the national CDMS, where created by the Member States.

               Article 9

               Consultation between the customs authorities using the CDS

               A customs authority of a Member State shall use the central CDMS when it needs to consult a customs authority of another Member State before taking a decision regarding the applications or authorisations referred to in Article 5(1).

               Article 10

               Customer reference services

               The customer reference services shall be used for the central storage of data relating to the authorisations referred to in Article 5(1), as well as decisions related to those authorisations, and shall enable the consultation, replication and validation of those authorisations by other electronic systems established for the purposes of Article 16 of the Code.

               Article 11

               National trader portal

               1.
                     The national trader portal, where created, shall be an additional entry point to the CDS for economic operators and persons other than economic operators.

               2.
                     With respect to applications and authorisations referred to in Article 5(1), as well as the management of decisions related to those applications and authorisations where those authorisations or decisions may have an impact in more than one Member State, economic operators and persons other than economic operators may choose to use the national trader portal, where created, or the EU trader portal.

               3.
                     The national trader portal shall interoperate with the national CDMS, where created.

               4.
                     Where a Member State creates a national trader portal, it shall inform the Commission thereof.

               Article 12

               National customs decisions management system

               1.
                     A national CDMS, where created, shall be used by the customs authority of the Member State which created it for processing the applications and authorisations referred to in Article 5(1), as well as the management of decisions related to those applications and authorisations by verifying whether the conditions for the acceptance of the applications and for taking the decisions are fulfilled.

               2.
                     The national CDMS shall interoperate with the central CDMS for the purposes of consultation between the customs authorities as referred to in Article 9.

               Article 13

               Migration of data relating to authorisations to the CDS

               1.
                     The data relating to authorisations referred to in Article 5(1) where those authorisations were issued as of 1 May 2016 or granted according to Article 346 of Commission Implementing Regulation (EU) 2015/2447
                  6
                and may have an impact in more than one Member State, shall be migrated and stored in the CDS if such authorisations are valid on the date of migration. The migration shall take place by 1 May 2019 at the latest.

               A Member State may decide to apply the first subparagraph also to authorisations referred to in Article 5(1) that have an impact only in that Member State.

               2.
                     The customs authorities shall ensure that the data to be migrated in accordance with paragraph 1 comply with the data requirements laid down in Annex A to Delegated Regulation (EU) 2015/2446 and Annex A to Commission Implementing Regulation (EU) 2015/2447. For that purpose, they may request the necessary information from the holder of the authorisation.

               Chapter III

               Uniform User Management and Digital Signature system

               Article 14

               Object and structure of the UUM&DS system

               1.
                     The Uniform User Management and Digital Signature (UUM&DS) system shall enable the communication between the Commission and the Member States' identity and access management systems referred to in Article 18 for the purposes of providing secure authorised access to the electronic systems to economic operators and persons other than the economic operators and Commission's staff.

               2.
                     The UUM&DS system shall consist of the following common components:

               (a) an access management system;

               (b) an administration management system;

               3.
                     A Member State shall create an identity and access management system as a national component of the UUM&DS system.

               Article 15

               Use of the UUM&DS system

               The UUM&DS system shall be used to ensure the authentication and access verification of:

               (a) economic operators and persons other than economic operators for the purposes of having access to the common components of the CDS;

               (b) the Commission's staff for the purposes of having access to the common components of the CDS and for the purposes of maintenance and management of the UUM&DS system.

               Article 16

               Access management system

               The Commission shall set up the access management system to validate the access requests submitted by the economic operators and persons other than economic operators within the UUM&DS system by interoperating with the Member States' identity and access management systems referred to in Article 18.

               Article 17

               Administration management system

               The Commission shall set up the administration management system to manage the authentication and authorisation rules for validating the identification data of economic operators and persons other than economic operators for the purposes of allowing access to the electronic systems.

               Article 18

               Member States' identity and access management systems

               The Member States shall set-up an identity and access management system to ensure:

               (a) a secure registration and storage of identification data of economic operators and persons other than economic operators;

               (b) a secure exchange of signed and encrypted identification data of economic operators and persons other than economic operators.

               Chapter IV

               Functioning of the electronic systems and training in the use thereof

               Article 19

               Development, testing, deployment and management of the electronic systems

               1.
                     The common components shall be developed, tested, deployed and managed by the Commission. The national components shall be developed, tested, deployed and managed by the Member States.

               2.
                     The Member States shall ensure that the national components are interoperable with the common components.

               Article 20

               Maintenance of and changes to the electronic systems

               1.
                     The Commission shall perform the maintenance of the common components and the Member States shall perform the maintenance of their national components.

               2.
                     The Commission and the Member States shall ensure uninterrupted operation of the electronic systems.

               3.
                     The Commission may change the common components of the electronic systems to correct malfunctions, to add new functionalities or alter existing ones.

               4.
                     The Commission shall inform the Member States of changes and updates to the common components.

               5.
                     Member States shall inform the Commission of changes and updates to the national components that may have repercussions on the functioning of the common components.

               6.
                     The Commission and Member States shall make the information on the changes and updates to the electronic systems pursuant to paragraphs 4 and 5 publicly available.

               Article 21

               Temporary failure of the electronic systems

               1.
                     In case of a temporary failure of the electronic systems as referred to in Article 6(3)(b) of the Code, economic operators and persons other than economic operators shall submit the information to fulfil the formalities concerned by the means determined by the Member States, including means other than electronic data processing techniques.

               2.
                     The customs authorities shall make sure the information submitted in accordance with paragraph 1 is made available in the respective electronic systems within 7 days of the respective electronic systems becoming available again.

               3.
                     The Commission and the Member States shall inform each other of the unavailability of the electronic systems resulting from a temporary failure.

               Article 22

               Training support on the use and functioning of the common components

               The Commission shall support the Member States on the use and functioning of the common components of the electronic systems by providing the appropriate training material.

               Chapter V

               Data protection, data management and the ownership and security of the electronic systems

               Article 23

               Personal data protection

               1.
                     The personal data registered in the electronic systems shall be processed for the purposes of implementing the customs legislation having regard to the specific objectives of each of the electronic systems as set out in Article 4(1) and Article 14(1), respectively.

               2.
                     The national supervisory authorities in the field of personal data protection and the European Data Protection Supervisor shall cooperate to ensure coordinated supervision of the processing of personal data registered in the electronic systems.

               Article 24

               Updating of data in the electronic systems

               Member States shall ensure that the data registered at national level corresponds to the data registered in the common components and is kept up to date.

               Article 25

               Limitation of data access and data processing

               1.
                     The data registered in the common components of the electronic systems by a Member State may be accessed or processed by that Member State. It may also be accessed and processed by another Member State where it is involved in the processing of an application or the management of a decision to which the data relates, including by way of a consultation in accordance with Article 9.

               2.
                     The data registered in the common components of the electronic systems by an economic operator or a person other than an economic operator may be accessed or processed by that economic operator or that person. It may also be accessed and processed by a Member State involved in the processing of an application or the management of a decision to which the data relates, including by way of a consultation in accordance with Article 9.

               Article 26

               System ownership

               1.
                     The Commission shall be the system owner of the common components.

               2.
                     The Member States shall be the system owners of the national components.

               Article 27

               System security

               1.
                     The Commission shall ensure the security of the common components. The Member States shall ensure the security of the national components.

               For those purposes, the Commission and Member States shall take, at least, the necessary measures to:

               (a)prevent any unauthorised person from having access to installations used for the processing of data;

               (b)prevent the entry of data and any consultation, modification or deletion of data by unauthorised persons;

               (c)detect any of the activities referred to in points (a) and (b);

               2.
                     The Commission and the Member States shall inform each other of any activities that might result in a breach or a suspected breach of the security of the electronic systems.

               Chapter VI

               Final provisions

               Article 28

               Assessment of the electronic systems

               The Commission and the Member States shall conduct assessments of the components they are responsible for and shall in particular analyse the security and integrity of the components and the confidentiality of data processed within those components.

               The Commission and the Member States shall inform each other of the assessment results.

               Article 29

               Entry into force

               This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

               This Regulation shall be binding in its entirety and directly applicable in all Member States.

               Done at Brussels, 14.11.2017

                     For the Commission

                     The President
                     Jean-Claude JUNCKER

                     (1)

                        OJ L 269, 10.10.2013, p. 1.

                     (2)

                        Commission Implementing Decision (EU) 2016/578 of 11 April 2016 establishing the Work Programme relating to the development and deployment of the electronic systems provided for in the Union Customs Code (OJ L 99, 15.4.2016, p. 6).

                     (3)

                        Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (OJ L 119, 4.5.2016, p. 1).

                     (4)

                        Regulation (EU) 45/2001 of the European Parliament and of the Council of 18 December2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).

                     (5)

                        Commission Delegated Regulation (EU) 2015/2446 of 28 July 2015 supplementing Regulation (EU) No 952/2013 of the European Parliament and of the Council as regards detailed rules concerning certain provisions of the Union Customs Code (OJ L 343, 29.12.2015, p. 1).

                     (6)

                        Commission Implementing Regulation (EU) 2015/2447 of 24 November 2015 laying down detailed rules for implementing certain provisions of Regulation (EU) No 952/2013 of the European Parliament and of the Council laying down the Union Customs Code (OJ L 343, 29.12.2015, p. 558).


title: COMMISSION IMPLEMENTING REGULATION (EU) No …/.. on the extension of the transitional periods related to own funds requirements for exposures to central counterparties set out in Regulations (EU) No 575/2013 and (EU) No 648/2012 of the European Parliament and of the Council

text:
               COMMISSION IMPLEMENTING REGULATION (EU) No …/..

               of 6.12.2017

               on the extension of the transitional periods related to own funds requirements for exposures to central counterparties set out in Regulations (EU) No 575/2013 and (EU) No 648/2012 of the European Parliament and of the Council

               (Text with EEA relevance)

               THE EUROPEAN COMMISSION,

               Having regard to the Treaty on the Functioning of the European Union,

               Having regard to Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012
                  1
               , and in particular Article 497(3) thereof,

               Whereas:

               (1)In order to avoid disruption to international financial markets and to prevent penalising institutions by subjecting them to higher own funds requirements during the processes of recognition of existing third-country central counterparties (CCPs), Article 497(2) of Regulation (EU) No 575/2013 established a transitional period during which third-country CCPs with which institutions established in the Union clear transactions may be considered qualifying CCPs by those institutions.

               (2)Regulation (EU) No 575/2013 amended Regulation (EU) No 648/2012 of the European Parliament and of the Council
                  2
                in respect of certain inputs to the calculation of institutions’ own funds requirements for exposures to third-country CCPs. Accordingly, Article 89(5a) of Regulation (EU) No 648/2012 requires certain third-country CCPs to report, for a limited period of time, the total amount of initial margin they have received from their clearing members. That transitional period mirrors the one laid down in Article 497(2) of Regulation (EU) No 575/2013.

               (3)Both transitional periods were set to expire on 15 June 2014.

               (4)Article 497(3) of Regulation (EU) No 575/2013 empowers the Commission to adopt an implementing act to extend the transitional period for own funds requirements by six months in exceptional circumstances. That extension should also apply in respect of the time limits laid down in Article 89(5a) of Regulation (EU) No 648/2012. Those transitional periods have most recently been extended until 15 December 2017 by Commission Implementing Regulation (EU) 2017/954
                  3
               .

               (5)Of the CCPs established in third countries that have applied for recognition in accordance with Article 25 of Regulation (EU) No 648/2012, 29 CCPs have been recognised by the European Securities and Markets Authority. Of those, one CCP from New Zealand has been recognised on the basis of Commission Implementing Decision (EU) 2016/2774
                  4
               . Furthermore, three additional CCPs from India could be recognised on the basis of Commission Implementing Decision (EU) 2016/2269
                  5
               . The remaining third-country CCPs are still awaiting recognition and their recognition process will not be completed by 15 December 2017. If the transitional period is not extended, institutions established in the Union (or their subsidiaries established outside the Union) having exposures to those remaining third-country CCPs will be required to increase their own funds for those exposures significantly,  potentially leading to the withdrawal of those institutions as direct participants in those CCPs or, at least temporarily, to the cessation of the provision of clearing services to those institutions' clients and thus cause severe disruption in the markets in which those CCPs operate.

               (6)The need to avoid disruption to markets outside of the Union that led to the previous extensions of the transitional period laid down in Article 497(2) of Regulation (EU) No 575/2013 would therefore remain after the expiry of the extension of the transitional period set out in Implementing Regulation (EU) 2017/954. A further extension of the transitional period should enable institutions established in the Union (or their subsidiaries established outside the Union) to avoid significant increase in the own funds requirements due to the lack of completion of the recognition process for CCPs which provide, in a viable and accessible way, the specific type of clearing services that institutions established in the Union (or their subsidiaries established outside the Union) require. An additional six-month extension of the transitional periods is therefore appropriate.

               (7)The measures provided for in this Regulation are in accordance with the opinion of the European Banking Committee,

               HAS ADOPTED THIS REGULATION:

               Article 1

               The 15-month periods referred to in Article 497(2) of Regulation (EU) No 575/2013 and in the second subparagraph of Article 89(5a) of Regulation (EU) No 648/2012, as most recently extended in Implementing Regulation (EU) 2017/954, are extended by an additional six months until 15 June 2018.

               Article 2

               This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Union.

               This Regulation shall be binding in its entirety and directly applicable in all Member States.

               Done at Brussels, 6.12.2017

                     For the Commission

                     Jean-Claude Juncker
                        The President
                     Jean-Claude JUNCKER

                     The President

                     Jean-Claude Juncker
                        The President
                     Jean-Claude JUNCKER

                     (1)

                        OJ L 176, 27.6.2013, p. 1.

                     (2)

                        Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (OJ L 201, 27.7.2012, p. 1).

                     (3)

                        Commission Implementing Regulation (EU) 2017/954 of 6 June 2017 on the extension of the transitional periods related to own funds requirements for exposures to central counterparties set out in Regulations (EU) No 575/2013 and (EU) No 648/2012 of the European Parliament and of the Council (OJ L 144, 7.6.2017, p. 14).

                     (4)

                        Commission Implementing Decision (EU) 2016/2274 of 15 December 2016 on the equivalence of the regulatory framework for central counterparties in New Zealand in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (OJ L 342, 16.12.2016, p. 54).

                     (5)

                        Commission Implementing Decision (EU) 2016/2269 of 15 December 2016 on the equivalence of the regulatory framework for central counterparties in India in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (OJ L 342, 16.12.2016, p. 38).