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COMMISSION IMPLEMENTING REGULATION (EU) …/...

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amending Implementing Regulation (EU) 2016/480 establishing common rules concerning the interconnection of national electronic registers on road transport undertakings

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

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

Having regard to Regulation (EC) No 1071/2009 of the European Parliament and of 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 ( 1 ), and in particular Article 16(6) thereof,

Whereas:

(1)Article 16(1) of Regulation (EC) No 1071/2009 requires the Member States to keep a national electronic register of road transport undertakings that have been authorised by a competent authority to engage in the occupation of road transport operator.

(2)Article 16(5) and (6) of Regulation (EC) No 1071/2009 requires the national electronic registers to be interconnected, mandating the Commission to adopt common rules concerning such interconnection.

(3)Implementing Regulation (EU) 2016/480 ( 2 ) sets up an electronic system for the interconnection of the national electronic registers, called the European Registers of Road Transport Undertakings (‘ERRU’). By interconnecting all the national electronic registers, the information contained in each national electronic register is made available to the competent national authorities of all Member States.

(4)Regulation (EC) No 1071/2009 has been amended by Regulation (EU) No 2020/1055 of the European Parliament and of the Council ( 3 ), now requiring national registers to include additional information on road transport undertakings. Such additional information must also be made available to the competent national authorities of the Member States during roadside checks. Consequently, ERRU should be updated to provide the functionalities that allow the additional information to be exchanged, as well as made available to the relevant authorities.

(5)Implementing Regulation (EU) 2016/480 should therefore be amended accordingly.

(6)The measures provided for in this Regulation are in accordance with the opinion of the Committee referred to in Article 42(1) of Regulation (EU) No 165/2014 of the European Parliament and of the Council 4 ,

HAS ADOPTED THIS REGULATION:

Article 1

Implementing Regulation (EU) 2016/480 is amended as follows:

(1) In Article 2, the following point is added:

‘(l) ‘Clean check’ means a check where no infringements are detected’;

(2) In Article 5, paragraph 2 is replaced by the following:

‘2. Member States shall grant control bodies in charge of roadside checks access to the Check Transport Undertaking Data functionality.’;

(3) Annexes II, III, VI and VIII are amended in accordance with the Annex to this Regulation.

Article 2

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,

For the Commission

The President

Ursula VON DER LEYEN

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ANNEX

Annexes II, III, VI and VIII to Implementing Regulation (EU) 2016/480 are amended as follows:

(1)in Annex II, point 1 is replaced by the following:

‘1. The following functionalities shall be provided through ERRU:

1.1 Check Good Repute (CGR): allows the requesting Member State to send a query to one or all responding Member States, to determine the fitness of a transport manager and so the authorisation to operate a transport undertaking.

1.2 Notification of Check Result (NCR): allows the Member State where the check was carried out to notify the result of a check to the Member State of establishment. When a serious infringement has been found during the check, the Member State of infringement may notify to the Member State of establishment through NCR that the transport undertaking has committed a serious infringement, and to request penalties to be applied to the transport undertaking in the Member State of establishment. When no infringement has been detected during the check, NCR allows the Member State where the check has been carried out to notify the Member State of establishment the positive result of the check.

1.3. Check Transport Undertaking Data (CTUD): allows the requesting Member State to send a query to the responding Member State about the following data that are specific from a transport undertaking:

- information about the Community Licence and the certified true copies,

- risk rating band,

- number of vehicles at the disposal of the transport undertaking,

- registration number and registration country of the vehicles at the disposal of the transport undertaking,

- number of employees.

1.4 Notification of Unfitness (NU): allows a Member State to inform all other Member States that a transport manager has been declared unfit and that as a result, its certificate of professional competence is no longer valid in any Member State.’;

(2)In Annex III, the Appendix is replaced by the following:

‘Minimum requirements for the content of the XML messages

Common Header		Mandatory
Version	The official version of the XML specifications will be specified through the namespace defined in the message XSD and in the version attribute of the Header element of any XML message. The version number (‘n.m’) will be defined as fixed value in every release of the XML Schema Definition file (xsd).	Yes
Test Identifier	Optional id for testing. The originator of the test will populate the id and all participants in the workflow will forward/return the same id. In production it should be ignored and will 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 workflowId is a UUID and should 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 (UTC) that the message was sent.	Yes
Timeout	This is an optional date and time (in UTC format) attribute. This value will be set only by the central hub for forwarded requests and is calculated based on the date/time the initial request has been received by the central hub. This will inform the responding Member State of the time when the request will be timed out. This value is not required in initial requests sent to the central hub and all response messages.	No
From	The ISO 3166-1 Alpha 2 code of the Member State sending the message or ‘EU’.	Yes
To	The ISO 3166-1 Alpha 2 code of the Member State to which the message is being sent or ‘EU’.	Yes

Check Good Repute

Check Good Repute Request		Mandatory
Business Case Identifier	A serial or reference number identifying each individual request.	Yes
Requesting Competent Authority	The competent authority that has issued the search request.	Yes
Transport Manager Details		Yes, if no CPC details
Family Name	Transport manager's family name(s) as indicated on the CPC.	Yes
First Name	Transport manager's complete given name as indicated on the certificate of professional competence.	Yes
Date of Birth	Transport manager's birth date in ISO 8601 format (YYYY-MM-DD).	Yes
Place of Birth	Transport manager's place of birth.	No
Address	The address, city, postcode and country of the transport manager.	No
CPC Details		Yes, if no transport manager details
CPC Number	Number of certificate of professional competence	Yes
CPC Issue Date	Date of issuance of the CPC, in ISO 8601 format (YYYY-MM-DD).	Yes
CPC Issue Country	Issuing country of the CPC in ISO 3166-1 alpha 2 format.	Yes

Check Good Repute Response		Mandatory
Business Case Identifier	A serial or reference number matching the business case identifier of the request.	Yes
Requesting Competent Authority	The competent authority that has issued the search request.	Yes
Responding Competent Authority	The competent authority that has responded to the search request.	Yes
Status Code	The status code of the search (e.g. found, not found, error, etc.).	Yes
Status Message	An explanatory status description (if necessary).	No
Found Transport Manager Details		Yes if Status Code is Found
Family Name	Transport manager's family name(s) as recorded in the register.	Yes
First Name	Transport manager's complete given name as recorded in the register.	Yes
Date of Birth	Transport manager's birth date in ISO 8601 format (YYYY-MM-DD) as recorded in the register.	Yes
Place of Birth	Transport manager's place of birth as recorded in the register.	Yes
CPC Number	Number of certificate of professional competence as recorded in the register.	Yes
CPC Issue Date	Date of issuance of the CPC, in ISO 8601 format (YYYY-MM-DD) as recorded in the register.	Yes
CPC Issue Country	Issuing country of the CPC in ISO 3166-1 alpha 2 format as recorded in the register.	Yes
CPC Validity	Declaration of either ‘Valid’ or ‘Invalid’	Yes
Total Managed Undertakings	The number of transport undertakings with which the transport manager is associated.	Yes
Total Managed Vehicles	The total number of vehicles with which the transport manager is associated.	Yes
Fitness	Declaration of either ‘Fit’ or ‘Unfit’.	Yes
Start Date of Unfitness	Start date of unfitness of the transport manager in ISO 8601 format (YYYY-MM-DD).	Yes if ‘Fitness’ is ‘Unfit’.
End Date of Unfitness	End date of unfitness of the transport manager in ISO 8601 format (YYYY-MM-DD). Applicable if the Fitness is unfit.	No
Search Method	The method used to find the transport manager: NYSIIS, CPC, Custom.	Yes
Transport Undertaking (for each found Transport Manager)		Yes if Managed Undertakings > 0
Transport Undertaking Name	The name of the transport undertaking (name and legal form) as recorded in the register.	Yes
Transport Undertaking Address	The address of the transport undertaking (address, postal code, city, country) as recorded in the register.	Yes
Community Licence Number	The serial number of the Community licence of the transport undertaking (free text alphanumeric field with length 1 to 20).	Yes
Community Licence Status	The status of the community licence of the transport undertaking as recorded in the register.	Yes
Managed Vehicles	The number of vehicles managed as recorded in the register.	Yes

Notification of Check Result

Notification of Check Result		Mandatory
Business Case Identifier	A serial or reference number identifying each individual request.	Yes
Notifying Competent Authority	The competent authority that issues the notification.	Yes
Transport Undertaking		Yes
Transport Undertaking Name	The name of the transport undertaking being object of the check.	Yes
Community Licence Number	The serial number of the community licence or of the certified true copy of the transport undertaking (free text alphanumeric field with length 1 to 20).	Yes
Vehicle Registration Number	The vehicle registration number of the vehicle checked	Yes
Vehicle Registration Country	The country in which the vehicle checked is registered	Yes
General information about the check
Date of check	Date of check in ISO 8601 format (YYYY-MM-DD)	Yes
Clean check	Yes/No	Yes
Minor infringements		Yes, if minor infringement(s) detected during the check
Date of minor infringement	Date of the infringement in ISO 8601 format (YYYY-MM-DD)	Yes
Number of minor infringements	The number of minor infringements detected.	Yes
Serious infringement		Yes, if serious infringement detected during the check
Date of Infringement	Date of the infringement in ISO 8601 format (YYYY-MM-DD)	Yes
Category	The category of the infringement: - MSI: Most serious infringement - VSI: Very serious infringement - SI: Serious infringement	Yes
Infringement Type	In accordance with the classification provided in Annex IV to Regulation (EC) No 1071/2009 and Annex I to Commission Regulation No (EU) 2016/403 1	Yes
Penalty Imposed (for each serious infringement)		Yes, if relevant
Penalty Imposed Identifier	The serial number of the individual penalty imposed.	Yes
Final Decision Date	The final decision date of the penalty imposed in ISO 8601 format (YYYY-MM-DD).	Yes
Penalty Type Imposed	Declaration of either: - 101: ‘Warning’ - 201: ‘Temporary ban on cabotage operations’ - 202: ‘Fine’ - 203: ‘Prohibition’ - 204: ‘Immobilisation’ - 102: ‘Other’	Yes
Start Date	The start date of the penalty imposed in ISO 8601 format (YYYY-MM-DD)	No
End Date	The end date of the penalty imposed in ISO 8601 format (YYYY-MM-DD)	No
Executed	Yes / No	Yes
Penalty Requested (for each Serious Infringement)		No
Penalty Requested Identifier	The serial number of the individual penalty requested.	Yes
Penalty Type Requested	Declaration of either: - 101: ‘Warning’ - 301: ‘Temporary withdrawal of some or all of the certified true copies of the Community licence’ - 302: ‘Permanent withdrawal of some or all of the certified true copies of the Community licence’ - 303: ‘Temporary withdrawal of the Community licence’ - 304: ‘Permanent withdrawal of the Community licence’ - 305: ‘Suspension of the issue of driver attestations’ - 306: ‘Withdrawal of driver attestations’ - 307: ‘Issue of driver attestations subject to additional conditions in order to prevent misuse’	Yes
Duration	The duration of the requested penalty (calendar days).	No

Notification of Check Result Response		Mandatory
Business Case Identifier	A serial or reference number matching the business case identifier of the request.	Yes
Originating Competent Authority	The competent authority that issued the original infringement notification.	Yes
Licensing Competent Authority	The competent authority responding to the infringement notification.	Yes
Status Code	The status code of the infringement response (e.g. found, not found, error, etc.).	Yes
Status Message	An explanatory status description (if necessary).	No
Transport Undertaking		Yes
Transport Undertaking Name	The name of the transport undertaking as recorded in the register.	Yes
Transport Undertaking Address	The address of the transport undertaking (address, postal code, city, country) as recorded in the register.	Yes
Community Licence Number	The serial number of the community licence of the transport undertaking as recorded in the register (free text alphanumeric field with length 1 to 20).	Yes
Community Licence Status	The status of the community licence of the transport undertaking as recorded in the register.	Yes
Penalty Imposed		No
Penalty Imposed Identifier	The serial number of the individual penalty imposed (given in the Penalty Requested Identifier of the Infringement Notification).	Yes
Authority Imposing Penalty	The name of the authority imposing penalty.	Yes
Is Imposed	Yes/No	Yes
Penalty Type Imposed	Declaration of either: — 101 — ‘Warning’ — 301 — ‘Temporary withdrawal of some or all of the certified true copies of the Community licence’ — 302 — ‘Permanent withdrawal of some or all of the certified true copies of the Community licence’ — 303 — ‘Temporary withdrawal of the Community licence’ — 304 — ‘Permanent withdrawal of the Community licence’ — 305 — ‘Suspension of the issue of driver attestations’ — 306 — ‘Withdrawal of driver attestations’ — 307 — ‘Issue of driver attestations subject to additional conditions in order to prevent misuse’ — 102 — ‘Other’	Yes
Start Date	The start date of the penalty imposed in ISO 8601 format (YYYY-MM-DD).	No
End Date	The end date of the penalty imposed in ISO 8601 format (YYYY-MM-DD).	No
Reason	Reason if penalty is not imposed.	No

Notification of Check Result Acknowledgement		Mandatory
Business Case Identifier	A serial or reference number matching the business case identifier of the notification or the response.	Yes
Status Code	Status code of the acknowledgement.	Yes
Status Message	Status Message String	No
Originating Competent Authority	For an NCRN_Ack: in the legislation this field is represented as ‘Destination Competent Authority Identifier’. For an NCRR_Ack: in the legislation this field is represented as ‘Acknowledging Competent Authority Identifier’.	Yes
Licensing Competent Authority	For an NCRN_Ack: in the legislation this field is represented as ‘Acknowledging Competent Authority Identifier’. For an NCRR_Ack: in the legislation this field is represented as ‘Destination Competent Authority Identifier’.	Yes
Acknowledgement Type	Defining Acknowledgement Type Possible Values: — ‘NCRN_Ack’ — ‘NCRR_Ack’	Yes

Check Transport Undertaking Data

Check Transport Undertaking Data Request		Mandatory
Business Case Identifier	A serial or reference number identifying each individual request.	Yes
Originating Competent Authority	The authority issuing the search request.	Yes
Transport Undertaking Identification		Yes
Transport Undertaking Name	The name of the transport undertaking.	At least one of the search fields is required.
Community Licence Number	The serial number of the community licence or of the certified true copy (free text alphanumeric field with length 1 to 20).
Vehicle Registration Number	The registration number of one of the vehicles of the transport undertaking.
Vehicle Registration Country	The country of registration of the vehicle.	Yes, if vehicle registration number provided.

Check Transport Undertaking Data Response		Mandatory
Business Case Identifier	A serial or reference number identifying each individual request	Yes
Originating Competent Authority	The authority issuing the search request.	Yes
Responding Competent Authority	The authority providing the response.	Yes
Status Code	The status code of the response (e.g. found, not found, error, etc.).	Yes
Status Message	An explanatory status description (if necessary).	No
General Information about the Transport Undertaking		Yes, if status code is found
Transport Undertaking Name	The name of the transport undertaking (name and legal form).	Yes
Transport Undertaking Address	The address of the transport undertaking (address, postal code, city, country) as recorded in the register	Yes
Number of Managed Vehicles	The number of vehicles managed as recorded in the register.	Yes
Number of People Employed	The number of people employed in the undertaking on last 31 December.	Yes
Risk Rating	The risk rating of the undertaking.	Yes
Risk Rating Band	The risk rating band of the undertaking (green, amber, red, grey).	Yes
Community Licence Details		Yes, if status code is found
Licencing Authority	The authority that issued the community licence to the transport undertaking	Yes
Community Licence Number	The serial number of the community licence of the transport undertaking as recorded in the register (free text alphanumeric field with length 1 to 20)	Yes
Licence Status	The status of the community licence of the transport undertaking as recorded in the register	Yes
Licence Type	The type of the community licence as recorded in the register. A declaration of: - ‘Community licence for passenger transport’ - ‘National licence for passenger transport’ - ‘Community licence for goods transport’ - ‘National licence for goods transport’	Yes
Start Date	The start date of the community licence	Yes
Expiry Date	The expiry date of the community licence	Yes
Withdrawal Date	The withdrawal date of the community licence	Yes, if found
Suspension Date	The suspension date of the community licence	Yes, if found
Suspension Expiry Date	The date on which the community licence suspension expires	Yes, if found
Certified True Copy Details		Yes
Certified True Copy Number	The serial number of each certified true copy of the community licence of the transport undertaking as recorded in the register (free text alphanumeric field with length 1 to 20)	Yes
Start Date	The start date of each certified true copy of the community licence.	Yes
Expiry Date	The expiry date of each certified true copy of the community licence.	Yes
Withdrawal Date	The withdrawal date of each certified true copy of the community licence.	Yes, if found
Suspension Date	The suspension date of the certified true copy of the community licence.	Yes, if found
Suspension Expiry Date	The date on which each certified true copy of the community licence suspension expires.	Yes, if found
Vehicle Details		Yes
Vehicle Registration Number	The registration number of each of the vehicles of the transport undertaking	Yes
Vehicle registration country	The registration country of each of the vehicles of the transport undertaking.	Yes

Notification of Unfitness

Notification of Unfitness		Mandatory
Business Case Identifier	A serial or reference number identifying each individual request.	Yes
Notifying Competent Authority	The competent authority that has issued the search request.	Yes
Transport Manager Details		Yes, if no CPC details
Family Name	Transport manager's family name(s) as indicated on the CPC.	Yes
First Name	Transport manager's complete given name as indicated on the certificate of professional competence.	Yes
Date of Birth	Transport manager's birth date in ISO 8601 format (YYYY-MM-DD).	Yes
Place of Birth	Transport manager's place of birth.	No
CPC Details		Yes, if no transport manager details
CPC Number	Number of certificate of professional competence	Yes
CPC Issue Date	Date of issuance of the CPC, in ISO 8601 format (YYYY-MM-DD).	Yes
CPC Issue Country	Issuing country of the CPC in ISO 3166-1 alpha 2 format.	Yes
Declaration of Unfitness		Yes
Start Date of Unfitness	Start date of unfitness, in ISO 8601 format (YYYY-MM-DD).	Yes

Notification of Unfitness Acknowledgement		Mandatory
Business Case Identifier	A serial or reference number matching the business case identifier of the notification or the response.	Yes
Originating Competent Authority	The competent authority issuing the search request.	Yes
Responding Competent Authority	The competent authority providing the response.	Yes
Status Code	Status code of the acknowledgement.	Yes
Status Message	Status Message String	No

’;

(3)in Annex VI, point 1.5 is replaced by the following:

‘1.5. When sending Check Good Repute responses, Notification of Check Result acknowledgements, Check Transport Undertaking Data responses and Declaration of Unfitness acknowledgements in accordance with Annex VIII:

1.5.1. They shall respond to requests within 10 seconds.

1.5.2. The global request timeout (time within which the requestor may wait for a response) shall not exceed 20 seconds.

1.5.3. They shall be able to service a request rate of 6 messages per second.’;

(4)Annex VIII is replaced by the following:

‘1. CHECKING THE GOOD REPUTE OF TRANSPORT MANAGERS

When verifying through ERRU, in accordance with Article 11(4) of Regulation (EC) No 1071/2009, whether a transport manager has been declared in one of the Member States as unfit to manage the transport activities of an undertaking, Member States shall perform a broadcast CGR search by sending a Check Good Repute Request. The responding Member States shall reply to the request by sending a Check Good Repute Response.

2. NOTIFICATION OF CHECK RESULTS

2.1 For the notification of a serious infringement through ERRU, the Member State of infringement shall send a Notification of Check Result to the Member State of establishment with the information about the infringement. Infringements not categorised in Directive 2006/22/EC or in Regulation (EC) No 1071/2009 shall not be notified.

2.2 When no infringement has been detected during the check, a Notification of Check Result shall be sent to the Member State of establishment consisting of the information about the clean check as set out in Annex III.

2.3 A check shall not be considered as a clean check when minor infringements have been detected. Where only minor infringements have been detected during the check, a Notification of Check Result shall be sent to the Member State of establishment consisting of information about the date and number of minor infringements detected.

2.4 The Notification of Check Result shall be sent as soon as possible, and at the latest within 6 weeks of the final decision on the infringements detected, if any, providing the information set out in Annex III.

2.5 The Member State of establishment shall reply to the Notification of Check Result by sending a Notification of Check Result Response, as soon as possible and at the latest within 6 weeks of the final decision on the matter, informing of which, if any, of the penalties requested by the Member State of infringement have been imposed. If such penalties are not imposed, the Notification of Check Result Response shall include the reasons therefor. The Notification of Check Result Response shall not be necessary when the Notification of Check Result refers to a clean check.

2.6 In all cases, a Notification of Check Result and a Notification of Check Result Response shall be acknowledged by means of a Notification of Check Result Acknowledgment.

3. CHECKING THE TRANSPORT UNDERTAKING DATA

3.1 When checking through ERRU any of the transport undertaking data referred to in point 1.3 of Annex II, a Member State shall send a Check Transport Undertaking Data Request to the Member State of establishment.

3.2 The Member State of establishment shall reply by sending a Check Transport Undertaking Data Response.

3.3 Queries sent through the CTUD functionality shall be carried out by entering either the name of the transport undertaking, its Community licence number or the number of any of the certified true copies, or the registration number of any of its vehicles, without being necessary to perform a query by typing more than one of the aforementioned entries.

3.4 Responding Member States, when searching in their registers the result of a CTUD request on the basis of either the Community licence or the registration number of a vehicle, shall take measures to adapt the format of the data in the search request to the format of the data in the national register. In particular, Responding Member States, when searching in their registers the result of a CTUD request on the basis of either the Community licence or the registration number of a vehicle, shall ignore special characters such as hyphens or slashes. Blanks shall also be ignored.

3.5 Responding Member States shall return to the requesting Member States all the information that is available through the XML messages defined in Annex III. If a part of the information requested has not been found, this shall not preclude responding Member States to provide the rest of the information requested that is available in the register, including the registration number of vehicles with no associated certified true copy.

4. NOTIFYING THE UNFITNESS OF A TRANSPORT MANAGER

4.1 When a transport manager has been declared to be unfit in one Member State, that Member State may send a Notification of Unfitness to all other Member States.

4.2 In all cases, a Notification of Unfitness shall be acknowledged by means of a Notification of Unfitness Acknowledgment.’

(1) COMMISSION REGULATION (EU) 2016/403 of 18 March 2016 supplementing Regulation (EC) No 1071/2009 of the European Parliament and of the Council with regard to the classification of serious infringements of the Union rules, which may lead to the loss of good repute by the road transport operator, and amending Annex III to Directive 2006/22/EC of the European Parliament and of the Council (OJ L 74, 19.03.2016, p.8)

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