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<table><col/><col/><col/><col/><tbody><tr><td><p>27.10.2015   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 281/5</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2015/1921
of 26 October 2015
amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EC) No 314/2004 of 19 February 2004 concerning certain restrictive measures in respect of Zimbabwe ( 1 ) , and in particular Article 11(b) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Annex III to Regulation (EC) No 314/2004 lists the persons and entities covered by the freezing of funds and economic resources under that Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Council Decision 2011/101/CFSP<a> (<span>2</span>)</a> identifies the natural and legal persons to whom restrictions are to apply as provided for in Article 5 of that Decision, and Regulation (EC) No 314/2004 gives effect to that Decision to the extent that action at Union level is required.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>On 26 October 2015, the Council decided to remove the name of one deceased person to whom the restrictions should apply. Annex III to Regulation (EC) No 314/2004 should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Annex III to Regulation (EC) No 314/2004 is amended in accordance with the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the 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, 26 October 2015.
For the Commission,
On behalf of the President,
Head of the Service for Foreign Policy Instruments
( 1 ) OJ L 55, 24.2.2004, p. 1 .
( 2 ) Council Decision 2011/101/CFSP of 15 February 2011 concerning restrictive measures against Zimbabwe ( OJ L 42, 16.2.2011, p. 6 ).
ANNEX
In Annex III to Regulation (EC) No 314/2004 the following natural persons shall be deleted from the section ‘I. Persons’:
I. Persons
‘Amos Bernard MIDZI (Mugenva). Date of birth: 4.7.1952. other information: (a) Former Minister of Mines and Mining Development; (b) former Minister of Energy and Power Development; (c) ZANU-PF party Chairman in Harare, (d) Former member of the Government associated with ZANU-PF faction of government (e) Organised convoy of ZANU-PF supporters and soldiers who assaulted people and destroyed homes in June 2008. (f) Linked with violence in Epworth, supporting militia bases in 2008 and again in 2011.’ | ENG | 32015R1921 |
<table><col/><col/><col/><col/><tbody><tr><td><p>29.8.2014   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 289/1</p></td></tr></tbody></table>
COUNCIL RECOMMENDATION
of 18 February 2014
concerning the discharge to be given to the Commission in respect of the implementation of the operations of the European Development Fund (eighth EDF) for the financial year 2012
2014/C 289/01
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to the fourth ACP-EEC Convention, signed at Lomé on 15 December 1989 ( 1 ) and amended by the Agreement signed in Mauritius on 4 November 1995 ( 2 ) ,
Having regard to the Internal Agreement between the Representatives of the Governments of the Member States, meeting within the Council, on the financing and administration of the Community aid under the Second Financial Protocol to the fourth ACP-EC Convention ( 3 ) (the ‘Internal Agreement’) setting up, amongst others, the eighth European Development Fund (eighth EDF), and in particular Article 33(3) thereof,
Having regard to the Financial Regulation of 16 June 1998 applicable to development finance cooperation under the fourth ACP-EC Convention ( 4 ) , and in particular Articles 66 to 74 thereof,
Having examined the revenue and expenditure account and the balance sheet relating to the operations of the eighth EDF as at 31 December 2012, and the Annual Report of the Court of Auditors on the activities funded by the 8th, 9th and 10th European Development Funds (EDFs) ( 5 ) , concerning the financial year 2012, together with the Commission’s replies contained in that Annual Report,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Pursuant to Article 33(3) of the Internal Agreement, the discharge for the financial management of the eighth EDF is to be given to the Commission by the European Parliament on the recommendation of the Council.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The overall implementation by the Commission of the operations of the eighth EDF during the financial year 2012 has been satisfactory,</p></td></tr></tbody></table>
HEREBY RECOMMENDS that the European Parliament give the Commission a discharge in respect of the implementation of the operations of the eighth EDF for the financial year 2012.
Done at Brussels, 18 February 2014.
For the Council
The President
G. STOURNARAS
<note>
( 1 ) OJ L 229, 17.8.1991, p. 3 .
( 2 ) OJ L 156, 29.5.1998, p. 3 .
( 3 ) OJ L 156, 29.5.1998, p. 108 .
( 4 ) OJ L 191, 7.7.1998, p. 53 .
( 5 ) OJ C 331, 14.11.2013, p. 261 .
</note> | ENG | 32014H0829(01) |
<table><col/><col/><col/><col/><tbody><tr><td><p>29.9.2023   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 242/377</p></td></tr></tbody></table>
DECISION (EU) 2023/1910 OF THE EUROPEAN PARLIAMENT
of 10 May 2023
on discharge in respect of the implementation of the budget of the European Union Agency for Railways (ERA) for the financial year 2021
THE EUROPEAN PARLIAMENT,
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the final annual accounts of the European Union Agency for Railways for the financial year 2021,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Court of Auditors’ annual report on EU agencies for the financial year 2021, together with the agencies’ replies <a>(<span>1</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the statement of assurance <a>(<span>2</span>)</a> as to the reliability of the accounts and the legality and regularity of the underlying transactions provided by the Court of Auditors for the financial year 2021, pursuant to Article 287 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Council’s recommendation of 28 February 2023 on discharge to be given to the Agency in respect of the implementation of the budget for the financial year 2021 (06248/2023 – C9-0095/2023),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Article 319 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 <a>(<span>3</span>)</a>, and in particular Article 70 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EU) 2016/796 of the European Parliament and of the Council of 11 May 2016 on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 <a>(<span>4</span>)</a>, and in particular Article 65 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Commission Delegated Regulation (EU) 2019/715 of 18 December 2018 on the framework financial regulation for the bodies set up under the TFEU and Euratom Treaty and referred to in Article 70 of Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council <a>(<span>5</span>)</a>, and in particular Article 105 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Rule 100 of and Annex V to its Rules of Procedure,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the opinion of the Committee on Transport and Tourism,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the report of the Committee on Budgetary Control (A9-0100/2023),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><span>Grants the Executive Director of the European Union Agency for Railways discharge in respect of the implementation of the Agency’s budget for the financial year 2021;</span></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><span>Sets out its observations in the resolution below;</span></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><span>Instructs its President to forward this decision, and the resolution forming an integral part of it, to the Executive Director of the European Union Agency for Railways, the Council, the Commission and the Court of Auditors, and to arrange for their publication in the<span>Official Journal of the European Union</span> (L series).</span></td></tr></tbody></table>
The President
Roberta METSOLA
The Secretary-General
Alessandro CHIOCCHETTI
<note>
( 1 ) OJ C 412, 27.10.2022, p. 12 .
( 2 ) OJ C 399, 17.10.2022, p. 240 .
( 3 ) OJ L 193, 30.7.2018, p. 1 .
( 4 ) OJ L 138, 26.5.2016, p. 1 .
( 5 ) OJ L 122, 10.5.2019, p. 1 .
</note> | ENG | 32023B1910 |
<table><col/><col/><col/><col/><tbody><tr><td><p>21.12.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 328/210</p></td></tr></tbody></table>
DIRECTIVE (EU) 2018/2002 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 11 December 2018
amending Directive 2012/27/EU on energy efficiency
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 194(2) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee ( 1 ) ,
Having regard to the opinion of the Committee of the Regions ( 2 ) ,
Acting in accordance with the ordinary legislative procedure ( 3 ) ,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Moderation of energy demand is one of the five dimensions of the Energy Union Strategy established by the Commission communication of 25 February 2015 entitled ‘A Framework Strategy for a Resilient Energy Union with a Forward-Looking Climate Change Policy’. Improving energy efficiency throughout the full energy chain, including energy generation, transmission, distribution and end-use, will benefit the environment, improve air quality and public health, reduce greenhouse gas emissions, improve energy security by reducing dependence on energy imports from outside the Union, cut energy costs for households and companies, help alleviate energy poverty, and lead to increased competitiveness, more jobs and increased economic activity throughout the economy, thus improving citizens' quality of life. This is in line with the Union commitments made in the framework of the Energy Union and global climate agenda established by the 2015 Paris Agreement on climate change following the 21st Conference of the Parties to the United Nations Framework Convention on Climate Change <a>(<span>4</span>)</a> (the ‘Paris Agreement’), committing to keep the increase of the global average temperature to well below 2 °C above pre-industrial levels and to pursuing efforts to limit the temperature increase to 1,5 °C above pre-industrial levels.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Directive 2012/27/EU of the European Parliament and of the Council <a>(<span>5</span>)</a> is an element to progress towards the Energy Union, under which energy efficiency is to be treated as an energy source in its own right. The energy efficiency first principle should be taken into account when setting new rules for the supply side and other policy areas. The Commission should ensure that energy efficiency and demand-side response can compete on equal terms with generation capacity. Energy efficiency needs to be considered whenever decisions relating to planning the energy system or to financing are taken. Energy efficiency improvements need to be made whenever they are more cost-effective than equivalent supply-side solutions. This ought to help exploit the multiple benefits of energy efficiency for the Union, in particular for citizens and businesses.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Energy efficiency should be recognised as a crucial element and a priority consideration in future investment decisions on the Union's energy infrastructure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Reaching an ambitious energy efficiency target requires barriers to be removed in order to facilitate investment in energy efficiency measures. One step in that direction is the clarification provided by Eurostat on 19 September 2017 on how to record energy performance contracts in national accounts, which removes uncertainties and facilitates the use of such contracts.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The European Council of 23 and 24 October 2014 supported a 27 % energy efficiency target for 2030 at Union level, to be reviewed by 2020 having in mind a Union-level target of 30 %. In its resolution of 15 December 2015 entitled ‘Towards a European Energy Union’, the European Parliament called on the Commission to assess, in addition, the viability of a 40 % energy efficiency target for the same timeframe. It is therefore appropriate to amend Directive 2012/27/EU, in order to adapt it to the 2030 perspective.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The need for the Union to achieve its energy efficiency targets at Union level, expressed in primary and/or final energy consumption, should be clearly set out in the form of a target of at least 32,5 % for 2030. Projections made in 2007 showed a primary energy consumption in 2030 of 1 887 Mtoe and a final energy consumption of 1 416 Mtoe. A 32,5 % reduction results in 1 273 Mtoe and 956 Mtoe in 2030 respectively. That target, which is of the same nature as the Union's 2020 target, should be assessed by the Commission for the purpose of revising it upwards by 2023 in the case of substantial cost reductions or, where needed, to meet the Union's international commitments for decarbonisation. There are no binding targets at Member State level in the 2020 and 2030 perspectives, and the freedom of Member States to set their national contributions based either on primary or final energy consumption or primary or final energy savings, or on energy intensity, should continue not to be restricted. Member States should set their national indicative energy efficiency contributions taking into account that the Union's 2030 energy consumption has to be no more than 1 273 Mtoe of primary energy and/or no more than 956 Mtoe of final energy. This means that primary energy consumption in the Union should be reduced by 26 %, and final energy consumption should be reduced by 20 % compared to the 2005 levels. A regular evaluation of progress towards the achievement of the Union's 2030 targets is necessary and is provided for in Regulation (EU) 2018/1999 of the European Parliament and of the Council <a>(<span>6</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The operational efficiency of energy systems at any given moment is influenced by the ability to feed power generated from different sources — with different degrees of inertia and start-up times — into the grid smoothly and flexibly. Improving that efficiency will enable better use to be made of renewable energy.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Improvement in energy efficiency can contribute to higher economic output. Member States and the Union should aim to decrease energy consumption regardless of levels of economic growth.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The obligation on Member States to establish long-term strategies for mobilising investment and facilitating the renovation of their national building stock and notify them to the Commission is removed from Directive 2012/27/EU and added to Directive 2010/31/EU of the European Parliament and of the Council <a>(<span>7</span>)</a> where that obligation fits in with long-term plans for nearly zero energy buildings (NZEBs) and the decarbonisation of buildings.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>In view of the climate and energy framework for 2030, the energy savings obligation established by Directive 2012/27/EU should be extended beyond 2020. That extension would create greater stability for investors and thus encourage long-term investments and long-term energy efficiency measures, such as the deep renovation of buildings with the long-term objective of facilitating the cost effective transformation of existing buildings into NZEBs. The energy savings obligation has an important role in the creation of local growth and jobs, and should be maintained to ensure that the Union can achieve its energy and climate objectives by creating further opportunities and to break the link between energy consumption and growth. Cooperation with the private sector is important to assess the conditions on which private investment for energy efficiency projects can be unlocked and to develop new revenue models for innovation in the field of energy efficiency.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>Energy efficiency improvement measures also have a positive impact on air quality, as more energy efficient buildings contribute to reducing the demand for heating fuels, including solid heating fuels. Energy efficiency measures therefore contribute to improving indoor and outdoor air quality and help achieve, in a cost effective manner, the objectives of the Union's air quality policy, as established in particular by Directive (EU) 2016/2284 of the European Parliament and of the Council <a>(<span>8</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>Member States are required to achieve cumulative end-use energy savings for the entire obligation period 2021 to 2030, equivalent to new annual savings of at least 0,8 % of final energy consumption. That requirement could be met by new policy measures that are adopted during the new obligation period from 1 January 2021 to 31 December 2030 or by new individual actions as a result of policy measures adopted during or before the previous period, provided that the individual actions that trigger energy savings are introduced during the new period. To that end, Member States should be able to make use of an energy efficiency obligation scheme, alternative policy measures, or both. In addition, various options, including whether energy used in transport is included, in whole or in part, in the calculation baseline, should be provided in order to give Member States flexibility in how they calculate the amount of their energy savings, whilst ensuring that the required cumulative end-use energy savings equivalent to new annual savings of at least 0,8 % are reached.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>It would, however, be disproportionate to impose such a requirement on Cyprus and on Malta. The energy market of those small island Member States exhibits specific characteristics which substantially limit the range of measures available to meet the energy savings obligation, such as the existence of a single electricity distributor, the absence of natural gas networks and of district heating and district cooling systems, as well as the small size of petroleum distribution companies. Those specific characteristics are compounded by the small size of the energy markets of those Member States. Therefore, Cyprus and Malta should be required only to achieve cumulative end-use energy savings equivalent to new savings of 0,24 % of final energy consumption for the period 2021 to 2030.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>Where they use an obligation scheme, Member States should designate obligated parties among energy distributors, retail energy sales companies and transport fuel distributors or retailers on the basis of objective and non-discriminatory criteria. The designation or exemption from designation of certain categories of such distributors or retailers should not be understood to be incompatible with the principle of non-discrimination. Member States are therefore able to choose whether such distributors or retailers or only certain categories thereof are designated as obligated parties.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>Member States' energy efficiency improvement measures in transport are eligible to be taken into account for achieving their end-use energy savings obligation. Such measures include policies that are, inter alia, dedicated to promoting more efficient vehicles, a modal shift to cycling, walking and collective transport, or mobility and urban planning that reduces demand for transport. In addition, schemes which accelerate the uptake of new, more efficient vehicles or policies fostering a shift to better performing fuels that reduce energy use per kilometre are also capable of being eligible, subject to compliance with the rules on materiality and additionality set out in Annex V to Directive 2012/27/EU as amended by this Directive. Such measures should, if appropriate, be consistent with Member States' national policy frameworks established pursuant to Directive 2014/94/EU of the European Parliament and of the Council <a>(<span>9</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>Measures taken by Member States pursuant to Regulation (EU) 2018/842 of the European Parliament and of the Council <a>(<span>10</span>)</a> and which result in verifiable, and measurable or estimable, energy efficiency improvements can be considered to be a cost-effective way for Member States to fulfil their energy-saving obligation under Directive 2012/27/EU as amended by this Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>As an alternative to requiring obligated parties to achieve the amount of cumulative end-use energy savings required under Article 7(1) of Directive 2012/27/EU as amended by this Directive, it should be possible for Member States, in their obligation schemes, to permit or require obligated parties to contribute to an Energy Efficiency National Fund.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>Without prejudice to Article 7(4) and (5) as introduced by this Directive, Member States and obligated parties should make use of all available means and technologies to achieve the cumulative end-use energy savings required, including by promoting sustainable technologies in efficient district heating and cooling systems, efficient heating and cooling infrastructure and energy audits or equivalent management systems, provided that the energy savings claimed comply with the requirements laid down in Article 7 of and Annex V to Directive 2012/27/EU as amended by this Directive. Member States should aim for a high degree of flexibility in the design and implementation of alternative policy measures.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>Long-term energy efficiency measures will continue to deliver energy savings after 2020 but in order to contribute to the Union's 2030 energy efficiency target, those measures should deliver new savings after 2020. On the other hand, energy savings achieved after 31 December 2020 should not count towards the cumulative end-use energy savings required for the period from 1 January 2014 to 31 December 2020.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>New savings should be additional to ‘business as usual’, so that savings that would have occurred in any event should not count towards the achievement of the energy savings requirements. In order to calculate the impact of the measures introduced, only net savings, measured as the change of energy consumption that is directly attributable to the energy efficiency measure in question, should be counted. To calculate net savings, Member States should establish a baseline scenario of how the situation would evolve in the absence of the measure in question. The policy measure in question should be evaluated against that baseline. Member States should take into account the fact that other policy measures may be carried out in the same time frame which may also have an impact on the amount of energy savings, so that not all changes observed since the introduction of a particular policy measure being evaluated can be attributed to that policy measure alone. The actions of the obligated, participating or entrusted party should in fact contribute to the achievement of the energy savings claimed in order to ensure the fulfilment of the materiality requirement.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>It is important to consider, where relevant, all steps in the energy chain in the calculation of energy savings in order to increase the energy savings potential in the transmission and distribution of electricity.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>The effective management of water can make a significant contribution to energy savings. The water and wastewater sectors account for 3,5 % of electricity use in the Union and that share is expected to rise. At the same time, water leaks account for 24 % of total water consumed in the Union and the energy sector is the largest consumer of water, accounting for 44 % of consumption. The potential for energy savings through the use of smart technologies and processes should be fully explored.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>In accordance with Article 9 of the Treaty on the Functioning of the European Union, the Union's energy efficiency policies should be inclusive and should therefore ensure accessibility to energy efficiency measures for consumers affected by energy poverty. Improvements to the energy efficiency of buildings should, in particular, benefit vulnerable households, including those affected by energy poverty, and, where appropriate, those living in social housing. Member States can already require obligated parties to include social aims in energy-saving measures in relation to energy poverty and this possibility should be extended to alternative policy measures and Energy Efficiency National Funds and should be transformed into an obligation, while allowing Member States to retain full flexibility with regard to their size, scope and content. If an energy efficiency obligation scheme does not permit measures relating to individual energy consumers, the Member State may take measures to alleviate energy poverty by means of alternative policy measures alone.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>Around 50 million households in the Union are affected by energy poverty. Energy efficiency measures must therefore be central to any cost-effective strategy to address energy poverty and consumer vulnerability and are complementary to social security policies at Member State level. To ensure that energy efficiency measures reduce energy poverty for tenants sustainably, the cost-effectiveness of such measures, as well as their affordability to property owners and tenants, should be taken into account, and adequate financial support for such measures should be guaranteed at Member State level. The Union's building stock needs, in the long term, to be converted to NZEBs in accordance with the objectives of the Paris Agreement. Current building renovation rates are insufficient and buildings occupied by citizens on low incomes who are affected by energy poverty are the hardest to reach. The measures laid down in this Directive with regard to energy savings obligations, energy efficiency obligation schemes and alternative policy measures are therefore of particular importance.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>Lower consumer spending on energy should be achieved by assisting consumers in reducing their energy use by reducing the energy needs of buildings and improvements in the efficiency of appliances, which should be combined with the availability of low-energy transport modes integrated with public transport and cycling.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>It is crucial to raise the awareness of all Union citizens about the benefits of increased energy efficiency and to provide them with accurate information on the ways in which it can be achieved. Increased energy efficiency is also highly important for the security of energy supply of the Union through lowering its dependence on import of fuels from third countries.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>The costs and benefits of all energy efficiency measures taken, including pay-back periods, should be made fully transparent to consumers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>When implementing Directive 2012/27/EU as amended by this Directive and taking other measures in the field of energy efficiency, Member States should pay particular attention to synergies between energy efficiency measures and the efficient use of natural resources in line with the principles of the circular economy.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>Taking advantage of new business models and technologies, Member States should endeavour to promote and facilitate the uptake of energy efficiency measures, including through innovative energy services for large and small customers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>As part of the measures set out in the Commission's Communication of 15 July 2015 entitled ‘Delivering a New Deal for Energy Consumers’, in the context of the Energy Union and the Heating and Cooling strategy, consumers' minimum rights to accurate, reliable, clear and timely information about their energy consumption need to be strengthened. Articles 9 to 11 of, and Annex VII to, Directive 2012/27/EU should be amended to provide for frequent and enhanced feedback on energy consumption where technically feasible and cost-efficient in view of the measurement devices in place. This Directive clarifies that whether sub-metering is cost-efficient or not depends on whether the related costs are proportionate to the potential energy savings. The assessment of whether sub-metering is cost-efficient may take into account the effect of other concrete, planned measures in a given building, such as any forthcoming renovation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>This Directive also clarifies that rights relating to billing, and information about billing or consumption should apply to consumers of heating, cooling or domestic hot water supplied from a central source even where they have no direct, individual contractual relationship with an energy supplier. The definition of the term ‘final customer’ is capable of being understood as referring only to natural or legal persons purchasing energy based on a direct, individual contract with an energy supplier. For the purposes of the relevant provisions, the term ‘final user’ should therefore be introduced to refer to a broader group of consumers and should, in addition to final customers purchasing heating, cooling or domestic hot water for their own end-use, also cover occupants of individual buildings or of individual units of multi-apartment or multi-purpose buildings where such units are supplied from a central source and where the occupants have no direct or individual contract with the energy supplier. The term ‘sub-metering’ should refer to measuring consumption in individual units of such buildings.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>In order to achieve the transparency of accounting for individual consumption of thermal energy and thereby facilitate the implementation of sub-metering, Member States should ensure they have in place transparent, publicly available national rules on the allocation of the cost of heating, cooling and domestic hot water consumption in multi-apartment and multi-purpose buildings. In addition to transparency, Member States could consider taking measures to strengthen competition in the provision of sub-metering services and thereby help ensure that any costs borne by the final users are reasonable.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(33)</p></td><td><p>By 25 October 2020, newly installed heat meters and heat cost allocators should be remotely readable to ensure cost-effective, frequent provision of consumption information. The amendments to Directive 2012/27/EU introduced by this Directive relating to metering for heating, cooling and domestic hot water; sub-metering and cost allocation for heating, cooling and domestic hot water; remote reading requirement; billing and consumption information for heating and cooling and domestic hot water; cost of access to metering and billing and consumption information for heating, cooling and domestic hot water; and the minimum requirements for billing and consumption information for heating, cooling and domestic hot water are intended to apply only to heating, cooling and domestic hot water supplied from a central source. Member States are free to decide whether walk-by or drive-by technologies are to be considered remotely readable or not. Remotely readable devices do not require access to individual apartments or units to be read.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(34)</p></td><td><p>Member States should take into account the fact that the successful implementation of new technologies for measuring energy consumption requires enhanced investment in education and skills for both users and energy suppliers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(35)</p></td><td><p>Billing information and annual statements are an important means by which customers are informed of their energy consumption. Data on consumption and costs can also convey other information that helps consumers to compare their current deal with other offers and to make use of complaint management and alternative dispute resolution mechanisms. However, considering that bill-related disputes are a common source of consumer complaints and a factor which contributes to persistently low levels of consumer satisfaction and engagement with their energy providers, it is necessary to make bills simpler, clearer and easier to understand, while ensuring that separate instruments, such as billing information, information tools and annual statements, provide all the necessary information to enable consumers to regulate their energy consumption, compare offers and switch suppliers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(36)</p></td><td><p>Member State measures should be supported by well-designed and effective Union financial instruments, such as the European Structural and Investment Funds, the European Fund for Strategic Investments, and by financing from the European Investment Bank (EIB) and the European Bank for Reconstruction and Development (EBRD), which should support investments in energy efficiency at all stages of the energy chain and use a comprehensive cost-benefit analysis with a model of differentiated discount rates. Financial support should focus on cost-effective methods for increasing energy efficiency, which would lead to a reduction in energy consumption. The EIB and the EBRD should, together with national promotional banks, design, generate and finance programmes and projects tailored for the efficiency sector, including for energy-poor households.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(37)</p></td><td><p>In order to make it possible for the Annexes to Directive 2012/27/EU and the harmonised efficiency reference values to be updated, it is necessary to extend the delegation of powers granted to the Commission. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making <a>(<span>11</span>)</a>. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(38)</p></td><td><p>In order to be able to evaluate the effectiveness of Directive 2012/27/EU as amended by this Directive, a requirement to conduct a general review of that Directive and to submit a report to the European Parliament and to the Council by 28 February 2024 should be introduced. That review should take place after the global stocktake by the United Nations Framework Convention on Climate Change in 2023, in order to allow necessary alignments to that process to be introduced, also taking into account economic and innovation developments.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(39)</p></td><td><p>Local and regional authorities should be given a leading role in the development and design, execution and assessment of the measures laid down in Directive 2012/27/EU, so that they are able properly to address the specific features of their own climate, culture and society.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(40)</p></td><td><p>Reflecting technological progress and the growing share of renewable energy sources in the electricity generation sector, the default coefficient for savings in kWh electricity should be reviewed in order to reflect changes in the primary energy factor (PEF) for electricity. Calculations reflecting the energy mix of the PEF for electricity are based on annual average values. The ‘physical energy content’ accounting method is used for nuclear electricity and heat generation and the ‘technical conversion efficiency’ method is used for electricity and heat generation from fossil fuels and biomass. For non-combustible renewable energy, the method is the direct equivalent based on the ‘total primary energy’ approach. To calculate the primary energy share for electricity in cogeneration, the method set out in Annex II to Directive 2012/27/EU is applied. An average rather than a marginal market position is used. Conversion efficiencies are assumed to be 100 % for non-combustible renewables, 10 % for geothermal power stations and 33 % for nuclear power stations. The calculation of total efficiency for cogeneration is based on the most recent data from Eurostat. As for system boundaries, the PEF is 1 for all energy sources. The PEF value refers to 2018 and is based on data interpolated from the most recent version of the PRIMES Reference Scenario for 2015 and 2020 and adjusted with Eurostat data until 2016. The analysis covers the Member States and Norway. The dataset for Norway is based on the European Network of Transmission System Operators for Electricity data.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(41)</p></td><td><p>Energy savings which result from the implementation of Union law should not be claimed unless they result from a measure that goes beyond the minimum required by the Union legal act in question, whether by setting more ambitious energy efficiency requirements at Member State level or by increasing the take-up of the measure. Buildings present a substantial potential for further increasing energy efficiency, and the renovation of buildings is an essential and long-term element with economies of scale in increasing energy savings. It is therefore necessary to clarify that it is possible to claim all energy savings stemming from measures promoting the renovation of existing buildings, provided that they exceed the savings that would have occurred in the absence of the policy measure and provided that the Member State demonstrates that the obligated, participating or entrusted party has in fact contributed to the achievement of the energy savings claimed.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(42)</p></td><td><p>In accordance with the Energy Union Strategy and the principles of better regulation, monitoring and verification rules for the implementation of energy efficiency obligation schemes and alternative policy measures, including the requirement to check a statistically representative sample of measures, should be given greater prominence. In Directive 2012/27/EU, as amended by this Directive, a statistically significant proportion and representative sample of the energy efficiency improvement measures should be understood to require the establishment of a subset of a statistical population of the energy-saving measures in question in such a way that it accurately reflects the entire population of all energy-saving measures, and thus allows for reasonably reliable conclusions regarding confidence in the totality of the measures.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(43)</p></td><td><p>Energy generated on or in buildings from renewable energy technologies reduces the amount of energy supplied from fossil fuels. The reduction of energy consumption and the use of energy from renewable sources in the buildings sector are important measures to reduce the Union's energy dependence and greenhouse gas emissions, especially in view of ambitious climate and energy objectives set for 2030 as well as the global commitment made in the context of the Paris Agreement. For the purposes of their cumulative energy savings obligation Member States may take into account, where applicable, energy savings from renewable energy generated on or in buildings for own use to meet their energy savings requirements.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(44)</p></td><td><p>In accordance with the Joint Political Declaration of 28 September 2011 of Member States and the Commission on explanatory documents <a>(<span>12</span>)</a>, Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments. With regard to this Directive, the legislator considers the transmission of such documents to be justified.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(45)</p></td><td><p>Since the objectives of this Directive, namely to achieve the Union's energy efficiency targets of 20 % by 2020 and of at least 32,5 % by 2030 and to pave the way towards further energy efficiency improvements beyond those dates, cannot be sufficiently achieved by the Member States but can rather, by reason of the scale and effects of the action, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. 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 those objectives.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(46)</p></td><td><p>Directive 2012/27/EU should therefore be amended accordingly,</p></td></tr></tbody></table>
HAVE ADOPTED THIS DIRECTIVE:
Article 1
Directive 2012/27/EU is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>in Article 1, paragraph 1 is replaced by the following:</p><div><p>‘1.   This Directive establishes a common framework of measures to promote energy efficiency within the Union in order to ensure that the Union's 2020 headline targets on energy efficiency of 20 % and its 2030 headline targets on energy efficiency of at least 32,5 % are met and paves the way for further energy efficiency improvements beyond those dates.</p><p>This Directive lays down rules designed to remove barriers in the energy market and overcome market failures that impede efficiency in the supply and use of energy, and provides for the establishment of indicative national energy efficiency targets and contributions for 2020 and 2030.</p><p>This Directive contributes to the implementation of the energy efficiency first principle.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>in Article 3, the following paragraphs are added:</p><div><p>‘4.   By 31 October 2022, the Commission shall assess whether the Union has achieved its 2020 headline targets on energy efficiency.</p></div><div><p>5.   Each Member State shall set indicative national energy efficiency contributions towards the Union's 2030 targets set in Article 1(1) of this Directive in accordance with Articles 4 and 6 of Regulation (EU) 2018/1999<a> (<span>*1</span>)</a>. When setting those contributions, Member States shall take into account that the Union's 2030 energy consumption has to be no more than 1 273 Mtoe of primary energy and/or no more than 956 Mtoe of final energy. Member States shall notify those contributions to the Commission as part of their integrated national energy and climate plans as referred to in, and in accordance with, Articles 3 and 7 to 12 of Regulation (EU) 2018/1999.</p></div><div><p>6.   The Commission shall assess the Union's 2030 headline targets on energy efficiency set in Article 1(1) with a view to submitting a legislative proposal by 2023 to revise those targets upwards in the event of substantial cost reductions resulting from economic or technological developments, or where needed to meet the Union's international commitments for decarbonisation.</p></div><p><a>(<span>*1</span>)</a>  Regulation (EU) 2018/1999 of the European Parliament and of the Council of 11 December 2018 on the Governance of the Energy Union and Climate Action, amending Regulations (EC) No 663/2009 and (EC) No 715/2009 of the European Parliament and of the Council, Directives 94/22/EC, 98/70/EC, 2009/31/EC, 2009/73/EC, 2010/31/EU, 2012/27/EU and 2013/30/EU of the European Parliament and of the Council, Council Directives 2009/119/EC and (EU) 2015/652 and repealing Regulation (EU) No 525/2013 of the European Parliament and of the Council (<a>OJ L 328, 21.12.2018, p. 1</a>).’;"</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Article 7 is replaced by the following:</p><div><p>‘Article 7</p><p>Energy savings obligation</p><div><p>1.   Member States shall achieve cumulative end-use energy savings at least equivalent to:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>new savings each year from 1 January 2014 to 31 December 2020 of 1,5 % of annual energy sales to final customers by volume, averaged over the most recent three-year period prior to 1 January 2013. Sales of energy, by volume, used in transport may be excluded, in whole or in part, from that calculation;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>new savings each year from 1 January 2021 to 31 December 2030 of 0,8 % of annual final energy consumption, averaged over the most recent three-year period prior to 1 January 2019. By way of derogation from that requirement, Cyprus and Malta shall achieve new savings each year from 1 January 2021 to 31 December 2030 equivalent to 0,24 % of annual final energy consumption, averaged over the most recent three-year period prior to 1 January 2019.</p></td></tr></tbody></table><p>Member States may count energy savings that stem from policy measures, whether introduced by 31 December 2020 or after that date, provided that those measures result in new individual actions that are carried out after 31 December 2020.</p><p>Member States shall continue to achieve new annual savings in accordance with point (b) of the first subparagraph for ten-year periods after 2030, unless reviews by the Commission by 2027 and every 10 years thereafter conclude that this is not necessary to achieve the Union's long-term energy and climate targets for 2050.</p><p>Member States shall decide how to phase the calculated quantity of new savings over each period referred to in points (a) and (b) of the first subparagraph, provided that the required total cumulative end-use energy savings have been achieved by the end of each obligation period.</p></div><div><p>2.   Provided that Member States achieve at least their cumulative end-use energy savings obligation referred to in point (b) of the first subparagraph of paragraph 1, they may calculate the required amount of energy savings by one or more of the following means:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>applying an annual savings rate on energy sales to final customers or on final energy consumption, averaged over the most recent three-year period prior to 1 January 2019;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>excluding, in whole or in part, energy used in transport from the calculation baseline;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>making use of any of the options set out in paragraph 4.</p></td></tr></tbody></table></div><div><p>3.   Where Member States make use of the possibilities provided for in point (a), (b) or (c) of paragraph 2, they shall establish:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>their own annual savings rate that will be applied in the calculation of their cumulative end-use energy savings, which shall ensure that the final amount of their net energy savings is no lower than those required under point (b) of the first subparagraph of paragraph 1; and</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>their own calculation baseline, which may exclude, in whole or in part, energy used in transport.</p></td></tr></tbody></table></div><div><p>4.   Subject to paragraph 5, each Member State may:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>carry out the calculation required under point (a) of the first subparagraph of paragraph 1 using values of 1 % in 2014 and 2015; 1,25 % in 2016 and 2017; and 1,5 % in 2018, 2019 and 2020;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>exclude from the calculation all or part of the sales of energy used, by volume, with respect to the obligation period referred to in point (a) of the first subparagraph of paragraph 1, or final energy consumed, with respect to the obligation period referred to in point (b) of that subparagraph, by industrial activities listed in Annex I to Directive 2003/87/EC;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>count towards the amount of required energy savings, energy savings achieved in the energy transformation, distribution and transmission sectors, including efficient district heating and cooling infrastructure, as a result of implementing the requirements set out in Article 14(4), point (b) of Article 14(5), and Article 15(1) to (6) and (9). Member States shall inform the Commission about their intended policy measures under this point for the period from 1 January 2021 to 31 December 2030 as part of their integrated national energy and climate plans. The impact of those measures shall be calculated in accordance with Annex V and included in those plans;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>count towards the amount of required energy savings, energy savings resulting from individual actions newly implemented since 31 December 2008 that continue to have an impact in 2020 with respect to the obligation period referred to in point (a) of the first subparagraph of paragraph 1 and beyond 2020 with respect to the period referred to in point (b) of the first subparagraph of paragraph 1, and which can be measured and verified;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>count towards the amount of required energy savings, energy savings that stem from policy measures, provided that it can be demonstrated that those measures result in individual actions carried out from 1 January 2018 to 31 December 2020 which deliver savings after 31 December 2020;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>exclude from the calculation of the amount of required energy savings, 30 % of the verifiable amount of energy generated on or in buildings for own use as a result of policy measures promoting new installation of renewable energy technologies;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>count towards the amount of required energy savings, energy savings that exceed the energy savings required for the obligation period from 1 January 2014 to 31 December 2020, provided that those savings result from individual actions carried out under policy measures referred to in Articles 7a and 7b, notified by Member States in their National Energy Efficiency Action Plans and reported in their progress reports in accordance with Article 24.</p></td></tr></tbody></table></div><div><p>5.   Member States shall apply and calculate the effect of the options chosen under paragraph 4 for the periods referred to in points (a) and (b) of the first subparagraph of paragraph 1 separately:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>for the calculation of the amount of energy savings required for the obligation period referred to in point (a) of the first subparagraph of paragraph 1, Member States may make use of points (a) to (d) of paragraph 4. All the options chosen under paragraph 4 taken together shall amount to no more than 25 % of the amount of energy savings referred to in point (a) of the first subparagraph of paragraph 1;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>for the calculation of the amount of energy savings required for the obligation period referred to in point (b) of the first subparagraph of paragraph 1, Member States may make use of points (b) to (g) of paragraph 4, provided individual actions referred to in point (d) of paragraph 4 continue to have a verifiable and measurable impact after 31 December 2020. All the options chosen under paragraph 4 taken together shall not lead to a reduction of more than 35 % of the amount of energy savings calculated in accordance with paragraphs 2 and 3.</p></td></tr></tbody></table><p>Regardless of whether Member States exclude, in whole or in part, energy used in transport from their calculation baseline or make use of any of the options listed in paragraph 4, they shall ensure that the calculated net amount of new savings to be achieved in final energy consumption during the obligation period from 1 January 2021 to 31 December 2030 is not lower than the amount resulting from applying the annual savings rate referred to in point (b) of the first subparagraph of paragraph 1.</p></div><div><p>6.   Member States shall describe in their integrated national energy and climate plans in accordance with Annex III to Regulation (EU) 2018/1999, the calculation of the amount of energy savings to be achieved over the period from 1 January 2021 to 31 December 2030 referred to in point (b) of the first subparagraph of paragraph 1 of this Article and shall, if relevant, explain how the annual savings rate and the calculation baseline were established, and how and to what extent the options referred to in paragraph 4 of this Article were applied.</p></div><div><p>7.   Energy savings achieved after 31 December 2020 shall not count towards the amount of required energy savings for the period from 1 January 2014 to 31 December 2020.</p></div><div><p>8.   By way of derogation from paragraph 1 of this Article, Member States that allow obligated parties to use the option referred to in point (b) of Article 7a(6) may, for the purpose of point (a) of the first subparagraph of paragraph 1 of this Article, count energy savings obtained in any given year after 2010 and before the obligation period referred to in point (a) of the first subparagraph of paragraph 1 of this Article as if those energy savings had instead been obtained after 31 December 2013 and before 1 January 2021, provided that all of the following circumstances apply:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the energy efficiency obligation scheme was in force at any point between 31 December 2009 and 31 December 2014 and was included in the Member State's first National Energy Efficiency Action Plan submitted under Article 24(2);</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the savings were generated under the obligation scheme;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the savings are calculated in accordance with Annex V;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the years for which the savings are counted as having been obtained have been reported in the National Energy Efficiency Action Plans in accordance with Article 24(2).</p></td></tr></tbody></table></div><div><p>9.   Member States shall ensure that savings resulting from policy measures referred to in Articles 7a and 7b and Article 20(6) are calculated in accordance with Annex V.</p></div><div><p>10.   Member States shall achieve the amount of energy savings required under paragraph 1 of this Article either by establishing an energy efficiency obligation scheme referred to in Article 7a or by adopting alternative policy measures referred to in Article 7b. Member States may combine an energy efficiency obligation scheme with alternative policy measures.</p></div><div><p>11.   In designing policy measures to fulfil their obligations to achieve energy savings, Member States shall take into account the need to alleviate energy poverty in accordance with criteria established by them, taking into consideration their available practices in the field, by requiring, to the extent appropriate, a share of energy efficiency measures under their national energy efficiency obligation schemes, alternative policy measures, or programmes or measures financed under an Energy Efficiency National Fund, to be implemented as a priority among vulnerable households, including those affected by energy poverty and, where appropriate, in social housing.</p><p>Member States shall include information about the outcome of measures to alleviate energy poverty in the context of this Directive in the integrated national energy and climate progress reports in accordance with Regulation (EU) 2018/1999.</p></div><div><p>12.   Member States shall demonstrate that where there is an overlap in the impact of policy measures or individual actions, there is no double counting of energy savings.’;</p></div></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>the following Articles are inserted:</p><div><p>‘Article 7a</p><p>Energy efficiency obligation schemes</p><div><p>1.   Where Member States decide to fulfil their obligations to achieve the amount of savings required under Article 7(1) by way of an energy efficiency obligation scheme, they shall ensure that obligated parties as referred to in paragraph 2 of this Article operating in each Member State's territory achieve, without prejudice to Article 7(4) and (5), their cumulative end-use energy savings requirement as set out in Article 7(1).</p><p>Where applicable, Member States may decide that obligated parties fulfil those savings, in whole or in part, as a contribution to the Energy Efficiency National Fund in accordance with Article 20(6).</p></div><div><p>2.   Member States shall designate, on the basis of objective and non-discriminatory criteria, obligated parties among energy distributors, retail energy sales companies and transport fuel distributors or transport fuel retailers operating in their territory. The amount of energy savings needed to fulfil the obligation shall be achieved by the obligated parties among final customers, designated by the Member State, independently of the calculation made pursuant to Article 7(1) or, if Member States so decide, through certified savings stemming from other parties as described in point (a) of paragraph 6 of this Article.</p></div><div><p>3.   Where retail energy sales companies are designated as obligated parties under paragraph 2, Member States shall ensure that, in fulfilling their obligation, retail energy sales companies do not create any barriers that impede consumers from switching from one supplier to another.</p></div><div><p>4.   Member States shall express the amount of energy savings required of each obligated party in terms of either final or primary energy consumption. The method chosen to express the amount of energy savings required shall also be used to calculate the savings claimed by obligated parties. The conversion factors set out in Annex IV shall apply.</p></div><div><p>5.   Member States shall put in place measurement, control and verification systems under which documented verification is carried out on at least a statistically significant proportion and representative sample of the energy efficiency improvement measures put in place by the obligated parties. The measurement, control and verification shall be carried out independently of the obligated parties.</p></div><div><p>6.   Within the energy efficiency obligation scheme, Member States may do one or both of the following:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>permit obligated parties to count towards their obligation certified energy savings achieved by energy service providers or other third parties, including when obligated parties promote measures through other State-approved bodies or through public authorities that may involve formal partnerships and may be in combination with other sources of finance. Where Member States so permit, they shall ensure that the certification of energy savings follows an approval process that is put in place in the Member States, that is clear, transparent, and open to all market participants, and that aims to minimise the costs of certification;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>allow obligated parties to count savings obtained in a given year as if they had instead been obtained in any of the four previous or three following years as long as this is not beyond the end of the obligation periods set out in Article 7(1).</p></td></tr></tbody></table><p>Member States shall assess and, if appropriate, take measures to minimise the impact of the direct and indirect costs of energy efficiency obligation schemes on the competitiveness of energy-intensive industries exposed to international competition.</p></div><div><p>7.   Member States shall, on an annual basis, publish the energy savings achieved by each obligated party, or each sub-category of obligated party, and in total under the scheme.</p></div></div><div><p>Article 7b</p><p>Alternative policy measures</p><div><p>1.   Where Member States decide to fulfil their obligations to achieve the savings required under Article 7(1) by way of alternative policy measures, they shall ensure, without prejudice to Article 7(4) and (5), that the energy savings required under Article 7(1) are achieved among final customers.</p></div><div><p>2.   For all measures other than those relating to taxation, Member States shall put in place measurement, control and verification systems under which documented verification is carried out on at least a statistically significant proportion and representative sample of the energy efficiency improvement measures put in place by the participating or entrusted parties. The measurement, control and verification shall be carried out independently of the participating or entrusted parties.’;</p></div></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Article 9 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the title is replaced by the following:</p><p>‘Metering for gas and electricity’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in paragraph 1, the first subparagraph is replaced by the following;</p><div><p>‘1.   Member States shall ensure that, in so far as it is technically possible, financially reasonable and proportionate in relation to the potential energy savings, for electricity and natural gas final customers are provided with competitively priced individual meters that accurately reflect their actual energy consumption and that provide information on the actual time of use.’;</p></div></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>paragraph 3 is deleted;</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>the following Articles are inserted:</p><div><p>‘Article 9a</p><p>Metering for heating, cooling and domestic hot water</p><div><p>1.   Member States shall ensure that, for district heating, district cooling and domestic hot water, final customers are provided with competitively priced meters that accurately reflect their actual energy consumption.</p></div><div><p>2.   Where heating, cooling or domestic hot water is supplied to a building from a central source that services multiple buildings or from a district heating or district cooling system, a meter shall be installed at the heat exchanger or point of delivery.</p></div></div><div><p>Article 9b</p><p>Sub-metering and cost allocation for heating, cooling and domestic hot water</p><div><p>1.   In multi-apartment and multi-purpose buildings with a central heating or central cooling source or supplied from a district heating or district cooling system, individual meters shall be installed to measure the consumption of heating, cooling or domestic hot water for each building unit, where technically feasible and cost effective in terms of being proportionate in relation to the potential energy savings.</p><p>Where the use of individual meters is not technically feasible or where it is not cost-efficient to measure heat consumption in each building unit, individual heat cost allocators shall be used to measure heat consumption at each radiator unless it is shown by the Member State in question that the installation of such heat cost allocators would not be cost-efficient. In those cases, alternative cost-efficient methods of heat consumption measurement may be considered. The general criteria, methodologies and/or procedures to determine technical non-feasibility and non-cost effectiveness shall be clearly set out and published by each Member State.</p></div><div><p>2.   In new multi-apartment buildings and in residential parts of new multi-purpose buildings that are equipped with a central heating source for domestic hot water or are supplied from district heating systems, individual meters shall, notwithstanding the first subparagraph of paragraph 1, be provided for domestic hot water.</p></div><div><p>3.   Where multi-apartment or multi-purpose buildings are supplied from district heating or district cooling, or where own common heating or cooling systems for such buildings are prevalent, Member States shall ensure they have in place transparent, publicly available national rules on the allocation of the cost of heating, cooling and domestic hot water consumption in such buildings to ensure transparency and accuracy of accounting for individual consumption. Where appropriate, such rules shall include guidelines on the manner in which to allocate cost for energy that is used as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>domestic hot water;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>heat radiated from the building installation and for the purpose of heating the common areas, where staircases and corridors are equipped with radiators;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>for the purpose of heating or cooling apartments.</p></td></tr></tbody></table></div></div><div><p>Article 9c</p><p>Remote reading requirement</p><div><p>1.   For the purposes of Articles 9a and 9b, meters and heat cost allocators installed after 25 October 2020 shall be remotely readable devices. The conditions of technical feasibility and cost effectiveness set out in Article 9b(1) shall continue to apply.</p></div><div><p>2.   Meters and heat cost allocators which are not remotely readable but which have already been installed shall be rendered remotely readable or replaced with remotely readable devices by 1 January 2027, save where the Member State in question shows that this is not cost-efficient.’;</p></div></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Article 10 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the title is replaced by the following:</p><p>‘Billing information for gas and electricity’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in paragraph 1, the first subparagraph is replaced by the following:</p><div><p>‘1.   Where final customers do not have smart meters as referred to in Directives 2009/72/EC and 2009/73/EC, Member States shall ensure, by 31 December 2014, that billing information is reliable, accurate and based on actual consumption, in accordance with point 1.1 of Annex VII, for electricity and gas, where that is technically possible and economically justified.’;</p></div></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>the following Article is inserted:</p><div><p>‘Article 10a</p><p>Billing and consumption information for heating, cooling and domestic hot water</p><div><p>1.   Where meters or heat cost allocators are installed, Member States shall ensure that billing and consumption information is reliable, accurate and based on actual consumption or heat cost allocator readings, in accordance with points 1 and 2 of Annex VIIa for all final users, namely for natural or legal persons purchasing heating, cooling or domestic hot water for their own end-use, or natural or legal persons occupying an individual building or a unit in a multi-apartment or multi-purpose building supplied with heating, cooling or domestic hot water from a central source who has no direct or individual contract with the energy supplier.</p><p>This obligation may, where a Member State so provides, save in the case of sub-metered consumption based on heat cost allocators under Article 9b, be fulfilled by a system of regular self-reading by the final customer or final user whereby they communicate readings from their meter. Only where the final customer or final user has not provided a meter reading for a given billing interval shall billing be based on estimated consumption or a flat rate.</p></div><div><p>2.   Member States shall:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>require that, if information on the energy billing and historical consumption or heat cost allocator readings of final users is available, it be made available upon request by the final user, to an energy service provider designated by the final user;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>ensure that final customers are offered the option of electronic billing information and bills;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>ensure that clear and comprehensible information is provided with the bill to all final users in accordance with point 3 of Annex VIIa; and</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>promote cybersecurity and ensure the privacy and data protection of final users in accordance with applicable Union law.</p></td></tr></tbody></table><p>Member States may provide that, at the request of the final customer, the provision of billing information shall not be considered to constitute a request for payment. In such cases, Member States shall ensure that flexible arrangements for actual payment are offered.</p></div><div><p>3.   Member States shall decide who is to be responsible for providing the information referred to in paragraphs 1 and 2 to final users without a direct or individual contract with an energy supplier.’;</p></div></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>Article 11 is replaced by the following:</p><div><p>‘Article 11</p><p>Cost of access to metering and billing information for electricity and gas</p><p>Member States shall ensure that final customers receive all their bills and billing information for energy consumption free of charge and that final customers have access to their consumption data in an appropriate way and free of charge.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>the following Article is inserted:</p><div><p>‘Article 11a</p><p>Cost of access to metering and billing and consumption information for heating, cooling and domestic hot water</p><div><p>1.   Member States shall ensure that final users receive all their bills and billing information for energy consumption free of charge and that final users have access to their consumption data in an appropriate way and free of charge.</p></div><div><p>2.   Notwithstanding paragraph 1 of this Article, the distribution of costs of billing information for the individual consumption of heating, cooling and domestic hot water in multi-apartment and multi-purpose buildings pursuant to Article 9b shall be carried out on a non-profit basis. Costs resulting from the assignment of that task to a third party, such as a service provider or the local energy supplier, covering the measuring, allocation and accounting for actual individual consumption in such buildings, may be passed onto the final users to the extent that such costs are reasonable.</p></div><div><p>3.   In order to ensure reasonable costs for sub-metering services as referred to in paragraph 2, Member States may stimulate competition in that service sector by taking appropriate measures, such as recommending or otherwise promoting the use of tendering and/or the use of interoperable devices and systems facilitating switching between service providers.’;</p></div></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>in Article 15, the following paragraph is inserted:</p><div><p>‘2a.   By 31 December 2020, the Commission shall, after consulting relevant stakeholders, prepare a common methodology in order to encourage network operators to reduce losses, implement a cost-efficient and energy-efficient infrastructure investment programme and properly account for the energy efficiency and flexibility of the grid.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>in Article 20, the following paragraphs are inserted:</p><div><p>‘3a.   In order to mobilise private financing for energy efficiency measures and energy renovation, in accordance with Directive 2010/31/EU, the Commission shall conduct a dialogue with both public and private financial institutions in order to map out possible actions it can take.</p></div><div><p>3b.   The actions referred to in paragraph 3a shall include the following:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>mobilising capital investment into energy efficiency by considering the wider impacts of energy savings for financial risk management;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>ensuring better energy and finance performance data by:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>examining further how energy efficiency investments improve underlying asset values;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>supporting studies to assess the monetisation of the non-energy benefits of energy efficiency investments.</p></td></tr></tbody></table></td></tr></tbody></table></div><div><p>3c.   For the purpose of mobilising private financing of energy efficiency measures and energy renovation, Member States shall, when implementing this Directive:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>consider ways to make better use of energy audits under Article 8 to influence decision-making;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>make optimal use of the possibilities and tools proposed in the smart finance for smart buildings initiative.</p></td></tr></tbody></table></div><div><p>3d.   By 1 January 2020, the Commission shall provide guidance for Member States on how to unlock private investment.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>in Article 22, paragraph 2 is replaced by the following:</p><div><p>‘2.   The Commission is empowered to adopt delegated acts in accordance with Article 23 to amend this Directive by adapting to technical progress the values, calculation methods, default primary energy coefficient and requirements in Annexes I to V, VII to X, and XII.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>Article 23 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>paragraph 2 is replaced by the following:</p><div><p>‘2.   The power to adopt delegated acts referred to in Article 22 shall be conferred on the Commission for a period of five years from 24 December 2018. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.’;</p></div></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the following paragraph is inserted:</p><div><p>‘3a.   Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making<a> (<span>*2</span>)</a>.</p></div><p><a>(<span>*2</span>)</a>  <a>OJ L 123, 12.5.2016, p. 1</a>.’;"</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>Article 24 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the following paragraph is inserted:</p><div><p>‘4a.   In the context of the State of the Energy Union report, the Commission shall report on the functioning of the carbon market in accordance with Article 35(1) and point (c) of Article 35(2) of Regulation (EU) 2018/1999, taking into consideration the effects of the implementation of this Directive.’;</p></div></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the following paragraphs are added:</p><div><p>‘12.   By 31 December 2019, the Commission shall assess the effectiveness of the implementation of the definition of small and medium-sized enterprises for the purposes of Article 8(4), and shall submit a report to the European Parliament and to the Council. As soon as possible after submission of that report, the Commission shall, if appropriate, adopt legislative proposals.</p></div><div><p>13.   By 1 January 2021, the Commission shall carry out an assessment of the potential for energy efficiency in conversion, transformation, transmission, transportation and storage of energy, and shall submit a report to the European Parliament and to the Council. That report shall, if appropriate, be accompanied by legislative proposals.</p></div><div><p>14.   By 31 December 2021, the Commission, shall, unless changes to the retail market provisions of Directive 2009/73/EC on common rules for the internal market in gas have meanwhile been proposed, carry out an assessment, and submit a report to the European Parliament and to the Council, on the provisions related to metering, billing and consumer information for natural gas, with the aim of aligning them, where appropriate, with the relevant provisions for electricity in Directive 2009/72/EC, in order to strengthen consumer protection and enable final customers to receive more frequent, clear and up-to-date information about their natural gas consumption and to regulate their energy use. As soon as possible after submission of that report, the Commission shall, if appropriate, adopt legislative proposals.</p></div><div><p>15.   By 28 February 2024, and every five years thereafter, the Commission shall evaluate this Directive and submit a report to the European Parliament and to the Council.</p><p>That evaluation shall include:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>an examination of whether to adapt, after 2030, the requirements and the alternative approach laid down in Article 5;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>an assessment of the general effectiveness of this Directive and the need to adjust further the Union's energy efficiency policy in accordance with the objectives of the 2015 Paris Agreement on climate change following the 21st Conference of the Parties to the United Nations Framework Convention on Climate Change<a> (<span>*3</span>)</a> and in the light of economic and innovation developments.</p></td></tr></tbody></table><p>That report shall be accompanied, if appropriate, by proposals for further measures.</p></div><p><a>(<span>*3</span>)</a>  <a>OJ L 282, 19.10.2016, p. 4</a>.’;"</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>the Annexes are amended in accordance with the Annex to this Directive.</p></td></tr></tbody></table>
Article 2
1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 25 June 2020.
However, Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with points 5 to 10 of Article 1, and points 3 and 4 of the Annex, by 25 October 2020.
They shall immediately communicate the text of those measures to the Commission.
When Member States adopt those measures, 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 third day following that of its publication in the Official Journal of the European Union .
Article 4
This Directive is addressed to the Member States.
Done at Strasbourg, 11 December 2018.
For the European Parliament
The President
A. TAJANI
For the Council
The President
J. BOGNER-STRAUSS
( 1 ) OJ C 246, 28.7.2017, p. 42 .
( 2 ) OJ C 342, 12.10.2017, p. 119 .
( 3 ) Position of the European Parliament of 13 November 2018 (not yet published in the Official Journal) and decision of the Council of 4 December 2018.
( 4 ) OJ L 282, 19.10.2016, p. 4 .
( 5 ) Directive 2012/27/EU of the European Parliament and of the Council of 25 October 2012 on energy efficiency, amending Directives 2009/125/EC and 2010/30/EU and repealing Directives 2004/8/EC and 2006/32/EC ( OJ L 315, 14.11.2012, p. 1 ).
( 6 ) Regulation (EU) 2018/1999 of the European Parliament and of the Council of 11 December 2018 on the Governance of the Energy Union and Climate Action, amending Regulations (EC) No 663/2009 and (EC) No 715/2009 of the European Parliament and of the Council, Directives 94/22/EC, 98/70/EC, 2009/31/EC, 2009/73/EC, 2010/31/EU, 2012/27/EU and 2013/30/EU of the European Parliament and of the Council, Council Directives 2009/119/EC and (EU) 2015/652 and repealing Regulation (EU) No 525/2013 of the European Parliament and of the Council (see page 1 of this Official Journal).
( 7 ) Directive 2010/31/EU of the European Parliament and of the Council of 19 May 2010 on the energy performance of buildings ( OJ L 153, 18.6.2010, p. 13 ).
( 8 ) Directive (EU) 2016/2284 of the European Parliament and of the Council of 14 December 2016 on the reduction of national emissions of certain atmospheric pollutants, amending Directive 2003/35/EC and repealing Directive 2001/81/EC ( OJ L 344, 17.12.2016, p. 1 ).
( 9 ) Directive 2014/94/EU of the European Parliament and of the Council of 22 October 2014 on the deployment of alternative fuels infrastructure ( OJ L 307, 28.10.2014, p. 1 ).
( 10 ) Regulation (EU) 2018/842 of the European Parliament and of the Council of 30 May 2018 on binding annual greenhouse gas emission reductions by Member States from 2021 to 2030 contributing to climate action to meet commitments under the Paris Agreement and amending Regulation (EU) No 525/2013 ( OJ L 156, 19.6.2018, p. 26 ).
( 11 ) OJ L 123, 12.5.2016, p. 1 .
( 12 ) OJ C 369, 17.12.2011, p. 14 .
ANNEX
The Annexes to Directive 2012/27/EU are amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>in Annex IV, footnote 3 is replaced by the following:</p><table><col/><col/><tbody><tr><td><p>‘(<span>3</span>)</p></td><td><span>Applicable when energy savings are calculated in primary energy terms using a bottom-up approach based on final energy consumption. For savings in kWh electricity, Member States shall apply a coefficient established through a transparent methodology on the basis of national circumstances affecting primary energy consumption, in order to ensure a precise calculation of real savings. Those circumstances shall be substantiated, verifiable and based on objective and non-discriminatory criteria. For savings in kWh electricity, Member States may apply a default coefficient of 2,1 or use the discretion to define a different coefficient, provided that they can justify it. When doing so, Member States shall take into account the energy mix included in their integrated national energy and climate plans to be notified to the Commission in accordance with Regulation (EU) 2018/1999. By 25 December 2022 and every four years thereafter, the Commission shall revise the default coefficient on the basis of observed data. That revision shall be carried out taking into account its effects on other Union law such as Directive 2009/125/EC and Regulation (EU) 2017/1369 of the European Parliament and of the Council of 4 July 2017 setting a framework for energy labelling and repealing Directive 2010/30/EU (<a>OJ L 198, 28.7.2017, p. 1</a>).’;</span></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Annex V is replaced by the following:</p><div><div><p>‘ANNEX V</p><p>Common methods and principles for calculating the impact of energy efficiency obligation schemes or other policy measures under Articles 7, 7a and 7b and Article 20(6)</p><p>1.   Methods for calculating energy savings other than those arising from taxation measures for the purposes of Articles 7, 7a and 7b and Article 20(6).</p><p>Obligated, participating or entrusted parties, or implementing public authorities, may use the following methods for calculating energy savings:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>deemed savings, by reference to the results of previous independently monitored energy improvements in similar installations. The generic approach is termed “<span>ex ante</span>”;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>metered savings, whereby the savings from the installation of a measure, or package of measures, are determined by recording the actual reduction in energy use, taking due account of factors such as additionality, occupancy, production levels and the weather which may affect consumption. The generic approach is termed “<span>ex post</span>”;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>scaled savings, whereby engineering estimates of savings are used. This approach may be used only where establishing robust measured data for a specific installation is difficult or disproportionately expensive, e.g. replacing a compressor or electric motor with a different kWh rating from that for which independent information about savings has been measured, or where those estimates are carried out on the basis of nationally established methodologies and benchmarks by qualified or accredited experts that are independent of the obligated, participating or entrusted parties involved;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>surveyed savings, where consumers' response to advice, information campaigns, labelling or certification schemes or smart metering is determined. This approach may be used only for savings resulting from changes in consumer behaviour. It shall not be used for savings resulting from the installation of physical measures.</p></td></tr></tbody></table><p>2.   In determining the energy savings for an energy efficiency measure for the purposes of Articles 7, 7a and 7b and Article 20(6), the following principles apply:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>The savings shall be shown to be additional to those that would have occurred in any event without the activity of the obligated, participating or entrusted parties, or implementing public authorities. To determine the savings that can be claimed as additional, Member States shall have regard to how energy use and demand would evolve in the absence of the policy measure in question by taking into account at least the following factors: energy consumption trends, changes in consumer behaviour, technological progress and changes caused by other measures implemented at Union and national level.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>Savings resulting from the implementation of mandatory Union law shall be considered to be savings that would have occurred in any event, and thus shall not be claimed as energy savings for the purpose of Article 7(1). By way of derogation from that requirement, savings related to the renovation of existing buildings may be claimed as energy savings for the purpose of Article 7(1), provided that the materiality criterion referred to in point 3(h) of this Annex is ensured. Savings resulting from the implementation of national minimum requirements established for new buildings prior to the transposition of Directive 2010/31/EU can be claimed as energy savings for the purpose of point (a) of Article 7(1), provided that the materiality criterion referred to in point 3(h) of this Annex is ensured and those savings have been notified by Member States in their National Energy Efficiency Action Plans in accordance with Article 24(2).</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>Credit may be given only for savings exceeding the following levels:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>Union emission performance standards for new passenger cars and new light commercial vehicles following the implementation of Regulations (EC) No 443/2009<a> (<span>*1</span>)</a> and (EU) No 510/2011 of the European Parliament and of the Council<a> (<span>*2</span>)</a>;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>Union requirements relating to the removal from the market of certain energy related products following the implementation of implementing measures under Directive 2009/125/EC.</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>Policies with the purpose of encouraging higher levels of energy efficiency of products, equipment, transport systems, vehicles and fuels, buildings and building elements, processes or markets shall be permitted.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>Measures promoting the installation of small-scale renewable energy technologies on or in buildings may be eligible to be taken into account for the fulfilment of energy savings required under Article 7(1), provided that they result in verifiable, and measurable or estimable, energy savings. The calculation of energy savings shall comply with the requirements of this Annex.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>For policies that accelerate the uptake of more efficient products and vehicles, full credit may be claimed, provided that it is shown that such uptake takes place before expiry of the average expected lifetime of the product or vehicle, or before the product or vehicle would usually be replaced, and the savings are claimed only for the period until end of the average expected lifetime of the product or vehicle to be replaced.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>In promoting the uptake of energy efficiency measures, Member States shall, where relevant, ensure that quality standards for products, services and installation of measures are maintained or introduced where such standards do not exist.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>To account for climatic variations between regions, Member States may choose to adjust the savings to a standard value or to accord different energy savings in accordance with temperature variations between regions.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>The calculation of energy savings shall take into account the lifetime of the measures and the rate at which the savings decline over time. That calculation shall count the savings each individual action will achieve during the period from its date of implementation to 31 December 2020 or 31 December 2030 as appropriate. Alternatively, Member States may adopt another method that is estimated to achieve at least the same total quantity of savings. When using another method, Member States shall ensure that the total amount of energy savings calculated using that method does not exceed the amount of energy savings that would have been the result of their calculation when counting the savings each individual action will achieve during the period from its date of implementation to 31 December 2020 or 31 December 2030 as appropriate. Member States shall describe in detail in their integrated national energy and climate plans under Regulation (EU) 2018/1999 the other method and the provisions made to ensure that the binding calculation requirement is met.</p></td></tr></tbody></table><p>3.   Member States shall ensure that the following requirements for policy measures taken pursuant to Article 7b and Article 20(6) are met:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>policy measures and individual actions produce verifiable end-use energy savings;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the responsibility of each participating party, entrusted party or implementing public authority, as relevant, is clearly defined;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the energy savings that are achieved or are to be achieved are determined in a transparent manner;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the amount of energy savings required or to be achieved by the policy measure is expressed in either final or primary energy consumption, using the conversion factors set out in Annex IV;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>an annual report on the energy savings achieved by entrusted parties, participating parties and implementing public authorities be provided and made publicly available, as well as data on the annual trend of energy savings;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>monitoring of the results and taking appropriate measures if progress is not satisfactory;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>the energy savings from an individual action are not claimed by more than one party;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>the activities of the participating party, entrusted party or implementing public authority are shown to be material to the achievement of the energy savings claimed.</p></td></tr></tbody></table><p>4.   In determining the energy saving from taxation related policy measures introduced under Article 7b, the following principles shall apply:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>credit shall be given only for energy savings from taxation measures exceeding the minimum levels of taxation applicable to fuels as required in Council Directive 2003/96/EC<a> (<span>*3</span>)</a> or 2006/112/EC<a> (<span>*4</span>)</a>;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>price elasticities for the calculation of the impact of the (energy) taxation measures shall represent the responsiveness of energy demand to price changes, and shall be estimated on the basis of recent and representative official data sources;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the energy savings from accompanying taxation policy instruments, including fiscal incentives or payment to a fund, shall be accounted separately.</p></td></tr></tbody></table><p>5.   Notification of methodology</p><p>Member States shall in accordance with Regulation (EU) 2018/1999 notify to the Commission their proposed detailed methodology for the operation of the energy efficiency obligation schemes and alternative measures referred to in Articles 7a and 7b, and Article 20(6). Except in the case of taxation, such notification shall include details of:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the level of the energy savings required under point (b) of the first subparagraph of Article 7(1) or savings expected to be achieved over the whole period from 1 January 2021 to 31 December 2030;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the obligated, participating or entrusted parties, or implementing public authorities;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>target sectors;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>policy measures and individual actions, including the expected total amount of cumulative energy savings for each measure;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the duration of the obligation period for the energy efficiency obligation scheme;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>the actions provided for by the policy measure;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>the calculation methodology, including how additionality and materiality have been determined and which methodologies and benchmarks are used for deemed and scaled savings;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>the lifetimes of measures, and how they are calculated or what they are based upon;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>the approach taken to address climatic variations within the Member State;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(j)</p></td><td><p>the monitoring and verification systems for measures under Articles 7a and 7b and how their independence from the obligated, participating or entrusted parties is ensured;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(k)</p></td><td><p>in the case of taxation:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>the target sectors and segment of taxpayers;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>the implementing public authority;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>the savings expected to be achieved;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><p>the duration of the taxation measure; and</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><p>the calculation methodology, including the price elasticities used and how they have been established.</p></td></tr></tbody></table></td></tr></tbody></table></div></div>;<p><a>(<span>*1</span>)</a>  Regulation (EC) No 443/2009 of the European Parliament and of the Council of 23 April 2009 setting emission performance standards for new passenger cars as part of the Community's integrated approach to reduce CO<span>2</span> emissions from light-duty vehicles (<a>OJ L 140, 5.6.2009, p. 1</a>)."</p><p><a>(<span>*2</span>)</a>  Regulation (EU) No 510/2011 of the European Parliament and of the Council of 11 May 2011 setting emission performance standards for new light commercial vehicles as part of the Union's integrated approach to reduce CO<span>2</span> emissions from light-duty vehicles (<a>OJ L 145, 31.5.2011, p. 1</a>)."</p><p><a>(<span>*3</span>)</a>  Council Directive 2003/96/EC of 27 October 2003 restructuring the Community framework for the taxation of energy products and electricity (<a>OJ L 283, 31.10.2003, p. 51</a>)."</p><p><a>(<span>*4</span>)</a>  Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax (<a>OJ L 347, 11.12.2006, p. 1</a>)."</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>in Annex VII, the title is replaced by the following:</p><p>‘Minimum requirements for billing and billing information based on actual consumption of electricity and gas’;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>the following Annex is inserted:</p><div><div><p>‘ANNEX VIIa</p><p>Minimum requirements for billing and consumption information for heating, cooling and domestic hot water</p><p>1.   Billing based on actual consumption or heat cost allocator readings</p><p>In order to enable final users to regulate their own energy consumption, billing shall take place on the basis of actual consumption or heat cost allocator readings at least once per year.</p><p>2.   Minimum frequency of billing or consumption information</p><p>From 25 October 2020, where remotely readable meters or heat cost allocators have been installed, billing or consumption information based on actual consumption or heat cost allocator readings shall be provided to final users at least quarterly upon request or where final customers have opted to receive electronic billing, or else twice a year.</p><p>From 1 January 2022, where remotely readable meters or heat cost allocators have been installed, billing or consumption information based on actual consumption or heat cost allocator readings shall be provided to final users at least monthly. It may also be made available via the internet and be updated as frequently as allowed by the measurement devices and systems used. Heating and cooling may be exempted from that requirement outside the heating/cooling seasons.</p><p>3.   Minimum information contained in the bill</p><p>Member States shall ensure that the following information is made available to final users in clear and comprehensible terms in or with their bills where those are based on actual consumption or heat cost allocator readings:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>current actual prices and actual consumption of energy or total heat cost and heat cost allocator readings;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>information about the fuel mix used and the related annual greenhouse gas emissions, including for final users supplied by district heating or district cooling, and a description of the different taxes, levies and tariffs applied. Member States may limit the scope of the requirement to provide information about greenhouse gas emissions to include only supplies from district heating systems with a total rated thermal input exceeding 20 MW;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>comparisons of the final users current energy consumption with consumption for the same period in the previous year, in graphic form, climate corrected for heating and cooling;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>contact information for final customers' organisations, energy agencies or similar bodies, including website addresses, from which information on available energy efficiency improvement measures, comparative end-user profiles and objective technical specifications for energy-using equipment may be obtained;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>information about related complaints procedures, ombudsman services or alternative dispute resolution mechanisms, as applicable in the Member States;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>comparisons with an average normalised or benchmarked final user in the same user category. In the case of electronic bills, such comparisons may instead be made available online and signposted to within the bills.</p></td></tr></tbody></table><p>Bills that are not based on actual consumption or heat cost allocator readings shall contain a clear and comprehensible explanation of how the amount set out in the bill was calculated, and at least the information referred to in points (d) and (e).</p></div></div>;</td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>in Annex IX, point (g) of the fourth paragraph of Part 1 is replaced by the following:</p><table><col/><col/><tbody><tr><td><p>‘(g)</p></td><td><span>Economic analysis: Inventory of effects</span><p>The economic analyses shall take into account all relevant economic effects.</p><p>Member States may assess, and take into account in their decision-making, costs and energy savings from the increased flexibility in energy supply and from a more optimal operation of the electricity networks, including avoided costs and savings from reduced infrastructure investment, in the analysed scenarios.</p><p>The costs and benefits referred to in the first paragraph shall include at least the following:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>Benefits</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Value of output to the consumer (heat and electricity)</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>External benefits such as environmental, greenhouse gas emissions and health and safety benefits, to the extent possible</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Labour market effects, energy security and competitiveness, to the extent possible;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>Costs</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Capital costs of plants and equipment</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Capital costs of the associated energy networks</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Variable and fixed operating costs</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Energy costs</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Environmental, health and safety costs, to the extent possible</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Labour market costs, energy security and competitiveness, to the extent possible.’;</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>in Annex XII, point (a) of the first paragraph is replaced by the following:</p><table><col/><col/><tbody><tr><td><p>‘(a)</p></td><td><span>set up and make public their standard rules relating to the bearing and sharing of costs of technical adaptations, such as grid connections, grid reinforcements and the introduction of new grids, improved operation of the grid and rules on the non-discriminatory implementation of the grid codes, which are necessary in order to integrate new producers feeding electricity produced from high-efficiency cogeneration into the interconnected grid;’.</span></td></tr></tbody></table></td></tr></tbody></table>
<note>
( *1 ) Regulation (EC) No 443/2009 of the European Parliament and of the Council of 23 April 2009 setting emission performance standards for new passenger cars as part of the Community's integrated approach to reduce CO 2 emissions from light-duty vehicles ( OJ L 140, 5.6.2009, p. 1 ).
( *2 ) Regulation (EU) No 510/2011 of the European Parliament and of the Council of 11 May 2011 setting emission performance standards for new light commercial vehicles as part of the Union's integrated approach to reduce CO 2 emissions from light-duty vehicles ( OJ L 145, 31.5.2011, p. 1 ).
( *3 ) Council Directive 2003/96/EC of 27 October 2003 restructuring the Community framework for the taxation of energy products and electricity ( OJ L 283, 31.10.2003, p. 51 ).
( *4 ) Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax ( OJ L 347, 11.12.2006, p. 1 ).’
</note> | ENG | 32018L2002 |
<table><col/><col/><col/><col/><tbody><tr><td><p>5.7.2021   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 236/1</p></td></tr></tbody></table>
COMMISSION DELEGATED REGULATION (EU) 2021/1087
of 7 April 2021
amending Regulation (EU) 2018/1139 of the European Parliament and of the Council, as regards updating the references to the provisions of the Chicago Convention
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2018/1139 of the European Parliament and of the Council of 4 July 2018 on common rules in the field of civil aviation and establishing a European Union Aviation Safety Agency, and amending Regulations (EC) No 2111/2005, (EC) No 1008/2008, (EU) No 996/2010, (EU) No 376/2014 and Directives 2014/30/EU and 2014/53/EU of the European Parliament and of the Council, and repealing Regulations (EC) No 552/2004 and (EC) No 216/2008 of the European Parliament and of the Council and Council Regulation (EEC) No 3922/91 ( 1 ) , and in particular Article 19(3) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Aircraft, other than unmanned aircraft, and their engines, propellers, parts and non-installed equipment should comply with the environmental protection requirements. Regulation (EU) 2018/1139 provides for them by referring to specific provisions of the Chicago Convention, which contain those requirements.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>On 11 March 2020, at the fifth meeting of its 219th Session, the ICAO Council adopted Amendment 13 to Annex 16 Volume I ‘Aircraft Noise’ to the Chicago Convention, Amendment 10 to Volume II ‘Aircraft Engine Emissions’ to the Chicago Convention, and Amendment 1 to Volume III ‘Aeroplane CO<span>2</span> Emissions’ to the Chicago Convention. These amendments entered into force and became applicable to all Member States on 1 January 2021.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The references to the provisions of the Chicago Convention should therefore be updated, Regulation (EU) 2018/1139 should be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The measures provided for in this Regulation are based on Opinion No 03/2020 issued by the European Union Aviation Safety Agency (EASA) in accordance with Article 76(1) of Regulation (EU) 2018/1139,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
In Article 9(2) of Regulation (EU) 2018/1139, the first subparagraph is replaced by the following:
‘As regards noise and emissions, those aircraft and their engines, propellers, parts and non-installed equipment shall comply with the environmental protection requirements contained in Amendment 13 to Volume I, in Amendment 10 to Volume II, and in Amendment 1 to Volume III, all as applicable on 1 January 2021, of Annex 16 to the Chicago Convention.’
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, 7 April 2021.
For the Commission
The President
Ursula VON DER LEYEN
<note>
( 1 ) OJ L 212, 22.8.2018, p. 1 .
</note> | ENG | 32021R1087 |
02013R0609 — EN — 11.07.2017 — 001.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p>REGULATION (EU) No 609/2013 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL</p><p>of 12 June 2013</p><p>on food intended for infants and young children, food for special medical purposes, and total diet replacement for weight control and repealing Council Directive 92/52/EEC, Commission Directives 96/8/EC, 1999/21/EC, 2006/125/EC and 2006/141/EC, Directive 2009/39/EC of the European Parliament and of the Council and Commission Regulations (EC) No 41/2009 and (EC) No 953/2009</p><p><a>(Text with EEA relevance)</a></p><p>(OJ L 181 29.6.2013, p. 35)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a>COMMISSION DELEGATED REGULATION (EU) 2017/1091 of 10 April 2017</a></p></td><td><p>  L 158</p></td><td><p>5</p></td><td><p>21.6.2017</p></td></tr></table>
REGULATION (EU) No 609/2013 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 12 June 2013
on food intended for infants and young children, food for special medical purposes, and total diet replacement for weight control and repealing Council Directive 92/52/EEC, Commission Directives 96/8/EC, 1999/21/EC, 2006/125/EC and 2006/141/EC, Directive 2009/39/EC of the European Parliament and of the Council and Commission Regulations (EC) No 41/2009 and (EC) No 953/2009
(Text with EEA relevance)
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
1. This Regulation establishes compositional and information requirements for the following categories of food:
(a) infant formula and follow-on formula;
(b) processed cereal-based food and baby food;
(c) food for special medical purposes;
(d) total diet replacement for weight control.
2. This Regulation establishes a Union list of substances that may be added to one or more of the categories of food referred to in paragraph 1 and lays down the rules applicable to the updating of that list.
Article 2
Definitions
1. For the purposes of this Regulation, the following definitions shall apply:
(a) the definitions of ‘food’, ‘food business operator’, ‘retail’ and ‘placing on the market’ set out respectively in Article 2 and points (3), (7) and (8) of Article 3 of Regulation (EC) No 178/2002;
(b) the definitions of ‘prepacked food’, ‘labelling’ and ‘engineered nanomaterial’ set out respectively in points (e), (j) and (t) of Article 2(2) of Regulation (EU) No 1169/2011;
(c) the definitions of ‘nutrition claim’ and ‘health claim’ set out respectively in points (4) and (5) of Article 2(2) of Regulation (EC) No 1924/2006.
2. The following definitions shall also apply:
(a) ‘infant’ means a child under the age of 12 months;
(b) ‘young child’ means a child aged between one and three years;
(c) ‘infant formula’ means food intended for use by infants during the first months of life and satisfying by itself the nutritional requirements of such infants until the introduction of appropriate complementary feeding;
(d) ‘follow-on formula’ means food intended for use by infants when appropriate complementary feeding is introduced and which constitutes the principal liquid element in a progressively diversified diet of such infants;
(e) ‘processed cereal-based food’ means food:
(i) intended to fulfil the particular requirements of infants in good health while they are being weaned, and of young children in good health as a supplement to their diet and/or for their progressive adaptation, to ordinary food; and
(ii) pertaining to one of the following categories:
— simple cereals which are or have to be reconstituted with milk or other appropriate nutritious liquids,
— cereals with an added high protein food which are or have to be reconstituted with water or other protein-free liquid,
— pastas which are to be used after cooking in boiling water or other appropriate liquids,
— rusks and biscuits which are to be used either directly or, after pulverisation, with the addition of water, milk or other suitable liquids;
(f) ‘baby food’ means food intended to fulfil the particular requirements of infants in good health while they are being weaned, and of young children in good health as a supplement to their diet and/or for their progressive adaptation to ordinary food, excluding:
(i) processed cereal-based food; and
(ii) milk-based drinks and similar products intended for young children;
(g) ‘food for special medical purposes’ means food specially processed or formulated and intended for the dietary management of patients, including infants, to be used under medical supervision; it is intended for the exclusive or partial feeding of patients with a limited, impaired or disturbed capacity to take, digest, absorb, metabolise or excrete ordinary food or certain nutrients contained therein, or metabolites, or with other medically-determined nutrient requirements, whose dietary management cannot be achieved by modification of the normal diet alone;
(h) ‘total diet replacement for weight control’ means food specially formulated for use in energy restricted diets for weight reduction which, when used as instructed by the food business operator, replaces the whole daily diet.
Article 3
Interpretation decisions
In order to ensure the uniform implementation of this Regulation, the Commission may decide, by means of implementing acts:
(a) whether a given food falls within the scope of this Regulation;
(b) to which specific category of food referred to in Article 1(1) a given food belongs.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 17(2).
Article 4
Placing on the market
1. Food referred to in Article 1(1) may only be placed on the market if it complies with this Regulation.
2. Food referred to in Article 1(1) shall only be allowed on the retail market in the form of prepacked food.
3. Member States may not restrict or forbid the placing on the market of food which complies with this Regulation, for reasons related to its composition, manufacture, presentation or labelling.
Article 5
Precautionary principle
In order to ensure a high level of health protection in relation to the persons for whom the food referred to in Article 1(1) of this Regulation is intended, the precautionary principle as set out in Article 7 of Regulation (EC) No 178/2002 shall apply.
CHAPTER II
COMPOSITIONAL AND INFORMATION REQUIREMENTS
SECTION 1
General requirements
Article 6
General provisions
1. Food referred to in Article 1(1) shall comply with any requirement of Union law applicable to food.
2. The requirements laid down in this Regulation shall prevail over any conflicting requirement of Union law applicable to food.
Article 7
Opinions of the Authority
The Authority shall provide scientific opinions in accordance with Articles 22 and 23 of Regulation (EC) No 178/2002 for the purpose of the application of this Regulation. Those opinions shall serve as the scientific basis for any Union measure adopted pursuant to this Regulation which is likely to have an effect on public health.
Article 8
Access to documents
The Commission shall apply Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents ( 1 ) to applications for access to any document covered by this Regulation.
Article 9
General compositional and information requirements
1. The composition of food referred to in Article 1(1) shall be such that it is appropriate for satisfying the nutritional requirements of, and is suitable for, the persons for whom it is intended, in accordance with generally accepted scientific data.
2. Food referred to in Article 1(1) shall not contain any substance in such quantity as to endanger the health of the persons for whom it is intended.
For substances which are engineered nanomaterials, compliance with the requirement referred to in the first subparagraph shall be demonstrated on the basis of adequate test methods, where appropriate.
3. On the basis of generally accepted scientific data, substances added to food referred to in Article 1(1) for the purposes of the requirements under paragraph 1 of this Article shall be bio-available for use by the human body, have a nutritional or physiological effect and be suitable for the persons for whom the food is intended.
4. Without prejudice to Article 4(1) of this Regulation, food referred to in Article 1(1) of this Regulation may contain substances covered by Article 1 of Regulation (EC) No 258/97, provided that those substances fulfil the conditions under that Regulation for being placed on the market.
5. The labelling, presentation and advertising of food referred to in Article 1(1) shall provide information for the appropriate use of such food, and shall not mislead, or attribute to such food the property of preventing, treating or curing a human disease, or imply such properties.
6. Paragraph 5 shall not prevent the dissemination of any useful information or recommendations exclusively intended for persons having qualifications in medicine, nutrition, pharmacy, or for other healthcare professionals responsible for maternal care and childcare.
Article 10
Additional requirements for infant formula and follow-on formula
1. The labelling, presentation and advertising of infant formula and follow-on formula shall be designed so as not to discourage breast-feeding.
2. The labelling, presentation and advertising of infant formula, and the labelling of follow-on formula shall not include pictures of infants, or other pictures or text which may idealise the use of such formulae.
Without prejudice to the first subparagraph, graphic representations for easy identification of infant formula and follow-on formula and for illustrating methods of preparation shall be permitted.
SECTION 2
Specific requirements
Article 11
Specific compositional and information requirements
1. Subject to the general requirements set out in Articles 6 and 9, to the additional requirements of Article 10, and taking into account relevant technical and scientific progress, the Commission shall be empowered to adopt delegated acts in accordance with Article 18, with respect to the following:
(a) the specific compositional requirements applicable to food referred to in Article 1(1), with the exception of requirements as set out in the Annex;
(b) the specific requirements on the use of pesticides in products intended for the production of food referred to in Article 1(1) and on pesticide residues in such food. The specific requirements for the categories of food referred to in points (a) and (b) of Article 1(1) and food for special medical purposes developed to satisfy the nutritional requirements of infants and young children shall be updated regularly and include, inter alia, provisions to restrict the use of pesticides as much as possible;
(c) the specific requirements on labelling, presentation and advertising of food referred to in Article 1(1), including the authorisation of nutrition and health claims in relation thereto;
(d) the notification requirements for the placing on the market of food referred to in Article 1(1), in order to facilitate the efficient official monitoring of such food, and on the basis of which food business operators shall notify the competent authorities of Member States where that food is being marketed;
(e) the requirements concerning promotional and commercial practices relating to infant formula;
(f) the requirements concerning information to be provided in relation to infant and young child feeding in order to ensure adequate information on appropriate feeding practices;
(g) the specific requirements for food for special medical purposes developed to satisfy the nutritional requirements of infants, including compositional requirements and requirements on the use of pesticides in products intended for the production of such food, pesticide residues, labelling, presentation, advertising, and promotional and commercial practices, as appropriate.
These delegated acts shall be adopted by 20 July 2015.
2. Subject to the general requirements set out in Articles 6 and 9, to the additional requirements of Article 10, and taking into account relevant technical and scientific progress, including data provided by interested parties in relation to innovative products, the Commission shall be empowered to adopt delegated acts in accordance with Article 18 in order to update the acts referred to in paragraph 1 of this Article.
Where in the case of emerging health risks, imperative grounds of urgency so require, the procedure provided for in Article 19 shall apply to delegated acts adopted pursuant to this paragraph.
Article 12
Milk-based drinks and similar products intended for young children
By 20 July 2015, the Commission shall, after consulting the Authority, present to the European Parliament and to the Council a report on the necessity, if any, of special provisions for milk-based drinks and similar products intended for young children regarding compositional and labelling requirements and, if appropriate, other types of requirements. The Commission shall consider in the report, inter alia, the nutritional requirements of young children, the role of those products in the diet of young children and whether those products have any nutritional benefits when compared to a normal diet for a child who is being weaned. Such a report may, if necessary, be accompanied by an appropriate legislative proposal.
Article 13
Food intended for sportspeople
By 20 July 2015, the Commission shall, after consulting the Authority, present to the European Parliament and to the Council a report on the necessity, if any, of provisions for food intended for sportspeople. Such a report may, if necessary, be accompanied by an appropriate legislative proposal.
Article 14
Technical guidelines
The Commission may adopt technical guidelines to facilitate compliance by food business operators, in particular SMEs, with this Chapter and Chapter III.
CHAPTER III
UNION LIST
Article 15
Union list
1. Substances belonging to the following categories of substances may be added to one or more of the categories of food referred to in Article 1(1), provided that these substances are included in the Union list set out in the Annex and comply with the elements contained in the Union list in accordance with paragraph 3 of this Article:
(a) vitamins;
(b) minerals;
(c) amino acids;
(d) carnitine and taurine;
(e) nucleotides;
(f) choline and inositol.
2. Substances that are included in the Union list shall meet the general requirements set out in Articles 6 and 9 and, where applicable, the specific requirements established in accordance with Article 11.
3. The Union list shall contain the following elements:
(a) the category of food referred to in Article 1(1) to which substances belonging to the categories of substances listed in paragraph 1 of this Article may be added;
(b) the name, the description of the substance and, where appropriate, the specification of its form;
(c) where appropriate, the conditions of use of the substance;
(d) where appropriate, the purity criteria applicable to the substance.
4. Purity criteria established by Union law applicable to food, which apply to the substances included in the Union list when they are used in the manufacture of food for purposes other than those covered by this Regulation, shall also apply to those substances when they are used for purposes covered by this Regulation unless otherwise specified in this Regulation.
5. For substances included in the Union list for which purity criteria are not established by Union law applicable to food, generally acceptable purity criteria recommended by international bodies shall apply until the establishment of such criteria.
Member States may maintain national rules setting stricter purity criteria.
6. In order to take into account technical progress, scientific developments or the protection of consumers’ health, the Commission shall be empowered to adopt, in relation to the categories of substances listed in paragraph 1 of this Article, delegated acts in accordance with Article 18 with respect to the following:
(a) the removal of a category of substances;
(b) the addition of a category of substances that have a nutritional or physiological effect.
7. Substances belonging to categories not listed in paragraph 1 of this Article may be added to food referred to in Article 1(1), provided that they satisfy the general requirements set out in Articles 6 and 9 and, where applicable, the specific requirements established in accordance with Article 11.
Article 16
Updating the Union list
1. Subject to the general requirements set out in Articles 6 and 9 and, where applicable, the specific requirements established in accordance with Article 11, and in order to take into account technical progress, scientific developments or the protection of consumers’ health, the Commission shall be empowered to adopt delegated acts in accordance with Article 18, to amend the Annex, with respect to the following:
(a) the addition of a substance to the Union list;
(b) the removal of a substance from the Union list;
(c) the addition, removal or amendment of the elements referred to in Article 15(3).
2. Where, in the case of emerging health risks, imperative grounds of urgency so require, the procedure provided for in Article 19 shall apply to delegated acts adopted pursuant to this Article.
CHAPTER IV
PROCEDURAL PROVISIONS
Article 17
Committee procedure
1. The Commission shall be assisted by the Standing Committee on the Food Chain and Animal Health established by Regulation (EC) No 178/2002. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request.
Article 18
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article 11, Article 15(6) and Article 16(1) shall be conferred on the Commission for a period of five years from 19 July 2013. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.
3. The delegation of power referred to in Article 11, Article 15(6) and Article 16(1) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
5. A delegated act adopted pursuant to Article 11, Article 15(6) and Article 16(1) shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 19
Urgency procedure
1. Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of a delegated act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure.
2. Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in Article 18(5). In such a case, the Commission shall repeal the act without delay following the notification of the decision to object by the European Parliament or by the Council.
CHAPTER V
FINAL PROVISIONS
Article 20
Repeal
1. Directive 2009/39/EC is repealed with effect from 20 July 2016. References to the repealed act shall be construed as references to this Regulation.
2. Directive 92/52/EEC and Regulation (EC) No 41/2009 are repealed with effect from 20 July 2016.
3. Without prejudice to the first subparagraph of paragraph 4, Directive 96/8/EC shall not apply from 20 July 2016 to foods presented as a replacement for one or more meals of the daily diet.
4. Regulation (EC) No 953/2009 and Directives 96/8/EC, 1999/21/EC, 2006/125/EC and 2006/141/EC are repealed from the date of application of the delegated acts referred to in Article 11(1).
In the case of conflict between Regulation (EC) No 953/2009, Directives 96/8/EC, 1999/21/EC, 2006/125/EC, 2006/141/EC and this Regulation, this Regulation shall prevail.
Article 21
Transitional measures
1. Food referred to in Article 1(1) of this Regulation which does not comply with this Regulation but complies with Directive 2009/39/EC, and, as applicable, with Regulation (EC) No 953/2009 and Directives 96/8/EC, 1999/21/EC, 2006/125/EC and 2006/141/EC, and which is placed on the market or labelled before 20 July 2016 may continue to be marketed after that date until stocks of such food are exhausted.
Where the date of application of the delegated acts referred to in Article 11(1) of this Regulation is after 20 July 2016, food referred to in Article 1(1) which complies with this Regulation and, as applicable, with Regulation (EC) No 953/2009 and Directives 96/8/EC, 1999/21/EC, 2006/125/EC and 2006/141/EC but does not comply with those delegated acts, and which is placed on the market or labelled before the date of application of those delegated acts, may continue to be marketed after that date until stocks of such food are exhausted.
2. Food which is not referred to in Article 1(1) of this Regulation but which is placed on the market or labelled in accordance with Directive 2009/39/EC and Regulation (EC) No 953/2009, and, as applicable, with Directive 96/8/EC and Regulation (EC) No 41/2009 before 20 July 2016 may continue to be marketed after that date until stocks of such food are exhausted.
Article 22
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 .
It shall apply from 20 July 2016, with the exception of the following:
— Articles 11, 16, 18 and 19 which shall apply from 19 July 2013.
— Article 15 and the Annex to this Regulation which shall apply from the date of application of the delegated acts referred to in Article 11(1).
This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX
Union list as referred to in Article 15(1)
<table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Substance</p></td><td><p>Category of food</p></td></tr><tr><td><p>Infant formula and follow on formula</p></td><td><p>Processed cereal-based food and baby food</p></td><td><p>Food for special medical purposes</p></td><td><p>Total diet replacement for weight control</p></td></tr><tr><td><p>Vitamins</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Vitamin A</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>retinol</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>retinyl acetate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>retinyl palmitate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>beta-carotene</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Vitamin D</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>ergocalciferol</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>cholecalciferol</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Vitamin E</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>D-alpha tocopherol</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>DL-alpha tocopherol</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>D-alpha tocopheryl acetate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>DL-alpha tocopheryl acetate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>D-alpha-tocopheryl acid succinate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>D-alpha-tocopheryl polyethylene glycol-1000 succinate (TPGS)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>Vitamin K</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>phylloquinone (phytomenadione)</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Menaquinone <a>(<span>1</span>)</a></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Vitamin C</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>L-ascorbic acid</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium-L-ascorbate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium-L-ascorbate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium-L-ascorbate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-ascorbyl 6-palmitate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Thiamin</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>thiamin hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>thiamin mononitrate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Riboflavin</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>riboflavin</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>riboflavin 5’-phosphate, sodium</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Niacin</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>nicotinic acid</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>nicotinamide</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Vitamin B<span>6</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>pyridoxine hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>pyridoxine 5’-phosphate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>pyridoxine dipalmitate</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Folate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>folic acid (pteroylmonoglutamic acid)</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium-L-methylfolate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Vitamin B<span>12</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>cyanocobalamin</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>hydroxocobalamin</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Biotin</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>D-biotin</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Pantothenic Acid</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>D-pantothenate, calcium</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>D-pantothenate, sodium</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>dexpanthenol</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Minerals</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Potassium</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>potassium bicarbonate</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium carbonate</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium chloride</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium citrate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium gluconate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium glycerophosphate</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium lactate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium hydroxide</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium salts of orthophosphoric acid</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium potassium citrate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Calcium</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>calcium carbonate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium chloride</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium salts of citric acid</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium gluconate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium glycerophosphate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium lactate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium salts of orthophosphoric acid</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium hydroxide</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium oxide</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium sulphate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium bisglycinate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium citrate malate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium malate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>calcium L-pidolate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>calcium phosphoryl oligosaccharides</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>Magnesium</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>magnesium acetate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium carbonate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium chloride</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium salts of citric acid</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium gluconate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium glycerophosphate</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium salts of orthophosphoric acid</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium lactate</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium hydroxide</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium oxide</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium sulphate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium L-aspartate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>magnesium bisglycinate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium L-pidolate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>magnesium potassium citrate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Iron</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>ferrous carbonate</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferrous citrate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferric ammonium citrate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferrous gluconate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferrous fumarate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferric sodium diphosphate</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferrous lactate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferrous sulphate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferrous ammonium phosphate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferric sodium EDTA</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferric diphosphate (ferric pyrophosphate)</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>ferric saccharate</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>elemental iron (carbonyl + electrolytic + hydrogen reduced)</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>ferrous bisglycinate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>ferrous L-pidolate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Zinc</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>zinc acetate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>zinc chloride</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>zinc citrate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>zinc gluconate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>zinc lactate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>zinc oxide</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>zinc carbonate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>zinc sulphate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>zinc bisglycinate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Copper</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>cupric carbonate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>cupric citrate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>cupric gluconate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>cupric sulphate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>copper lysine complex</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Manganese</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>manganese carbonate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>manganese chloride</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>manganese citrate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>manganese gluconate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>manganese glycerophosphate</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>manganese sulphate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Fluoride</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>potassium fluoride</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium fluoride</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Selenium</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>sodium selenate</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium hydrogen selenite</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium selenite</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>selenium enriched yeast <a>(<span>2</span>)</a></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Chromium</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>chromium (III) chloride and its hexahydrate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>chromium (III) sulphate and its hexahydrate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>chromium picolinate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Molybdenum</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>ammonium molybdate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium molybdate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Iodine</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>potassium iodide</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>potassium iodate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium iodide</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium iodate</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Sodium</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>sodium bicarbonate</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium carbonate</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium chloride</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium citrate</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium gluconate</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium lactate</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium hydroxide</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium salts of orthophosphoric acid</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Boron</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>sodium borate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>boric acid</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Amino acids <a>(<span>3</span>)</a></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>L-alanine</p></td><td><p> </p><div/></td><td><p>—</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-arginine</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-aspartic acid</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>L-citrulline</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>L-cysteine</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Cystine <a>(<span>4</span>)</a></p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-histidine</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-glutamic acid</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-glutamine</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>glycine</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>L-isoleucine</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-leucine</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-lysine</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p><p>and its hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-lysine acetate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-methionine</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-ornithine</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-phenylalanine</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-proline</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>L-threonine</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-tryptophan</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-tyrosine</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-valine</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-serine</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>L-arginine-L-aspartate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>L-lysine-L-aspartate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>L-lysine-L-glutamate</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>N-acetyl-L-cysteine</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>N-acetyl-L-methionine</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X (in products intended for persons over 1 year of age)</p></td><td><p> </p><div/></td></tr><tr><td><p>Carnitine and taurine</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>L-carnitine</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-carnitine hydrochloride</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>taurine</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>L-carnitine-L-tartrate</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Nucleotides</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>adenosine 5’-phosphoric acid (AMP)</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium salts of AMP</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>cytidine 5’-monophosphoric acid (CMP)</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium salts of CMP</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>guanosine 5’-phosphoric acid (GMP)</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium salts of GMP</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>inosine 5’-phosphoric acid (IMP)</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium salts of IMP</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>uridine 5’-phosphoric acid (UMP)</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>sodium salts of UMP</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Choline and inositol</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>choline</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>choline chloride</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>choline bitartrate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>choline citrate</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>inositol</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p><a>(<span>1</span>)   </a>Menaquinone occurring principally as menaquinone-7 and, to a minor extent, menaquinone-6.</p><p><a>(<span>2</span>)   </a>Selenium-enriched yeasts produced by culture in the presence of sodium selenite as selenium source and containing, in the dried form as marketed, not more than 2,5 mg Se/g. The predominant organic selenium species present in the yeast is selenomethionine (between 60 and 85 % of total extracted selenium in the product). The content of other organic selenium compounds including selenocysteine must not exceed 10 % of total extracted selenium. Levels of inorganic selenium normally must not exceed 1 % of total extracted selenium.</p><p><a>(<span>3</span>)   </a>For amino acids used in infant formula, follow-on formula, processed cereal-based food and baby food only the hydrochloride specifically mentioned may be used. For amino acids used in food for special medical purposes and in total diet replacement for weight control, as far as applicable, also the sodium, potassium, calcium and magnesium salts as well as their hydrochlorides may be used.</p><p><a>(<span>4</span>)   </a>In the case of use in infant formula, follow-on formula, processed cereal-based food and baby food, only the form L-cystine may be used.</p></td></tr></tbody></table>
<note>
( 1 ) OJ L 145, 31.5.2001, p. 43.
</note> | ENG | 02013R0609-20170711 |
<table><col/><col/><col/><col/><tbody><tr><td><p>16.12.2022   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 322/86</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2022/2467
of 14 December 2022
amending Regulation (EC) No 1484/95 as regards fixing representative prices in the poultrymeat and egg sectors and for egg albumin
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 ( 1 ) , and in particular Article 183(b) thereof,
Having regard to Regulation (EU) No 510/2014 of the European Parliament and of the Council of 16 April 2014 laying down the trade arrangements applicable to certain goods resulting from the processing of agricultural products and repealing Council Regulations (EC) No 1216/2009 and (EC) No 614/2009 ( 2 ) , and in particular Article 5(6)(a) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Commission Regulation (EC) No 1484/95 <a>(<span>3</span>)</a> lays down detailed rules for implementing the system of additional import duties and fixes representative prices in the poultrymeat and egg sectors and for egg albumin.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Regular monitoring of the data used to determine representative prices for poultrymeat and egg products and for egg albumin shows that the representative import prices for certain products should be amended to take account of variations in price according to origin.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Regulation (EC) No 1484/95 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Given the need to ensure that this measure applies as soon as possible after the updated data have been made available, this Regulation should enter into force on the day of its publication,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Annex I to Regulation (EC) No 1484/95 is replaced by the text set out in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the day 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 December 2022.
For the Commission,
On behalf of the President,
Wolfgang BURTSCHER
Director-General
Directorate-General for Agriculture and Rural Development
( 1 ) OJ L 347, 20.12.2013, p. 671 .
( 2 ) OJ L 150, 20.5.2014, p. 1 .
( 3 ) Commission Regulation (EC) No 1484/95 of 28 June 1995 laying down detailed rules for implementing the system of additional import duties and fixing representative prices in the poultrymeat and egg sectors and for egg albumin, and repealing Regulation No 163/67/EEC ( OJ L 145, 29.6.1995, p. 47 ).
ANNEX
‘ANNEX I
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>CN code</p></td><td><p>Description</p></td><td><p>Representative price</p><p>(EUR/100 kg)</p></td><td><p>Security under Article 3</p><p>(EUR/100 kg)</p></td><td><p>Origin<a> (<span>1</span>)</a></p></td></tr><tr><td><p>0207 14 10</p></td><td><p>Fowls of the species<span>Gallus domesticus</span>, boneless cuts, frozen</p></td><td><p>267,4</p></td><td><p>10</p></td><td><p>TH</p></td></tr></tbody></table>
<note>
( 1 ) Nomenclature laid down by Commission Implementing Regulation (EU) 2020/1470 of 12 October 2020 on the nomenclature of countries and territories for the European statistics on international trade in goods and on the geographical breakdown for other business statistics ( OJ L 334, 13.10.2020, p. 2 ).’
</note> | ENG | 32022R2467 |
<table><col/><col/><col/><col/><tbody><tr><td><p>25.5.2023   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 137/26</p></td></tr></tbody></table>
COUNCIL IMPLEMENTING DECISION (EU) 2023/1025
of 22 May 2023
authorising Hungary to apply a special measure derogating from Article 287 of Directive 2006/112/EC on the common system of value added tax, and repealing Implementing Decision (EU) 2018/1490
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax ( 1 ) , and in particular Article 395(1), first subparagraph, thereof,
Having regard to the proposal from the European Commission,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 287, point (12), of Directive 2006/112/EC allows Hungary to exempt from value added tax (VAT) taxable persons whose annual turnover is no higher than the equivalent in national currency of EUR 35 000 at the conversion rate on the day of its accession.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>By Council Implementing Decision (EU) 2022/73 <a>(<span>2</span>)</a>, Hungary was authorised, until 31 December 2024, to continue to apply a special measure derogating from Article 287, point (12), of Directive 2006/112/EC and thus to exempt from VAT taxable persons whose annual turnover is no higher than the equivalent in national currency of EUR 48 000 at the conversion rate on the day of its accession to the Union (the ‘special measure’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>By letter registered with the Commission on 15 December 2022, Hungary requested an authorisation to increase the threshold of the existing special measure to EUR 71 500 for the remainder of the authorised period.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Pursuant to Article 395(2), second subparagraph, of Directive 2006/112/EC, the Commission transmitted the request made by Hungary to the other Member States by letter dated 11 January 2023. By letter dated 12 January 2023, the Commission notified Hungary that it had all the information necessary for the appraisal of the request.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The special measure requested by Hungary is in line with Council Directive (EU) 2020/285 <a>(<span>3</span>)</a>, which seeks to reduce the compliance burden for small enterprises and avoid distortions of competition in the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The special measure will remain optional for taxable persons as they can still opt for the regular VAT arrangements pursuant to Article 290 of Directive 2006/112/EC.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>According to the information provided by Hungary, the special measure will only have a negligible effect on the overall amount of the tax revenue of Hungary collected at the stage of final consumption.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Following the entry into force of Council Regulation (EU, Euratom) 2021/769 <a>(<span>4</span>)</a>, there is to be no compensation calculation carried out by Hungary with regard to the VAT-based own resource statement for the financial year 2021 onwards.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>Given that the special measure has had a positive impact on the simplification of VAT-related obligations, as it has reduced the administrative burden and compliance costs for both small enterprises and tax authorities, and given that it lacks any major impact on the total VAT revenue generated, Hungary should be authorised to apply the special measure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The application of the special measure should be limited in time. The time limit should be sufficient to allow the Commission to evaluate the effectiveness and appropriateness of the threshold. Moreover, pursuant to Article 3(1) of Directive (EU) 2020/285, Member States are to adopt and publish, by 31 December 2024, the laws, regulations and administrative provisions necessary to comply with Article 1(12) of that Directive and are to apply those provisions from 1 January 2025. It is therefore appropriate to authorise Hungary to apply the special measure until 31 December 2024.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>Council Implementing Decision (EU) 2018/1490 <a>(<span>5</span>)</a> should therefore be repealed,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
By way of derogation from Article 287, point (12), of Directive 2006/112/EC, Hungary is authorised to exempt from VAT taxable persons whose annual turnover is no higher than the equivalent in national currency of EUR 71 500 at the conversion rate on the day of its accession.
Article 2
Implementing Decision (EU) 2018/1490 is repealed.
Article 3
This Decision shall take effect on the date of its notification.
It shall apply until 31 December 2024.
Article 4
This Decision is addressed to Hungary.
Done at Brussels, 22 May 2023.
For the Council
The President
J. BORRELL FONTELLES
<note>
( 1 ) OJ L 347, 11.12.2006, p. 1 .
( 2 ) Council Implementing Decision (EU) 2022/73 of 18 January 2022 amending Implementing Decision (EU) 2018/1490 as regards authorisation to Hungary to apply for a further period the special measure derogating from Article 287 of Directive 2006/112/EC on the common system of value added tax ( OJ L 12, 19.1.2022, p. 148 ).
( 3 ) Council Directive (EU) 2020/285 of 18 February 2020 amending Directive 2006/112/EC on the common system of value added tax as regards the special scheme for small enterprises and Regulation (EU) No 904/2010 as regards the administrative cooperation and exchange of information for the purpose of monitoring the correct application of the special scheme for small enterprises ( OJ L 62, 2.3.2020, p. 13 ).
( 4 ) Council Regulation (EU, Euratom) 2021/769 of 30 April 2021 amending Regulation (EEC, Euratom) No 1553/89 on the definitive uniform arrangements for the collection of own resources accruing from value added tax ( OJ L 165, 11.5.2021, p. 9 ).
( 5 ) Council Implementing Decision (EU) 2018/1490 of 2 October 2018 authorising Hungary to introduce a special measure derogating from Article 287 of Directive 2006/112/EC on the common system of value added tax ( OJ L 252, 8.10.2018, p. 38 ).
</note> | ENG | 32023D1025 |
<table><col/><col/><col/><col/><tbody><tr><td><p>1.3.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 53/6</p></td></tr></tbody></table>
COMMISSION DECISION (EU) 2016/285
of 6 November 2015
on the state aid SA.38545 2014/C (ex 2014/NN) implemented by the French Republic in favour of Mory — Ducros SAS and MoryGlobal
(notified under document C(2015) 7523)
(Only the French text is authentic)
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union, and in particular the first subparagraph of Article 108(2) thereof,
Having regard to the Agreement on the European Economic Area, and in particular Article 62(1)(a) thereof,
Having called on interested parties to submit their comments pursuant to the provisions cited above ( 1 ) ,
Whereas:
1. PROCEDURE
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Following informal talks between the Commission and France, on 7 February 2014 the latter sent the Commission a memorandum concerning the granting of a participating loan by the Economic and Social Development Fund (FDES) to MoryGlobal<a> (<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>At the oral request of the Commission, France submitted a further memorandum on 2 April 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Two additional requests for information were sent on 11 April and 8 May 2014, to which France replied by letters dated 30 April and 9 May 2014. Those requests were followed by another request on 27 June 2014, to which France replied on 10 July 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>At the Commission's suggestion, a meeting was held with the French authorities on 9 July 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Since the first payment of the FDES loan had been made on 18 February 2014, the Commission entered the measure in the register of non-notified aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>By letter dated 16 September 2014, the Commission informed France that it had decided to initiate the procedure laid down in Article 108(2) of the Treaty on the Functioning of the European Union (‘TFEU’) in respect of the aid (‘the formal investigation procedure’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The Commission's decision to initiate the procedure (the ‘opening decision’) was published in the<span>Official Journal of the European Union</span><a> (<span>3</span>)</a>. The Commission called on interested parties to submit their comments on the aid in question. The Commission did not receive any comments from interested parties.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>France submitted its comments on 24 October 2014. At the Commission's request, France provided additional information on 12 January and 6 May 2015.</p></td></tr></tbody></table>
2. BACKGROUND
2.1. DESCRIPTION OF THE BENEFICIARY AND THE BACKGROUND
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The Mory-Ducros group included Mory-Ducros SAS (‘MD’) as well as SPAD and ARCATIME CAUDAN, real-estate companies constituted under civil law that were wholly owned by MD.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>MD's shareholder was Arcole Industries (‘Arcole’), a holding company specialising in the takeover and rescue of firms in difficulty. In June 2010 Arcole had bought Ducros Express from DHL, then in June 2011 it bought certain assets of Mory SA under the court-supervised administration procedure opened in respect of that company. Subsequently, Arcole merged these two businesses within MD.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>MD was the second-largest operator in France in the parcels and freight sector, after Geodis. MD had four main activities: national parcels and transport services, national freight, international parcels and freight, and logistics. This sector had been experiencing increasing difficulties in France since the beginning of the decade, resulting in mergers and/or the bankruptcy of major operators. In addition to the history of the assets and companies folded into MD following court-supervised administration procedures, note should also be taken of the acquisition by Geodis of the assets of SERNAM, an incumbent operator and SNCF subsidiary, following its winding up by the court<a> (<span>4</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>On 31 December 2012, MD had a consolidated turnover of EUR 765 million and employed some 5 300 staff and had 85 branches. However, the adverse effect of the financial crisis and increased competition from other operators against the background of the difficulties in the parcels and freight sector led to a deterioration in results, which was compounded by above-average production costs, unfavourable rates for many customers and the poor state of the buildings and vehicle fleet due to under-investment in previous years.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>By judgment of 26 November 2013, Pontoise Commercial Court opened a court-supervised administration procedure in respect of MD.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>On 3 January 2014, Arcole, the then majority shareholder in MD, made a takeover offer.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>On 28 January 2014, Arcole lodged an improved offer with Pontoise Commercial Court in the form of a plan for a sale to MoryGlobal, a new company set up to that end, for the purposes of taking over the majority of MD's assets.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>On 29 January 2014, the Minister for Economic Affairs and Finance issued a decree providing MoryGlobal with an FDES loan of EUR 17,5 million, to be released in one or more tranches.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>On 30 January 2014, pending the formalisation of the loan agreement between MoryGlobal and the State, the latter, represented by the Inter-Ministerial Committee for Industrial Restructuring (<span>Comité interministériel de restructuration industrielle</span> — ‘CIRI’), and Arcole signed a Memorandum of Understanding: Arcole undertook in particular to contribute total funds of EUR 17,5 million — a EUR 10 million capital increase and EUR 7,5 million in the form of convertible bonds<a> (<span>5</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>On 6 February 2014, Pontoise Commercial Court approved the plan to sell MD to Arcole.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>On 31 March 2015, despite the capital injection and the FDES loan, MoryGlobal was placed into compulsory liquidation by Bobigny Commercial Court.</p></td></tr></tbody></table>
2.2. DESCRIPTION OF THE MEASURES
2.2.1. The FDES loan of EUR 17,5 million
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>By agreement of 11 February 2014, the State granted MoryGlobal an FDES loan of EUR 17,5 million. The terms of the loan state that the loan was intended to finance the acquisition of part of MD's business and MoryGlobal's entire business.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>The FDES loan was to be remunerated at an annual fixed rate of 1 %. The interest accruing until the final repayment date was to be calculated yearly, then capitalised and paid at term when the FDES loan became repayable. By way of exception to the above, in the event that dividends had been paid to Arcole, MoryGlobal was to have paid the capitalised fixed interest accrued up to the date of payment of the dividends and up to a maximum of the amount of dividends paid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>To this fixed rate interest was to be added a variable interest rate equal to the total amount of dividends voted for and paid during the financial year, less the amount of the fixed remuneration paid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>The overall interest rate (fixed + variable) on the FDES loan could not be lower than the average rate of interest remunerating the partners' current accounts agreed to by Arcole.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>The loan was to be repaid in one instalment 20 years after the date on which the final tranche of the loan was released, which was 24 April 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>The FDES loan was guaranteed by a first-rank pledge without competition on a securities account which included all the shares in MoryGlobal. The pledged account was to include, for the entire term of the FDES loan, at least 90 % of MoryGlobal's pledged shares.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>In the event of the sale by Arcole of all of its shares in MoryGlobal, MoryGlobal was to have repaid the full amount of the outstanding loan and all sums due under the loan and to have paid to the State an amount representing a breach of loan penalty equal to the sale price less the amount invested by Arcole in MoryGlobal in all its forms, the total remuneration on the participating loan paid up to the date of sale and any costs associated with the sale. In the event of a partial sale of shares, a pro rata of the number of shares sold by Arcole in relation to the total number of shares held by Arcole before the sale was to have applied.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>The full amount of the loan was released in three tranches on the following dates and for the following amounts: EUR 3 million on 18 February 2014; EUR 7 million on 11 March 2014; and EUR 7,5 million on 24 April 2014.</p></td></tr></tbody></table>
2.2.2. Social measures
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>On 6 February 2014, in a press release<a> (<span>6</span>)</a>, the Ministers for Economic Regeneration, Labour, Employment, Vocational Training and Social Dialogue as well as the Deputy Minister for Transport, Maritime Affairs and Fisheries announced that a support plan for MD employees would be established. It would comprise the following elements.</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Automatic facility: assistance to which the redundant employees are automatically entitled by law on request. And under the occupational security contract (<span>Contrat de Sécurisation Professionnelle</span> — CSP), employees may qualify for (i) remuneration almost equivalent to their current net salary and (ii) specific training following the mobilisation of the joint funds for making career paths more secure.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Discretionary facility: assistance granted at the discretion of France. There are two types of assistance: (i) France will guarantee the employees services such as access to general consultants or training courses for a career change through the enhanced support facility (‘enhanced support facility’), and (ii) France will grant temporary degressive allowances to cover the difference in wages for 2 years in the event of recruitment to a lower-paid job, up to EUR 300 per month (‘degressive temporary allowance facility’).</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>The total cost of these social measures and the precise conditions for granting them had not been spelled out earlier.</p></td></tr></tbody></table>
3. DOUBTS RAISED IN THE OPENING DECISION
3.1. CLASSIFICATION AS STATE AID
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>In the opening decision, the Commission expressed concerns about the presence of an economic advantage arising from both the FDES loan and the social measures for employees. In general, in the light of the chronology of the exchanges between Arcole and France, the Commission considered that it was possible that the FDES loan and the social measures had been granted in particular for social reasons to safeguard jobs and production sites, which are not the motives of a prudent investor.</p></td></tr></tbody></table>
3.1.1. The FDES loan
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>Firstly, the Commission pointed out that the involvement and repeated interventions by the public authorities through various press releases had helped Arcole's takeover bid and therefore MoryGlobal. Thus, Arcole's initial offer of 3 January 2014 was based on EUR 25 million in external funding by legal entities governed by public law, while in the improved offer of 28 January 2014 the FDES loan of EUR 17,5 million appeared to replace the participation of these other potential investors. Consequently, the Commission had doubts, first, about the reasons for their withdrawal and, second, about the assumption that the FDES loan would be granted in return for improved terms under the redundancy plan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>Moreover, the Commission noted that France seemed to have taken the decision to grant the loan before being apprised of the final report by Eight Advisory setting out the results of simulations of rates of return on investment (‘RRI’) on the funds provided by Arcole and the FDES loan, since the report was not finalised until 26 January 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(33)</p></td><td><p>Finally, the Commission also had doubts about the terms of the FDES loan. It has the characteristics of both a loan, in the event that the company does not distribute any dividends, and, if it does, a capital contribution.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(34)</p></td><td><p>If the measure constituted a loan, the Commission considered the 1 % rate not to be in line with the market rate, since, regardless of the methodology adopted (application of the Communication from the Commission on the revision of the method for setting the reference and discount rates<a> (<span>7</span>)</a> (‘the 2008 Communication’) or the method based on data from Bloomberg and Capital IQ), the Commission concluded that the loan was not sufficiently remunerated. Furthermore, it did not seem to the Commission that the deferral of interest payments until the due date of the loan was normal market practice. The Commission also had doubts about the estimated value of the collateral.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(35)</p></td><td><p>If the measure constituted a capital contribution, it appeared to the Commission that the State as an investor was not in the same situation as Arcole in terms of risk, even though the amount of Arcole's contribution was equivalent to that of the State. The State did not have the same financial incentives as Arcole, which had to make a return on its investments made before the court-supervised procedure by continuing the undertaking's business, thereby avoiding a costly redundancy plan. Furthermore, the Commission took the view that the concomitance with Arcole's investment had been made possible through the intervention of the public prosecutor in requesting a derogation (…)<a> (<span>8</span>)</a>. The Commission also noted that the minimum opportunity cost of a similar investment over 20 years was around 7,4 %. Similarly, the probability of obtaining a remuneration substantially higher than 1 % seemed low, given the random pattern of dividend distributions. Moreover, the Commission noted that the State's concern in seeking to prevent Arcole from exiting MoryGlobal's capital did not seem to be that of a private investor.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(36)</p></td><td><p>Lastly, irrespective of how the measure is classified, the Commission had doubts about the consistency, having regard to the private investor principle, of including industrial commitments relating to the environment in the loan agreement.</p></td></tr></tbody></table>
3.1.2. Social measures
<table><col/><col/><tbody><tr><td><p>(37)</p></td><td><p>Furthermore, the Commission noted that the cost of the changes to the redundancy plan in terms of better support for redundant MD employees that were made before the improved offer was tabled appeared to have been borne mainly by the State through the introduction of the social measures described in section 2.2.2. According to the press, the buyer had maintained its proposal of EUR 7 000 per employee by way of ex-gratia redundancy payments and had refused to increase them. Therefore, these measures seemed to have conferred an advantage on MoryGlobal, since part of the redundancy plan had been financed by the State rather than MoryGlobal. The Commission took the view that, if economic continuity between MD and MoryGlobal had been established by releasing MD from its obligations to its employees, MoryGlobal's economic situation had been improved.</p></td></tr></tbody></table>
3.2. COMPATIBILITY ASSESSMENT
<table><col/><col/><tbody><tr><td><p>(38)</p></td><td><p>Although the Commission had no doubts about MD being classified as an undertaking in difficulty, it questioned whether MoryGlobal, which was set up on 23 January 2014, could be similarly classified.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(39)</p></td><td><p>Moreover, since France took the view that the measures did not constitute State aid, it had not submitted a compatibility assessment. The Commission therefore called on France to provide one.</p></td></tr></tbody></table>
3.3. ON THE PRINCIPLE OF ECONOMIC CONTINUITY
<table><col/><col/><tbody><tr><td><p>(40)</p></td><td><p>The Commission pointed out that, according to the case-law of the Court of Justice of the European Union, the obligation to recover incompatible aid may be extended to a new company to which the company in question has transferred part of its assets, where that transfer permits the conclusion that there is an economic continuity between the two companies<a> (<span>9</span>)</a>. According to the Commission, there were strong indications of economic continuity between MD and MoryGlobal in relation to the body of evidence set out by the case-law of the Court. MoryGlobal could therefore be liable to repay any incompatible aid received by MD.</p></td></tr></tbody></table>
4. OBSERVATIONS BY FRANCE ON THE OPENING DECISION
<table><col/><col/><tbody><tr><td><p>(41)</p></td><td><p>France submitted its observations on the opening decision on 23 October 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(42)</p></td><td><p>First of all, France challenged the view that the promise to grant a loan to MoryGlobal and the relevant press releases had allowed the company to benefit by giving precedence to the offer by Arcole, which, thanks to the loan, was able to submit an improved offer.</p></td></tr></tbody></table>
4.1. CLASSIFICATION AS STATE AID
<table><col/><col/><tbody><tr><td><p>(43)</p></td><td><p>France takes the view that it behaved like a prudent investor in taking the decision to grant the FDES loan to MoryGlobal. It stresses, first of all, that it is incorrect to assert that the State's investment decision was not based on any substantive economic and financial analysis because it did not wait for the final report of Eight Advisory dated 26 January 2014. The report merely reproduces, for the most part, the content of the analyses carried out earlier by Arcole and CIRI on the prospects for a joint investment.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(44)</p></td><td><p>Furthermore, the specific characteristics of the FDES loan are not taken into account by the Commission. Through the financial instrument of the FDES, France granted a participating loan to MoryGlobal: all the elements relating to the low remuneration from applying the fixed rate in question must be examined in conjunction with the other elements of remuneration and capital gain. France is of the opinion that there is no justification for the Commission to consider MoryGlobal to be an undertaking with a CCC rating under the 2008 Communication. MoryGlobal is a company without MD's liabilities, set up to implement a strategic plan that was adjusted after the collective proceedings. Similarly, France considers that the bullet repayment is the most suitable arrangement for a participating loan, contrary to the Commission's claims. Furthermore, France is surprised that the Commission believes that there is a low probability of obtaining a rate of return above 1 %. This analysis appears to give substance to the idea that no prudent investment could be made in the takeover of MD's most viable and most profitable assets. Moreover, France highlights the fact that it was not pursuing the objective of preventing or penalising an exit by Arcole from the undertaking's capital, rather its objective was not to remain the sole investor if Arcole exited, which is in line with the principle of the prudent investor.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(45)</p></td><td><p>In the end, France considers that the measure must be analysed as a capital contribution made<span>pari passu</span> with Arcole.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(46)</p></td><td><p>Lastly, with regard to the Commission's doubts as to whether including industrial commitments relating to the environment in the loan agreement is consistent with the private investor principle, France would refer to the Draft Commission Notice on the notion of State aid pursuant to Article 107(1) TFEU<a> (<span>10</span>)</a>: ‘For the purpose of the MEO test, only the benefits and obligations linked to the situation of the State as an economic operator — to the exclusion of those linked to its situation as a public authority — are to be taken into account’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(47)</p></td><td><p>Moreover, France takes the view that the financing by the State of social measures in favour of redundant workers does not constitute State aid. These measures provide no aid to the undertaking because they do not replace any of the undertaking's obligations towards its employees.</p></td></tr></tbody></table>
4.2. COMPATIBILITY ASSESSMENT
<table><col/><col/><tbody><tr><td><p>(48)</p></td><td><p>France takes the view, first, that MoryGlobal was eligible to receive restructuring aid as the economic successor to MD and, second, that the aid is compatible with the Community Guidelines on State aid for rescuing and restructuring firms in difficulty<a> (<span>11</span>)</a> (‘the 2004 Guidelines’). France argues that the measures implemented to restore the viability of MD/MoryGlobal are akin to measures that would have been taken under a restructuring plan accepted by the Commission on the basis of the 2004 Guidelines. In the same way, the reduction in MD's scope of activity has limited undue distortions of competition. Finally, the aid is limited to the minimum.</p></td></tr></tbody></table>
5. COMMENTS BY THIRD PARTIES ON THE OPENING DECISION
<table><col/><col/><tbody><tr><td><p>(49)</p></td><td><p>No third party commented on the opening decision.</p></td></tr></tbody></table>
6. ASSESSMENT OF THE AID
6.1. ASSESSMENT OF THE EXISTENCE OF AID WITHIN THE MEANING OF ARTICLE 107(1) TFEU
<table><col/><col/><tbody><tr><td><p>(50)</p></td><td><p>Under Article 107(1) TFEU ‘any aid granted by a Member State or through State resources in any form whatsoever, which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, in so far as it affects trade between Member States, be incompatible with the internal market’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(51)</p></td><td><p>On the basis of this provision, a measure can be classified as State aid if all of the following tests are met: (i) the measure is imputable to the State; (ii) the measure is selective; (iii) the measure confers an economic advantage on the beneficiary; and (iv) the measure distorts or threatens to distort competition and is likely to affect trade between Member States.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(52)</p></td><td><p>The Commission would stress that the two types of measure, namely the FDES loan on the one hand and the social measures on the other, are dealt with separately in this Decision solely in order to provide a clear analysis. In practice, the two measures were decided on at the same time and are closely linked in their common purpose of ensuring that MD's economic activity continues with as many jobs as possible, as will be demonstrated in the rest of the Decision.</p></td></tr></tbody></table>
6.1.1. Existence of State resources and imputability
<table><col/><col/><tbody><tr><td><p>(53)</p></td><td><p>The FDES loan was granted by Order of the Minister for Economic and Financial Affairs, implementation of which was entrusted to the Director-General of the Treasury. The relevant funds come from a special Treasury account and repayments of principal and interest are also paid into the budget of the French State. The loan is signed, paid and managed by the bank Natixis on behalf of France, on the basis of an agreement signed between Natixis and France.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(54)</p></td><td><p>The press release of 6 February 2014 clearly states that the social measures will be financed by the public authorities.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(55)</p></td><td><p>Accordingly, the Commission concludes that the measures in question involve State resources and are imputable to the State.</p></td></tr></tbody></table>
6.1.2. Selectivity
<table><col/><col/><tbody><tr><td><p>(56)</p></td><td><p>The Commission notes that the FDES loan was granted in favour of MoryGlobal, the company which took over MD's assets. Although the remit of the FDES is to grant loans for economic and social development under the conditions laid down in the Circular of 26 November 2004 on State action in the prevention and resolution of business difficulties<a> (<span>12</span>)</a>, which governs its operation, the granting of loans by the FDES is always subject to a case-by-case examination. The selectivity condition is therefore met.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(57)</p></td><td><p>The Commission notes that the social measures for employees are divided into two components: one automatic and the other optional, at the discretion of France.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(58)</p></td><td><p><span>Automatic facility</span>. France considers that the occupational security contract (CSP) is a facility under ordinary law provided for by the Labour Code, in particular to ensure that redundant employees maintain their income at almost the same level. The CSP, which was created by the Act of 28 July 2011<a> (<span>13</span>)</a>, is intended for employees of undertakings under administration or compulsory liquidation. The Commission notes that MD's employees were eligible for the benefits arising under this contract. Consequently, it considers that the allowances paid to redundant workers under the CSP, as well as the amounts mobilised from the joint funds for making career paths more secure for financing training, do not fulfil the selectivity criterion and do not constitute State aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(59)</p></td><td><p><span>Discretionary facility</span>. The Commission's analysis is different when it comes to the benefits under the second facility, since they go beyond the undertaking's statutory obligations and are fully financed by the State. The benefits under the enhanced support facility and the fact that the State bears, for 2 years, the difference in wages in the event of an employee being regraded to a lower-paid job, are the result of a decision by the State exercising its discretionary power and, in this case, in favour of the beneficiary undertaking; this holds true even though the conditions for the degressive temporary allowance facility are laid down in Article R.322-6 of the Labour Code and by the Decree of 22 January 2014 implementing Article R.5123 of the Labour Code<a> (<span>14</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(60)</p></td><td><p>In conclusion, the Commission considers selective the measures consisting of the FDES loan on the one hand and the social measures under the discretionary facility on the other. The social measures under the automatic facility are not selective. They do not, therefore, constitute State aid and accordingly will not be considered further in this Decision.</p></td></tr></tbody></table>
6.1.3. Existence of an economic advantage
6.1.3.1. Framework for analysis
<table><col/><col/><tbody><tr><td><p>(61)</p></td><td><p>An economic advantage exists whenever the financial situation of an undertaking is improved as a result of State intervention. However, it is settled case-law that, in order to determine whether a State measure constitutes aid within the meaning of Article 107(1) TFEU, it is necessary to establish whether the recipient undertaking receives an economic advantage which it would not have obtained under normal market conditions<a> (<span>15</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(62)</p></td><td><p>Intervention by a public authority does not necessarily confer an advantage on the beneficiary, and as such does not constitute aid if it is carried out under normal market conditions, in other words, if the public authority acted as a prudent operator in a market economy would have done in similar circumstances. In this regard, the presence of significant investments of the same kind, carried out at the same time as the State intervention by other private operators taking similar risks (‘<span>pari passu</span>’), may provide an indication that the State behaved as a prudent operator. Lastly, it is necessary to examine whether the State intervention is based on economic evaluations comparable to those which, in the circumstances, a prudent private operator in a market economy, in a situation as close as possible to that of the State, would have commissioned before making the investment in order to determine its future profitability.</p></td></tr></tbody></table>
6.1.3.2. Political background to the granting of the public measures
<table><col/><col/><tbody><tr><td><p>(63)</p></td><td><p>It should be noted that the involvement and repeated interventions of the public authorities between the opening of insolvency proceedings on 22 November 2013 and 6 February 2014, the date on which the takeover was approved by the judgment of Pontoise Commercial Court, benefited Arcole's takeover bid and therefore ultimately MoryGlobal. On 22 November 2013, the Minister for Economic Regeneration and the Minister for Transport announced publicly: ‘The period ahead of us must be used to examine all scenarios and consider the solutions for continuing activity in an economically viable scope and preserving as many jobs as possible’<a> (<span>16</span>)</a>. On 10 January 2014 the Minister for Economic Regeneration stated that France would grant a loan of EUR 17,5 million to secure Arcole's bid in exchange for an improved redundancy plan<a> (<span>17</span>)</a>. The Minister made statements concerning the social measures for MD employees and promised: ‘maintenance of wages for 1 year under the occupational security contract’, ‘financing of all training for all the career projects which have been approved’ and ‘partial coverage for 2 years of the wage differential in order to avoid a reduction in purchasing power’<a> (<span>18</span>)</a>. Finally, on 29 January 2014, the CEO of Arcole was summoned by the Prime Minister to assure him that Arcole was actually committed to the takeover bid for MD<a> (<span>19</span>)</a>.</p></td></tr></tbody></table>
6.1.3.3. FDES loan
<table><col/><col/><tbody><tr><td><p>(64)</p></td><td><p><span>The legal nature of the measure</span>. France considers that the measure in question has a dual nature since it is both a loan (payment of interest) and a capital contribution (potential payment of interest, depending on dividends). France explained that, if a choice had to be made, the measure should be classed as a capital contribution, which would allow it to be compared with Arcole's capital contribution, which also amounted to EUR 17,5 million. France therefore concluded that the two financing measures had been made<span>pari passu</span> and in the absence of State aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(65)</p></td><td><p>Interventions by the FDES are governed by the Circular of the Minister for Economic Affairs and Finance of 26 November 2004<a> (<span>20</span>)</a>. Pursuant to that instrument, the FDES may intervene in support of undertakings in difficulty only through repayable loans but may not be used to take control of the undertakings receiving support. Furthermore, the fact that part of the remuneration of the loan is linked to the payment of dividends to the shareholder Arcole in no way implies that the FDES is also receiving dividends: the FDES loan is remunerated partly by variable interest, payment of which is triggered simply by the payment of dividends to Arcole. Finally, there is a clear asymmetry between the rights of the FDES and those of Arcole. By way of illustration, the FDES cannot know and, still less, participate in the decision-making process as regards MoryGlobal's management and strategic guidelines, just as it would not benefit from any increase in the value of MoryGlobal's capital.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(66)</p></td><td><p>Accordingly, the Commission takes the view that the FDES support must be considered a loan and not a capital contribution and, in the absence of any prospects of similar remuneration, cannot be regarded as<span>pari passu</span> with Arcole's capital contribution. Moreover, and in any event, the difference in nature between the contributions by the FDES and Arcole is even more evident when the enhanced support facility and the degressive temporary allowance facility paid for by France are taken into account. Indeed, from a financial point of view, such a defrayal of costs can be likened to an unremunerated, non-repayable grant combined with the FDES loan, without Arcole making a similar financial effort from the point of view of the expected returns. At best, France could expect only the remuneration and repayment of the loan, whereas Arcole remained a shareholder in MoryGlobal and could expect a return on its share of the capital.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(67)</p></td><td><p><span>Conduct of France as a prudent economic operator.</span> There is substantial evidence to suggest that France did not behave like a prudent economic operator.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(68)</p></td><td><p>First of all, as already described in section 6.1.3.2, representatives of France intervened publicly on numerous occasions to stress that France would intervene in order to support the takeover of MD in order to ‘preserve as many jobs as possible’. Such declarations of intent do not seem to reflect the behaviour of a prudent economic operator helping an undertaking in difficulty: in such a case, one of the first measures commonly adopted to reduce costs and keep the undertaking afloat is to reduce the wage bill. These considerations and objectives of a public authority which are reflected in an increased wage bill may run counter to the interest of a prudent private creditor because they can reduce the borrower's ability to repay the loan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(69)</p></td><td><p>Next, France does not appear to have obtained ‘economic evaluations comparable to those which, in the circumstances, a rational private investor in a situation as close as possible to that of the State would have had carried out, before making the investment, in order to determine its future profitability’<a> (<span>21</span>)</a>. In response to the opening decision, France claimed that the final report of Eight Advisory of 26 January 2014 was merely a summary of the interim reports prepared in December. However, despite repeated requests by the Commission<a> (<span>22</span>)</a>, France did not provide these interim reports in order to enable the Commission to verify this claim. In the light of the information at its disposal, in particular the public statements by the various ministers responsible<a> (<span>23</span>)</a>, the Commission therefore considers that the decision to grant the loan in principle and the conditions of the FDES loan had been laid down before the report presenting the results of the simulation of the IRR on the capital contributions by Arcole and on the FDES loan had been completed, and that France had taken the decision to grant the loan before becoming apprised of the report's findings. But ‘for the purposes of showing that, before or at the same time as conferring the advantage, the Member State took that decision as a (prudent economic operator in a market economy), it is not enough to rely on economic evaluations made after the advantage was conferred, on a retrospective finding that the investment made by the Member State concerned was actually profitable, or on subsequent justifications of the course of action actually chosen’<a> (<span>24</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(70)</p></td><td><p>Moreover, the fact that the grounds of the judgment by Pontoise Commercial Court refer explicitly to the FDES loan as a guarantee enabling the undertaking's business to continue on a sustainable basis demonstrates that the loan conferred an advantage on MD under the court-supervised administration procedure and, as a result, on MoryGlobal as the successor to MD's activity following the latter's liquidation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(71)</p></td><td><p>Lastly, the environmental commitments to replace MoryGlobal's vehicle fleet imposed by the FDES loan are a further demonstration that France acted as a public authority rather than a prudent economic operator. No prudent economic operator would have made the granting of a loan to an undertaking in difficulty conditional on the expensive renewal of the undertaking's vehicle fleet merely in response to environmental concerns. Without specific justification, that condition is totally foreign to the objective of achieving a return that a lender should pursue. The imposition of environmental requirements for the vehicle fleet is reflected in additional costs which may compromise the borrower's ability to repay the loan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(72)</p></td><td><p><span>France did not behave as a prudent economic operator with regard to the terms of the loan</span>. First, the loan was secured by a pledge on MoryGlobal's capital. In view of MoryGlobal's extremely precarious situation, such a solution seems less than reliable, to say the least. Since the repayment of the principal and interest must take place at term after 20 years, in the event of MoryGlobal going into liquidation, the FDES would not recover the amount originally lent. Furthermore, the value of the stakes held in a company is even lower if the shares are illiquid — as is the case with MoryGlobal. If MoryGlobal's results were to stagnate or even decline, the value of the stakes would also be seriously affected. The collateral granted and the expected remuneration therefore seem low and do not appear sufficient to reward the risk taken by France.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(73)</p></td><td><p>A bullet loan with a 20-year maturity is a considerable risk for the lender. Moreover, it does not seem that the deferral of interest payments until the term of the loan is complete is normal market practice,<span>a fortiori</span> for an undertaking coming out of a court-supervised administration procedure which therefore does not have a positive credit or rating history, in particular in an economic sector suffering from the difficulties described in recitals 10 to 12. For the lender, the value of the interest payments decreases if payment is deferred until the term of the loan and may fall below the nominal rate of interest. In this case, with a nominal return of 1 %, it would be enough for inflation to exceed this percentage for the real return on the loan to be negative at the end of the period. The European Central Bank's policy objective is for an inflation rate below, but close to, 2 % over the long term<a> (<span>25</span>)</a>, while the yield on 10-year and 30-year French government bonds (fungible Treasury bonds) was 2,29 % and 3,27 % respectively in early February 2014. Accordingly, the nominal rate of remuneration on the loan of 1 % could be considered negative in real terms since it would in all likelihood be lower than inflation at the end of the 20-year term. The remuneration on the FDES loan was lower than the cost of financing for the French State based on government bonds for the same period, for an asset that was much riskier.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(74)</p></td><td><p>Furthermore, the negative return on the loan is accentuated by including in the calculation the cost of the enhanced support facility and the degressive temporary allowance facility paid for by France. The amounts set out in recital 90 suggest that these facilities could represent a cost in excess of EUR 10 million in nominal terms for the French State (EUR 4 000 per employee with a maximum workforce of 2 732 employees). By way of illustration, if the net present value of the likely schedule of disbursements and repayments of the FDES loan discounted using the 20-year constant maturity treasury rate (TEC 20) of 2,90 % was already negative to the tune of EUR – 5,45 million, by including the cost of the facilities<a> (<span>26</span>)</a> the net present value becomes negative to the tune of EUR – 14,62 million<a> (<span>27</span>)</a>. A prudent economic operator would not, therefore, have agreed to such financing.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(75)</p></td><td><p>Moreover, the internal rate of return simulations presented by France are based on the assumption that Arcole would exit MD's capital and would pay breach of contract costs to the State, failing which the yield would be much lower. However, Arcole may decide to stay invested in the capital. In that case, the return on the loan for France would be limited to the receipt of interest. Furthermore, in such a situation, Arcole would obtain the benefit of the increase in value of its stake or of the unrealised gains thereon, which the State itself cannot expect. In that regard, it should be noted that the concern of France to prevent or penalise Arcole's exiting the undertaking's capital is not at all that of a prudent economic operator driven solely by considerations of achieving a return in the medium to long term. Rather, it is explained by the concern to ensure the continuity of an undertaking for which France intervened in support of Arcole (…).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(76)</p></td><td><p>In addition, the payment of variable interest seems extremely hypothetical, since MoryGlobal was set up after the liquidation of MD, which was itself created in part from the liquidation of Mory. Furthermore, the scenarios supplied by France provided for the payment of dividends, and thus variable interest, only from 2018, 2019 and 2020, without making the IRR positive. In this regard, it should be noted that the loan provision stipulating that the overall interest rate (fixed + variable) on the FDES loan could not be below the average rate of interest on the associated current accounts agreed by Arcole is not such as to provide further evidence that the granting of the loan was prudent, given the extremely hypothetical payment of variable interest.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(77)</p></td><td><p>Lastly, the internal rate of return calculation presented by France was performed only on the FDES loan and takes no account of the establishment of an enhanced support facility and a degressive temporary allowance facility paid for by France, which was none the less decided on at the same time as the FDES loan. It follows from the estimated amounts set out in recital 90 that the first facility, in particular, could represent a cost in excess of EUR 10 million in nominal terms for the French State. A prudent market economy operator would take into consideration all the funds that he is mobilising in an investment in order to estimate its real return. In the case of France, in order to assess whether the total public funding of the continued activity of MD offered sufficient prospects of profitability, a prudent economic operator would have taken into account not only the loan but also the cost of the enhanced support facility and the degressive temporary allowance facility borne by France.</p></td></tr></tbody></table>
6.1.3.4. Social measures — Discretionary facility
<table><col/><col/><tbody><tr><td><p>(78)</p></td><td><p>As regards the discretionary component of the social measures, which included both the enhanced support facility and the degressive temporary allowance facility, France puts forward two arguments to rule out the existence of an economic advantage to the recipient undertaking. First, France points out that these benefits do not reduce the MD's contribution to the plan to safeguard jobs. Second, France argues that these benefits are intended solely for the workers made redundant and that, accordingly, they do not result in an advantage for the undertaking.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(79)</p></td><td><p>The Commission does not share that analysis.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(80)</p></td><td><p>First, the assurance of granting these measures by the State — even though they are intended to assist the employees — in fact benefited MD and its shareholder Arcole in the context of its takeover offer by simplifying considerably the social context of the takeover. The Commission notes in this regard that the decision by France to launch the enhanced support facility dates from 22 January 2014 and Arcole lodged the higher bid with Pontoise Commercial Court shortly thereafter, on 28 January 2014. The improved terms of the redundancy plan obtained before the higher bid was lodged were borne essentially by France through the introduction of the social measures described above. According to the press, the buyer had maintained its proposal of EUR 7 000 per employee by way of ex-gratia redundancy payments and had refused to increase them.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(81)</p></td><td><p>Moreover, the Commission observes that the fact that the assistance covers expenses incurred by the beneficiary by choice is not sufficient to exclude the possibility that it constitutes aid. It has consistently taken the view, as recalled in the judgment of the Court of Justice of 26 September 1996 in<span>Kimberly Clark Sopalin</span><a> (<span>28</span>)</a>, that: ‘assistance for certain undertakings or for the production of certain goods is to be classified as aid even if it is used to finance costs incurred voluntarily by the undertaking concerned’. In this case, the Commission takes the view that the fact that the social measures under the ‘discretionary component’ do not reduce MD's contribution to the plan to safeguard jobs is not sufficient to establish the absence of aid. Furthermore, the General Court pointed out in paragraph 83 of its judgment in<span>Corsica Ferries France</span> v<span>Commission</span><a> (<span>29</span>)</a> that ‘Under the principle of equal treatment (see paragraph 75 above), the option of making additional redundancy payments is also open to the Member States in the event that a public company goes into liquidation, even though their obligations cannot in principle exceed the strict minimum under statutory obligations and obligations under agreements’. However, the Court states in paragraph 84 that ‘… the assumption of the burden of those additional costs, because of legitimate concerns, cannot follow an exclusively social, even political, objective, as it would otherwise go beyond the framework of the private investor test as defined at paragraphs 76 to 82 above. In the absence of any economic rationale, even in the long term, the assumption of the burden of costs which exceeds the strict statutory obligations and obligations under agreements must therefore be considered to be State aid within the meaning of Article 87(1) EC’. In the case at hand, MD was not a public undertaking. The assumption of the social measures by France therefore had no justification other than its acting as a public authority.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(82)</p></td><td><p>Consequently, the enhanced support facility and the degressive temporary allowance facility granted an advantage to MD since part of the redundancy plan, although it was not obligatory for the employer, was financed by France and not by MD, without the latter being required to repay the amounts borne by France.</p></td></tr></tbody></table>
6.1.3.5. Conclusion on the existence of an economic advantage
<table><col/><col/><tbody><tr><td><p>(83)</p></td><td><p>Therefore, the examination of the FDES loan and the enhanced support facility and the degressive temporary allowance facility, taken individually or,<span>a fortiori</span>, taken together, shows that France did not behave like a prudent economic operator and that their granting conferred on MoryGlobal and on MD an economic advantage which they would not have been able to obtain under market conditions. MoryGlobal and MD have therefore been favoured within the meaning of Article 107(1) TFEU.</p></td></tr></tbody></table>
6.1.3.6. Quantification of the aid element
<table><col/><col/><tbody><tr><td><p>(84)</p></td><td><p><span>In the FDES loan</span>. Regarding the interest rate on the loan, the Commission considers that, in itself, the rate of 1 % is not in line with market conditions. In the absence of any information calling into question the interest rates set out in the 2008 Communication, the Commission considers that it is possible to estimate the market interest rate on the basis of the latter.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(85)</p></td><td><p>On this point, it should be noted that the arguments put forward by France are contradictory. In its reply to the opening decision, France explained in response to the concerns raised by the Commission regarding the remuneration of the FDES loan that ‘Newco MD/MoryGlobal has never been assigned a credit rating, let alone a CCC rating, as it is a company without liabilities, with its own capital, which was set up to implement a strategic plan adapted (sic) after the collective proceedings’<a> (<span>30</span>)</a>. However, in its compatibility assessment, France maintained that MoryGlobal was the economic successor to MD and was therefore eligible to receive restructuring aid. In the assessment, it stated the following: ‘Newco MD is not a 'newly created firm’ within the meaning of the guidelines'<a> (<span>31</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(86)</p></td><td><p>In the present case, the Commission notes that, at the time the FDES loan was granted, MoryGlobal was officially a company without MD's liabilities and with its own funds. Thus, in theory, MoryGlobal should not have experienced any difficulties accessing financing from private operators. In practice, given the lack of private operators willing to lend, MoryGlobal had to turn to France and the FDES. Private operators were likely to view MoryGlobal as a company without the liabilities of MD, but none the less as the successor to MD, an unreliable company that had recently been liquidated, some years after the restructuring that led to its creation. On the basis of the information available to the Commission, MD's economic situation appears to be the best available benchmark in the absence of any credit rating for MoryGlobal. Thus, contrary to the argument put forward by France, a CCC rating must be assigned to MoryGlobal.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(87)</p></td><td><p>Furthermore, the collateral, the value of which depended solely on the success of the proposed takeover of MD, and not on intrinsic and objective characteristics, namely physical assets, stock, production assets or immovable property, must be regarded as weak.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(88)</p></td><td><p>Thus, if the 2008 Communication is applied, the rate should have been 10,53 % (i.e. 0,53 %, the base rate of France between January and March 2014, plus 1 000 basis points, given the low value of the collateral granted).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(89)</p></td><td><p>The Commission considers that the amount of the aid equates to the sum of the difference between (i) 10,53 % (reference rate for France + 1 000 basis points) applied to the principal and (ii) 1 % (rate on the FDES loan) applied to the principal, calculated for the period during which the amount was made available to MoryGlobal. This method of estimating the economic advantage conferred by the difference in rate must be applied to the amounts of interest. The fact that the loan agreement provides for variable interest payments does not affect this amount. In the simulations on which France claims to have based its decision to grant the loan, the payment of dividends was planned to begin in 2018 and the projections did not go beyond 2020. Moreover, the fact that MoryGlobal was created from the liquidation of MD, which itself was partly created from the liquidation of Mory, reflects the extremely hypothetical nature of the variable interest payments to be made to France.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(90)</p></td><td><p><span>In the enhanced support facility and the degressive temporary allowance facility</span>. Under the enhanced support facility established by the Decree of 22 January 2014 implementing Article R.5123 of the Labour Code and under the enhanced collective support facility agreement concluded between France and MD's receivers, France will contribute EUR 4 000 per employee, with the maximum number of employees set at 2 732. The aid element therefore corresponds to the amounts actually paid by France under this facility.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(91)</p></td><td><p>Under the degressive temporary allowance facility established by Articles R.5123-9 to R.5123-11 of the Labour Code and the Order of 26 May 2004 on degressive temporary allowance agreements<a> (<span>32</span>)</a>, and as stated in the press release of 6 February 2014<a> (<span>33</span>)</a>, France will pay up to EUR 300 per month for 2 years to MD employees regraded to a lower-paid job. The aid element therefore corresponds to the amounts actually paid by France under this facility.</p></td></tr></tbody></table>
6.1.4. Effect on competition and trade between Member States
<table><col/><col/><tbody><tr><td><p>(92)</p></td><td><p>The social measures favoured MD by relieving it of some of its obligations set out in the redundancy plan. Had MD not been liquidated, its competitive position in relation to other operators in the parcels market would have been strengthened.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(93)</p></td><td><p>The FDES loan favours MoryGlobal by providing it with additional resources. It allows it to maintain a stronger competitive position than it would have had unaided. It therefore threatens to distort competition between operators in the parcels and freight sector.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(94)</p></td><td><p>Furthermore, the parcels and freight market is fully open to competition and there is a high level of trade between Member States. Therefore, the Commission concludes that the advantage conferred by the measures in question on an undertaking operating in a market that is open to competition distorts or threatens to distort competition and is liable to affect trade between Member States.</p></td></tr></tbody></table>
6.1.5. Conclusion with regard to the existence of State aid within the meaning of Article 107(1) TFEU
<table><col/><col/><tbody><tr><td><p>(95)</p></td><td><p>The FDES loan, the enhanced support facility and the degressive temporary allowance facility constitute State aid within the meaning of Article 107(1) TFEU.</p></td></tr></tbody></table>
6.2. ASSESSMENT OF THE COMPATIBILITY OF THE AID WITH THE INTERNAL MARKET
<table><col/><col/><tbody><tr><td><p>(96)</p></td><td><p>The prohibition of State aid laid down in Article 107(1) TFEU is neither absolute nor unconditional. In particular, paragraphs 2 and 3 of Article 107 TFEU constitute legal bases allowing some aid measures to be considered compatible with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(97)</p></td><td><p>In this case, the Commission takes the view that the aid was granted with the aim of restoring the long-term viability of firms in difficulty. It is therefore necessary to analyse whether the measures in question could be considered compatible under Article 107(3) TFEU.</p></td></tr></tbody></table>
6.2.1. Applicable legal basis
<table><col/><col/><tbody><tr><td><p>(98)</p></td><td><p>Point 137 of the Guidelines on State aid for rescuing and restructuring non-financial undertakings in difficulty<a> (<span>34</span>)</a> provides that ‘The Commission will examine the compatibility with the internal market of any rescue or restructuring aid granted without its authorisation and therefore in breach of Article 108(3) of the Treaty on the basis of these guidelines if some or all of the aid is granted after their publication in the<span>Official Journal of the European Union</span> (31 July 2014)’. Point 138 then states that: ‘In all other cases it will conduct the examination on the basis of the guidelines which applied at the time the aid was granted’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(99)</p></td><td><p>Since the measures in question were granted in February 2014, their compatibility must be assessed in the light of the 2004 Guidelines.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(100)</p></td><td><p>In<span>Italy</span> v<span>Commission</span>, the Court of Justice held that: ‘It should be observed that a Member State which seeks to be allowed to grant aid by way of derogation from the Treaty rules has a duty to collaborate with the Commission. In pursuance of that duty, it must in particular provide all the information to enable the Commission to verify that the conditions for the derogation sought are fulfilled’.<a> (<span>35</span>)</a> It is therefore necessary to assess the compatibility of the measures in the light of the information provided by France.</p></td></tr></tbody></table>
6.2.2. Social measures — Discretionary facility
<table><col/><col/><tbody><tr><td><p>(101)</p></td><td><p>In order to be eligible for rescue and restructuring aid, the undertaking must qualify as a firm in difficulty as defined in section 2.1 of the 2004 Guidelines. MD fulfils the criteria for undergoing collective insolvency proceedings. As referred to in section 2.1 above, MD was placed under a court-supervised administration procedure on 26 November 2013 by Pontoise Commercial Court. The undertaking may therefore be considered to be a firm in difficulty within the meaning of point 10 of the 2004 Guidelines.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(102)</p></td><td><p>Paragraphs 34 and 35 of the 2004 Guidelines state that the granting of aid must be conditional on implementation of the restructuring plan, which must be approved by the Commission for all individual aid measures and must restore the long-term viability of the firm on the basis of realistic assumptions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(103)</p></td><td><p>In the present case, the Commission notes that France has not submitted a restructuring plan of any kind. France's argument that a restructuring plan implemented on the basis of an analysis by the Commission would have led to the same solution cannot be accepted, since the Commission was not afforded the opportunity to carry out such an analysis. The criterion of a return to long-term viability cannot therefore be met.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(104)</p></td><td><p>Similarly, points 38 to 42 of the 2004 Guidelines state that the company in receipt of aid must implement compensatory measures. A market survey must be used as the basis for determining these measures and the survey must be submitted together with the restructuring plan. Otherwise, the aid will be regarded as contrary to the common interest and thus incompatible with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(105)</p></td><td><p>In this regard, France has not proposed compensatory measures of any kind. As with the restructuring plan, France's argument that compensatory measures adopted on the basis of an analysis by the Commission would have led to the same solution cannot be accepted, since the Commission was not afforded the opportunity to carry out such an analysis.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(106)</p></td><td><p>Accordingly, the Commission concludes that, in the light of the 2004 Guidelines, the State aid granted to MD as a result of France bearing the cost of the enhanced support facility and the degressive temporary allowance facility cannot be considered to be State aid compatible with the internal market in accordance with Article 107(3)(c) TFEU.</p></td></tr></tbody></table>
6.2.3. The FDES loan
<table><col/><col/><tbody><tr><td><p>(107)</p></td><td><p>Firstly, it should be noted that France has not submitted a restructuring plan or compensatory measures enabling the restructuring aid paid to MoryGlobal to be deemed compatible aid. Therefore, one cannot conclude that the aid in question is compatible with the internal market on the basis of the 2004 Guidelines.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(108)</p></td><td><p>Moreover, and for the sake of completeness, it should be noted that point 12 of the 2004 Guidelines states that: ‘A newly created undertaking is not eligible for aid under these guidelines even if its initial financial position is insecure. This is the case, for instance, where a new undertaking emerges from the liquidation of a previous undertaking or merely takes over that undertaking's assets’. In this case, MoryGlobal was created on 23 January 2014 following MD's liquidation. In any event, MoryGlobal would not have been able to receive State aid through restructuring aid. Furthermore, even if MoryGlobal, as the ‘economic successor’ to MD, were not to be considered a newly created undertaking within the meaning of the 2004 Guidelines, it would not be possible to declare the aid compatible for the reasons set out in recital 107. In addition, the Commission finds that it has not been demonstrated that MoryGlobal met the conditions to qualify as a firm in difficulty, which is an essential precondition for the application of the 2004 Guidelines. Lastly, it should be noted that France has not put forward any other legal basis for compatibility during the procedure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(109)</p></td><td><p>Accordingly, the Commission concludes that, in the light of the 2004 Guidelines, the State aid granted to MoryGlobal as a result of the FDES loan cannot be considered to be State aid compatible with the internal market in accordance with Article 107(3)(c) TFEU.</p></td></tr></tbody></table>
7. RECOVERY AND ECONOMIC CONTINUITY
7.1. FRAMEWORK FOR ANALYSIS
<table><col/><col/><tbody><tr><td><p>(110)</p></td><td><p>In accordance with the TFEU and the settled case-law of the Court of Justice, the Commission has the power to decide that the Member State concerned must abolish or alter aid when it finds it to be incompatible with the internal market. The Court has also ruled on a number of occasions that the obligation to abolish aid incompatible with the internal market which a Commission decision imposes on a Member State has as its purpose to re-establish the previously existing situation<a> (<span>36</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(111)</p></td><td><p>In this context, the Court of Justice has established that this aim is achieved once the beneficiary has repaid the amounts granted by way of unlawful aid, thus forfeiting the advantage which it had enjoyed over its competitors on the market, and the situation prior to the payment of the aid has been restored<a> (<span>37</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(112)</p></td><td><p>In line with case-law, Article 14(1) of Council Regulation (EC) No 659/1999<a> (<span>38</span>)</a> lays down that ‘Where negative decisions are taken in cases of unlawful aid, the Commission shall decide that the Member State concerned shall take all necessary measures to recover the aid from the beneficiary …’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(113)</p></td><td><p>Consequently, since the measures in question were implemented in breach of Article 108 TFEU and are to be considered unlawful and incompatible aid, they must be recovered in order to re-establish the situation that existed on the market before the aid was granted. As such, recovery must cover the period during which an advantage was conferred on the beneficiary, that is to say from the time the aid was made available to the beneficiary until it was effectively recovered. The sums to be recovered should therefore include interest due until recovery takes place. In accordance with case-law, the recovery interest accrues from the date on which the aid was actually made available<a> (<span>39</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(114)</p></td><td><p>France should therefore recover from MoryGlobal the incompatible aid consisting in the FDES loan and from MD the incompatible aid consisting in the enhanced support facility and the degressive temporary allowance facility.</p></td></tr></tbody></table>
7.2. RECOVERY OF THE INCOMPATIBLE AID FROM MORYGLOBAL
<table><col/><col/><tbody><tr><td><p>(115)</p></td><td><p>MoryGlobal is currently in court-supervised liquidation. In accordance with well-established case-law, the insolvency of the beneficiary and its inability to repay the aid do not constitute a valid reason for exempting it from its obligation to reimburse the aid<a> (<span>40</span>)</a>. In this case, restoring the situation prior to the payment of the aid and removing the distortion of competition can in principle be achieved by registering the liability relating to the repayment of the aid in the schedule of liabilities as part of the court-supervised liquidation procedure. Where the Member State is unable to recover the full amount of aid, registration of the liability can meet the recovery obligation provided that the insolvency proceedings result in the winding up of the undertaking which received the unlawful aid, that is to say, in the definitive cessation of its activities<a> (<span>41</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(116)</p></td><td><p>In this regard, on 31 March 2015 France lodged a claim on MoryGlobal with the court-appointed liquidator for EUR 17 500 000 in principal and EUR 155 916,66 in interest on the FDES loan. This interest is calculated on the actual duration of the loan, at the rate specified in the contract. The registering of these liabilities is a standard obligation required of a creditor in court-supervised liquidation proceedings, and is not linked to the creditor's obligations arising from the recovery of aid. In order to recover the amounts of aid as detailed in this Decision, France will have to add the recovery of the aid included in the FDES loan to the schedule of liabilities as part of the court-supervised liquidation procedure. This aid will be calculated as the difference between the interest rate applied and a rate of 10,53 % for the time that has already elapsed, and this until such a time as the interest ceases to accrue under French law in the context of a court-supervised liquidation. Recovery interest must be added to these sums for the period starting from when the aid was made available until reimbursement actually takes place or, in the present case, until the interest ceases to accrue under the law governing the court-supervised liquidation procedure.</p></td></tr></tbody></table>
7.3. RECOVERY OF THE INCOMPATIBLE AID FROM MD — ECONOMIC CONTINUITY
<table><col/><col/><tbody><tr><td><p>(117)</p></td><td><p>The enhanced support facility and the degressive temporary allowance facility benefited MD. However, MD has been liquidated and by judgment of Pontoise Commercial Court of 6 February 2014 its assets were transferred to Arcole, which consolidated them into MoryGlobal.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(118)</p></td><td><p>According to case-law, the recovery obligation may be extended to a new company to which the beneficiary has transferred part of its assets, where that transfer permits the conclusion that there is an economic continuity between the two companies<a> (<span>42</span>)</a>. The recovery obligation can be extended to another company, provided that it is established that the other company is effectively benefiting from the aid in question due to an economic continuity between the two entities. In such a case, those taking over the beneficiaries' activities would therefore also have to repay the aid considered incompatible with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(119)</p></td><td><p>In this case it is therefore necessary to examine whether the company taking over MD's activities, namely MoryGlobal, can be regarded as MD's economic successor, and hence as liable for reimbursing the aid incompatible with the internal market from which MD benefited.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(120)</p></td><td><p>In the light of the judgment of the Court of Justice in<span>Italy and SIM2 Multimedia</span> v<span>Commission</span><a> (<span>43</span>)</a>, on which the Commission based its decisions concerning<span>Olympic Airlines</span>,<span>Alitalia</span> and<span>Sernam</span><a> (<span>44</span>)</a>, an analysis of whether there is economic continuity between operators must draw on a body of evidence. The following are some of the factors that may be considered, as established by case-law: (i) the scale of the assets transferred, (ii) the price at which the assets were transferred, (iii) the identity of the buyers, (iv) the timing of the transfer and (v) the economic justification for the takeover. This set of factors was confirmed by the Court of Justice in its judgment of 28 March 2012 in<span>Ryanair</span> v<span>Commission</span><a> (<span>45</span>)</a>, which endorsed the Commission's decision in the<span>Alitalia</span> case.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(121)</p></td><td><p>In the present case, Arcole took over all of MD's tangible and intangible assets and consolidated them into its MoryGlobal subsidiary. In addition, nearly half of the jobs at MD were transferred to MoryGlobal. In this regard, it should be noted that the judgment handed down by Pontoise Commercial Court refers to Arcole's bid, in which Arcole requested that it be transferred the assets of MD required for it to continue a substantial part of MD's activities in the parcels, logistics and freight market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(122)</p></td><td><p>Furthermore, the purchase price for these assets was set by Pontoise Commercial Court as part of MD's court-supervised liquidation. In its judgment, the Commercial Court explained that: ‘In the present case, it is undisputed that only the offer made by Arcole Industries with a substitution clause could be duly considered and examined’. Therefore, the price at which the assets were transferred was not the result of a comparison of several competing bids. The price at which Arcole acquired MD's assets cannot therefore be considered the result of a market transaction.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(123)</p></td><td><p>Furthermore, MD and MoryGlobal have the same majority shareholder, Arcole. Arcole was only able to take over MD's assets following its liquidation as a result of a one-off derogation required by the French Public Prosecutor (…).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(124)</p></td><td><p>Lastly, MoryGlobal continued MD's business activities in the parcels, freight and logistics market, as was clearly indicated by Arcole when it took over MD. In this regard, it should be noted that the Court specified the following in the grounds of its judgment: ‘Whereas the takeover is also likely to enable the undertaking's business to continue on a sustainable basis considering the guarantees put forward’. In addition, MoryGlobal took over all of MD's trade names and brands, and acquired the right to call itself MD's successor in France and abroad without restriction.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(125)</p></td><td><p>Consequently, in the light of the scale of the assets transferred, the price at which the assets were transferred, the identity of the buyers and the economic justification for the takeover, the Commission concludes that there is economic continuity between MD and MoryGlobal.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(126)</p></td><td><p>Accordingly, recovery of the amount of aid under the enhanced support facility and the degressive temporary allowance facility must be extended to MoryGlobal. Recovery must therefore be entered in the schedule of liabilities as part of the MoryGlobal court-supervised liquidation procedure.</p></td></tr></tbody></table>
8. CONCLUSIONS
<table><col/><col/><tbody><tr><td><p>(127)</p></td><td><p>The Commission finds that, by granting an FDES loan to MoryGlobal and by bearing the costs of the enhanced support facility and the degressive temporary allowance facility in MD's stead, France has unlawfully implemented State aid in breach of Article 108(3) TFEU. France must therefore recover the amount of this aid, plus interest, from MoryGlobal or, if full reimbursement is not possible as a result of the court-supervised liquidation procedure, it must ensure that MoryGlobal is effectively wound up.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(128)</p></td><td><p>The Commission finds that the measures granted by France to redundant MD employees under the occupational security contract do not constitute State aid under Article 107(1) TFEU,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
1. The State aid resulting from the loan from the Economic and Social Development Fund (FDES) granted to MoryGlobal on 11 February 2014, in so far as the interest rate applied is below the rate calculated in this Decision on the basis of the Communication from the Commission on the revision of the method for setting the reference and discount rates, i.e. 10,53 %, unlawfully granted by the French Republic to MoryGlobal, in breach of Article 108(3) of the Treaty on the Functioning of the European Union, is incompatible with the internal market.
2. The State aid resulting from the enhanced support facility established by the Decree of 22 January 2014 implementing Article R.5123 of the Labour Code and resulting from the enhanced collective support facility agreement concluded between the French Republic and the receivers of Mory-Ducros SAS, unlawfully granted by the French Republic to Mory-Ducros SAS, in breach of Article 108(3) of the Treaty on the Functioning of the European Union, is incompatible with the internal market.
3. The State aid resulting from the degressive temporary allowance facility established by Articles R.5123-9 to R.5123-11 of the Labour Code and the Order of 26 May 2004 on degressive temporary allowance agreements, unlawfully granted by the French Republic to Mory-Ducros SAS, in breach of Article 108(3) of the Treaty on the Functioning of the European Union, is incompatible with the internal market.
Article 2
The social measures granted by the French Republic to redundant employees of Mory-Ducros SAS under the occupational security contract do not constitute State aid within the meaning of Article 107(1) of the Treaty on the Functioning of the European Union.
Article 3
1. The French Republic shall recover the aid referred to in Article 1 from MoryGlobal, in its own name as the economic successor to Mory-Ducros SAS.
2. The sums to be recovered shall bear interest from the date on which they were placed at the disposal of the beneficiary until that of their actual recovery.
3. The interest shall be calculated on a compound basis in accordance with Chapter V of Commission Regulation (EC) No 794/2004 ( 46 ) .
Article 4
1. Recovery of the aid referred to in Article 1 shall be immediate and effective.
2. The French Republic shall ensure that this Decision is implemented within 4 months of the date of its notification.
Article 5
1. Within 2 months of notification of this Decision, the French Republic shall provide the following information to the Commission:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the total amount (principal and interest) to be recovered from the beneficiary;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>a detailed description of the measures already taken and those planned to comply with this Decision;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the documents proving that the beneficiary has been ordered to repay the aid.</p></td></tr></tbody></table>
2. The French Republic shall keep the Commission informed of the progress of the national measures adopted pursuant to this Decision until the recovery of the aid specified in Article 1 has been concluded. At the Commission's request, it shall immediately submit information on the measures already adopted and planned for the purpose of complying with this Decision. It shall also provide detailed information concerning the amounts of aid and interest already recovered from the beneficiary.
Article 6
This Decision is addressed to the French Republic.
Done at Brussels, 6 November 2015.
For the Commission
Margrethe VESTAGER
Member of the Commission
<note>
( 1 ) OJ C 24, 23.1.2015, p. 32 .
( 2 ) The company was originally called Newco MD, but its name was changed to MoryGlobal on 14 February 2014. For the sake of clarity, only the name MoryGlobal will be used in this Decision.
( 3 ) See footnote 1.
( 4 ) Judgment of the Court of Justice of 17 September 2015, Mory and others v Commission , C-33/14 P, ECLI:EU:C:2015:609, in particular paragraphs 2 to 15.
( 5 ) The agreement also provided for funding for the takeover of MD through factoring of EUR 15 million.
( 6 ) http://www.developpement-durable.gouv.fr/IMG/pdf/CP_-_MORY_DUCROS_AM_MS_et_FC_-_06-02-2014.pdf
( 7 ) OJ C 14, 19.1.2008, p. 6 .
( 8 ) Confidential information
( 9 ) Judgment of the General Court of 28 March 2012, Ryanair v Commission , T-123/09, ECLI:EU:T:2012:164, paragraph 155.
( 10 ) Draft Commission Notice on the concept of State aid pursuant to Article 107(1) TFEU, paragraph 80, available at: http://ec.europa.eu/competition/consultations/2014_state_aid_notion/index_en.html
( 11 ) OJ C 244, 1.10.2004, p. 2 .
( 12 ) Official Journal of the French Republic (JORF) No 279, 1.12.2004, p. 20468.
( 13 ) Law No 2011-893 of 28 July 2011 on the development of apprenticeships and making career paths more secure, Official Journal of the French Republic No 174 of 29.7.2011, p. 12914.
( 14 ) Official Journal of the French Republic (JORF) No 24, 29.1.2014, p. 19184.
( 15 ) Judgment of the Court of Justice of 29 June 1999, DMT , C-256/97, ECLI:EU:C:1999:332, paragraph 22.
( 16 ) Direct matin.fr, 22 November 2013: ‘ MD: Montebourg et Cuvillier se saisissent du dossier ’ http://www.directmatin.fr/france/2013-11-22/MD-montebourg-et-cuvillier-se-saisissent-du-dossier-616172
( 17 ) Les Echos , 10 January 2014: ‘ Mory Ducros: l'État va soutenir l'offre d'Arcole, annonce Montebourg ’ http://www.lesechos.fr/10/01/2014/lesechos.fr/0203235311692_MD---l-État-va-soutenir-l-offre-d-arcole--annonce-montebourg.htm
( 18 ) Libération , 12 January 2014: ‘ Montebourg au secours de Mory Ducros ’ http://www.liberation.fr/economie/2014/01/12/montebourg-au-secours-de-MD_972338
( 19 ) Nord Eclair , 29 January 2014: ‘ Mory Ducros: le patron d'Arcole Industries convoqué à Matignon (Montebourg) ’ http://www.nordeclair.fr/france-monde/MD-le-patron-d-arcole-industries-convoque-a-ia0b0n353355
( 20 ) See footnote 11.
( 21 ) Judgment of the Court of Justice (Grand Chamber) of 5 June 2012, Commission v EDF , C-124/10 P, ECLI:EU:C:2012:318, paragraph 84.
( 22 ) Requests for information by the Commission to France of 2 December 2014 and 16 July 2015.
( 23 ) See footnotes 15 to 18.
( 24 ) Judgment in Commission v EDF , cited above in footnote 20, paragraph 85.
( 25 ) https://www.ecb.europa.eu/press/pressconf/2013/html/is130502.en.html
( 26 ) Cost of EUR 10 million, which, for the purposes of simplification, is assumed to be paid in full in 2016 (N + 3). This simplification, like the use of the 20-year constant maturity treasury rate as the discount rate, is a prudent and conservative approach.
( 27 ) These amounts are calculated by discounting the capitalisable interest rates (1 % p.a.) payable on maturity (N + 20) and the principal; the total is deducted from the principal of EUR 17,5 million and the discounted cost of the facilities. The discount rate used is the TEC 20 of 3 February 2014. This rate is obtained by linear interpolation of the actuarial yields on the two Treasury securities which are closest to the ‘n years’ maturity (20 years in this case). https://www.banque-france.fr/economie-et-statistiques/changes-et-taux/les-indices-obligataires.html
( 28 ) Judgment of the Court of Justice of 26 September 1996, Italy v Commission , C-241/94, ECLI:EU:C:1996:353, paragraph 30.
( 29 ) Judgment of the General Court of 11 September 2012, Corsica Ferries France v Commission , T-565/08, ECLI:EU:T:2012:415.
( 30 ) Reply from France dated 23 October 2014, p. 13.
( 31 ) Reply from France dated 23 October 2014, p. 19.
( 32 ) Official Journal of the French Republic (JORF) No 135, 12.6.2004, p. 10466.
( 33 ) See footnote 6.
( 34 ) OJ C 249, 31.7.2014, p. 1 .
( 35 ) Judgment of the Court of Justice of 28 April 1993, Italy v Commission , C-364/90, ECLI:EU:C:1993:157, paragraph 20.
( 36 ) Judgment of the Court of Justice of 14 September 1994, Spain v Commission , C-278/92, C-279/92 and C-280/92, ECLI:EU:C:1994:325, paragraph 75.
( 37 ) Judgment of the Court of Justice of 17 June 1999, Belgium v Commission , C-75/97, ECLI:EU:C:1999:311, paragraphs 64 and 65.
( 38 ) Council Regulation (EC) No 659/1999 of 22 March 1999 laying down detailed rules for the application of Article 108 of the Treaty on the Functioning of the European Union ( OJ L 83, 27.3.1999, p. 1 ).
( 39 ) Judgment of the General Court of 30 January 2002, Keller and Keller Meccanica v Commission , T-35/99, ECLI:EU:T:2002:19, paragraphs 106 to 109.
( 40 ) Judgment of the Court of Justice of 29 April 2004, Germany v Commission , C-277/00, ECLI:EU:C:2004:238, paragraph 85; Judgment of the Court of Justice of 15 January 1986, Commission v Belgium , C-52/84, ECLI:EU:C:1986:3, paragraph 14; Judgment of the Court of Justice of 21 March 1990, Belgium v Commission , C-142/87, ECLI:EU:C:1990:125, paragraphs 60 to 62.
( 41 ) Judgment of the Court of Justice of 11 December 2012, Commission v Spain , C-610/10, ECLI:EU:C:2012:781, paragraph 104.
( 42 ) Judgment of the General Court of 28 March 2012, Ryanair v Commission , T-123/09, ECLI:EU:T:2012:164, paragraph 155.
( 43 ) Judgment of the Court of Justice of 8 May 2003, Italy and SIM 2 Multimedia v Commission , C-328/99 and C-399/00, ECLI:EU:C:2003:252.
( 44 ) Commission Decision of 17 September 2008, State Aid N 321/2008, N 322/2008 and N 323/2008 — Greece — Sale of certain assets of Olympic Airlines/Olympic Airways Services ; Commission Decision of 12 November 2008, State Aid N 510/2008 — Italy — Sale of assets of Alitalia ; Commission Decision of 4 April 2012, SA.34547 — France — Takeover of SERNAM Group assets under the court-supervised administration procedure .
( 45 ) Judgment in Ryanair v Commission , see footnote 41 above.
( 46 ) Commission Regulation (EC) No 794/2004 of 21 April 2004 implementing Council Regulation (EU) 2015/1589 laying down detailed rules for the application of Article 108 of the Treaty on the Functioning of the European Union ( OJ L 140, 30.4.2004, p. 1 ).
</note> | ENG | 32016D0285 |
<table><col/><col/><col/><tbody><tr><td><img/></td><td><p>Official Journal<br/>of the European Union</p></td><td><p>EN</p><p>Series L</p></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>2023/2150</p></td><td><p>12.10.2023</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2023/2150
of 9 October 2023
approving amendments to the product specification for a protected designation of origin or a protected geographical indication (‘Terasele Dunării’ (PGI))
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 ( 1 ) , and in particular Article 99 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>The Commission examined Romania’s application for the approval of amendments to the product specification for the protected geographical indication ‘Terasele Dunării’, submitted pursuant to Article 105 of Regulation (EU) No 1308/2013.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The Commission published the application for the approval of amendments to the product specification in the<span>Official Journal of the European Union</span> <a>(<span>2</span>)</a>, as required by Article 97(3) of Regulation (EU) No 1308/2013.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>No statement of objection has been received by the Commission under Article 98 of Regulation (EU) No 1308/2013.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The amendments to the product specification should therefore be approved in accordance with Article 99 of Regulation (EU) No 1308/2013.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Committee for the Common Organisation of Agricultural Markets,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The amendments to the product specification published in the Official Journal of the European Union regarding the name ‘Terasele Dunării’ (PGI) are hereby approved.
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, 9 October 2023.
For the Commission,
On behalf of the President,
Janusz WOJCIECHOWSKI
Member of the Commission
( 1 ) OJ L 347, 20.12.2013, p. 671 .
( 2 ) OJ C 116, 11.5.2023, p. 9 .
ELI: http://data.europa.eu/eli/reg_impl/2023/2150/oj
ISSN 1977-0677 (electronic edition) | ENG | 32023R2150 |
<table><col/><col/><col/><tbody><tr><td><img/></td><td><p>Official Journal<br/>of the European Union</p></td><td><p>EN</p><p>Series L</p></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>2023/2712</p></td><td><p>6.12.2023</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2023/2712
of 5 December 2023
laying down rules for the application of Regulation (EU) 2019/1020 of the European Parliament and of the Council as regards the details of the information to be transmitted from national customs systems to the information and communication system for market surveillance concerning products placed under the customs procedure ‘release for free circulation’
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2019/1020 of the European Parliament and of the Council of 20 June 2019 on market surveillance and compliance of products and amending Directive 2004/42/EC and Regulations (EC) No 765/2008 and (EU) No 305/2011 ( 1 ) , and in particular Article 34(8) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 34(6) of Regulation (EU) 2019/1020 requires customs authorities, where relevant for the enforcement of Union harmonisation legislation and for the purpose of minimising risk, to extract from national customs systems information on products placed under the customs procedure ‘release for free circulation’ related to the enforcement of the Union harmonisation legislation, and to transmit it to the information and communication system referred to in Article 34(1) of that Regulation, known as the Information and Communication System for Market Surveillance (‘ICSMS’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Information on products released for free circulation is already collected by customs authorities under Regulation (EU) No 952/2013 of the European Parliament and of the Council <a>(<span>2</span>)</a> and transmitted to the Commission using the electronic system referred to in Article 56(1) of Commission Implementing Regulation (EU) 2015/2447 <a>(<span>3</span>)</a> (the ‘Surveillance database’). That information should therefore be used for the purpose of the transmission of information to ICSMS referred to in Article 34(6) of Regulation (EU) 2019/1020.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>However, the Surveillance database contains more extensive and more granular information than needed by market surveillance authorities for the purpose of Article 34(6) of Regulation (EU) 2019/1020. It is therefore necessary to define the relevant information sets to be aggregated and transmitted from the Surveillance database to ICSMS. These information sets should be defined in relation to the specific data elements set out in Annex B to Commission Delegated Regulation (EU) 2015/2446. <a>(<span>4</span>)</a></p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In order to avoid double transmission of information by customs authorities, the information referred to in Article 34(6) of Regulation (EU) 2019/1020 should be transmitted to ICSMS in two stages: first, customs authorities should transmit that information to the Commission using the Surveillance database; second, the Commission should ensure that the information is retrieved from the Surveillance database and transmitted to ICSMS on behalf of the customs authorities.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The information transmitted to ICSMS pursuant to Article 34(6) of Regulation (EU) 2019/1020 should not remain in the electronic interfaces used for its transmission longer than necessary for that transmission. That information should be kept confidential by the users of ICSMS referred to in Article 34(1) of Regulation (EU) 2019/1020 (single liaison offices, market surveillance authorities, authorities designated under Article 25(1) of Regulation (EU) 2019/1020 and the Commission) and it should be used only for the purpose of enforcement of Union harmonisation legislation and for the purpose of minimising risk.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The date of application of this Regulation should be deferred in order to allow for the development of an adequate visualisation tool providing user-friendly access to the information transmitted to ICSMS pursuant to Article 34(6) of Regulation (EU) 2019/1020.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the committee established by Article 43(1) of Regulation (EU) 2019/1020,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Information to be transmitted and transmission process
1. The information on products placed under the customs procedure ‘release for free circulation’ that is to be extracted from national customs systems and transmitted to the information and communication system referred to in Article 34(1) of Regulation (EU) 2019/1020 (‘ICSMS’) pursuant to Article 34(6) of Regulation (EU) 2019/1020 shall be the information:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>set out in the Annex to this Regulation;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>related to the products declared for release for free circulation under Chapters 24 to 96 of the Customs Nomenclature, as set out in Annex I to Council Regulation (EEC) No 2658/87 <a>(<span>5</span>)</a>;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>available in the national customs systems under the data element set out in Annex B to Delegated Regulation (EU) 2015/2446, as referred to in the Annex to this Regulation, and in the electronic system referred to in Article 56(1) of Implementing Regulation (EU) 2015/2447 (the ‘Surveillance database’).</p></td></tr></tbody></table>
The information referred to in the first subparagraph shall be transmitted in an aggregated format removing all transaction- or operator-specific data.
Where Member States, in accordance with Regulation (EU) No 952/2013 or Articles 2, 143a and 144 of Delegated Regulation (EU) 2015/2446 or any other transitional rules set out in or pursuant to these Regulations, apply data requirements to the customs declaration that are different from the ones set out in the Annex, the information to be transmitted shall be the equivalent information available in the customs declaration subject to those data requirements.
2. Customs authorities shall transmit the information referred to in paragraph 1 to the Commission using the Surveillance database.
The Commission shall ensure that the information is retrieved from the Surveillance database and transmitted to ICSMS on a monthly basis. Each monthly transmission shall include the relevant information records covering a period of five years prior to the month of transmission.
Article 2
Confidentiality of information
1. The information transmitted pursuant to Article 1 shall not remain in the electronic interfaces used for its transmission longer than necessary for that transmission and shall be kept confidential by the Commission during the transmission.
2. The information transmitted pursuant to Article 1 shall be kept confidential by the users of ICSMS. It shall be used only for the purpose of enforcement of Union harmonisation legislation and for the purpose of minimising risk.
Article 3
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 6 August 2024.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 5 December 2023.
For the Commission
The President
Ursula VON DER LEYEN
( 1 ) OJ L 169, 25.6.2019, p. 1 .
( 2 ) Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code ( OJ L 269, 10.10.2013, p. 1 ).
( 3 ) 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 ).
( 4 ) 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 ).
( 5 ) Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff ( OJ L 256, 7.9.1987, p. 1 ).
ANNEX
<table><col/><col/><col/><col/><tbody><tr><td><p><span>Information referred to in Article 1(1)</span></p></td><td><p><span>Corresponding data element in Annex B to Delegated Regulation (EU) 2015/2446</span></p></td></tr><tr><td><p><span>Data element</span></p></td><td><p><span>Description</span></p></td><td><p><span>Data element</span></p></td><td><p><span>Description</span></p></td></tr><tr><td><p>Acceptance Month</p></td><td><p>Month in which the declaration was accepted</p></td><td><p>15 09 000 000</p></td><td><p>Date of acceptance</p></td></tr><tr><td><p>Issuer</p></td><td><p>Member State where the declaration was accepted</p></td><td><p>Technical data element</p></td><td><p>Member State providing the data</p></td></tr><tr><td><p>Origin country</p></td><td><p>Country of customs’ origin</p></td><td><p>16 08 000 000 or 16 09 000 000</p></td><td><p>Country of origin or Country of preferential origin</p></td></tr><tr><td><p>Destination Country</p></td><td><p>Country of final destination</p></td><td><p>16 03 000 000</p></td><td><p>Country of destination</p></td></tr><tr><td><p>Commodity Code</p></td><td><p>Commodity code up to 10 digit level</p></td><td><p>18 09 056 000</p><p>18 09 057 000</p><p>18 09 058 000</p></td><td><p>Harmonized System sub-heading code</p><p>Combined nomenclature code</p><p>TARIC code</p></td></tr><tr><td><p>Euro_Value</p></td><td><p>Statistical value converted to Euro</p></td><td><p>99 06 000 000</p></td><td><p>Statistical value<a> (<span>1</span>)</a></p></td></tr><tr><td><p>Net Mass</p></td><td><p>Net mass of goods expressed in kg</p></td><td><p>18 01 000 000</p></td><td><p>Net mass</p></td></tr></tbody></table>
( 1 ) This information is provided by Member States in their national currencies and automatically converted to euro using the official rate of the European Central Bank.
ELI: http://data.europa.eu/eli/reg_impl/2023/2712/oj
ISSN 1977-0677 (electronic edition) | ENG | 32023R2712 |
<table><col/><col/><col/><col/><tbody><tr><td><p>25.4.2014   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 124/25</p></td></tr></tbody></table>
COUNCIL IMPLEMENTING DECISION
of 14 April 2014
as regards the extension of the period of entitlement for audiovisual co-productions as provided for in Article 5 of the Protocol on Cultural Cooperation to the Free Trade Agreement between the European Union and its Member States, of the one part, and the Republic of Korea, of the other part
(2014/226/EU)
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Article 4(1) of Council Decision 2011/265/EU of 16 September 2010 on the signing, on behalf of the European Union, and provisional application of the Free Trade Agreement between the European Union and its Member States, of the one part, and the Republic of Korea, of the other part ( 1 ) ,
Having regard to the proposal from the European Commission,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>The Free Trade Agreement between the European Union and its Member States, of the one part, and the Republic of Korea, of the other part<a> (<span>2</span>)</a> (‘the Agreement’) was signed on 6 October 2010. The Protocol on Cultural Cooperation (‘the Protocol’), which is annexed to the Agreement, sets up, in Article 1, the framework within which the Parties cooperate for the facilitation of exchanges regarding cultural activities, goods and services, including in the audiovisual sector.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Pursuant to Article 15.10.5 thereof, the Agreement has been provisionally applied in part by Decision 2011/265/EU since 1 July 2011, subject to its conclusion at a later date.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Pursuant to Article 3 of Decision 2011/265/EU, Article 5 of the Protocol concerning audiovisual co-productions has been provisionally applied, with the exception of paragraph 2 thereof.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In accordance with Article 4(1) of Decision 2011/265/EU, the Commission is to provide notice in writing to Korea of the Union's intention not to extend the period of entitlement for audiovisual co-productions pursuant to Article 5 of the Protocol and in accordance with the procedure set out in Article 5(8) thereof unless, on a proposal from the Commission, the Council agrees four months before the end of such period of entitlement to extend that period. Furthermore, pursuant to Article 4(1) of Decision 2011/265/EU, if the Council agrees to extend the period of entitlement, the obligation to provide notice is to become applicable again at the end of the extended period of entitlement. For the specific purpose of deciding on the extension of the period of entitlement, the Council is to act by unanimity.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>On 25 September 2013, the Union Domestic Advisory Group set up in accordance with Article 3(5) of the Protocol delivered a favourable opinion on the extension of the period of entitlement, as provided for in Article 5(8)(a) of the Protocol.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The Council agrees with the extension of the period of entitlement for audiovisual co-productions to benefit from the respective schemes of the Parties for the promotion of local and regional cultural content as provided for in paragraphs 4, 5, 6 and 7 of Article 5 of the Protocol.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>This Decision should not affect the respective competences of the Union and the Member States,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
The period of entitlement for audiovisual co-productions to benefit from the respective schemes of the Parties for the promotion of local and regional cultural content as provided for in paragraphs 4, 5, 6 and 7 of Article 5 of the Protocol shall be extended for a duration of three years, from 1 July 2014 to 30 June 2017.
Article 2
This Decision shall enter into force on the date of its adoption.
Done at Luxembourg, 14 April 2014.
For the Council
The President
A. TSAFTARIS
<note>
( 1 ) OJ L 127, 14.5.2011, p. 1 .
( 2 ) OJ L 127, 14.5.2011, p. 6 .
</note> | ENG | 32014D0226 |
<table><col/><col/><col/><col/><tbody><tr><td><p>23.2.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 53/166</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2018/250
of 15 February 2018
concerning the authorisation of methyl 2-furoate, bis-(2-methyl-3-furyl) disulfide, furfural, furfuryl alcohol, 2-furanmethanethiol, S-furfuryl acetothioate, difurfuryl disulfide, methyl furfuryl sulfide, 2-methylfuran-3-thiol, methyl furfuryl disulfide, methyl 2-methyl-3-furyl disulfide and furfuryl acetate as feed additives for all animal species
(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 1831/2003 of the European Parliament and of the Council of 22 September 2003 on additives for use in animal nutrition ( 1 ) , and in particular Article 9(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Regulation (EC) No 1831/2003 provides for the authorisation of additives for use in animal nutrition and for the grounds and procedures for granting such authorisation. Article 10 of that Regulation provides for the re-evaluation of additives authorised pursuant to Council Directive 70/524/EEC<a> (<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The substances methyl 2-furoate, bis-(2-methyl-3-furyl) disulfide, furfural, furfuryl alcohol, 2-furanmethanethiol, S-furfuryl acetothioate, difurfuryl disulfide, methyl furfuryl sulfide, 2-methylfuran-3-thiol, methyl furfuryl disulfide, methyl 2-methyl-3-furyl disulfide and furfuryl acetate (‘substances concerned’) were authorised without a time limit by Directive 70/524/EEC as feed additives for all animal species. Those products were subsequently entered in the Register of feed additives as existing products, in accordance with Article 10(1) of Regulation (EC) No 1831/2003.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>In accordance with Article 10(2) of Regulation (EC) No 1831/2003 in conjunction with Article 7 thereof, an application was submitted for the re-evaluation of the substances concerned as feed additives for all animal species. The applicant requested that those additives be classified in the additive category ‘sensory additives’. That application was accompanied by the particulars and documents required under Article 7(3) of Regulation (EC) No 1831/2003.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The European Food Safety Authority (‘the Authority’) concluded in its opinion of 26 January 2016<a> (<span>3</span>)</a> that under the proposed conditions of use the substances concerned do not have adverse effects on animal health, human health or the environment. These substances increase the food smell or palatability. The Authority has concluded that since the substances concerned are used in food as flavourings and their function in feed is essentially the same as in food no further demonstration of efficacy is necessary. Therefore, that conclusion can be extrapolated for feed. The applicant withdrew the application for use of the substances concerned in water for drinking.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The Authority further noted that for the substances concerned hazards for the skin, eye contact and respiratory exposure are recognised. Most substances are classified as irritating to the respiratory system. Consequently, appropriate protective measures should be taken. The Authority does not consider that there is a need for specific requirements of post-market monitoring. It also verified the report on the method of analysis of the feed additives in feed submitted by the Reference Laboratory set up by Regulation (EC) No 1831/2003.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The assessment of the substances concerned shows that the conditions for authorisation, as provided for in Article 5 of Regulation (EC) No 1831/2003, are satisfied. Accordingly, the use of those substances should be authorised as specified in the Annex to this Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The applicant proposed use levels for the substances concerned to the Authority. Having regard to that proposal, the Authority considered that certain use levels are safe (‘levels considered by the Authority’). For the purpose of official controls along the food chain, certain labelling requirements should be provided for. In particular, where the use levels exceed the levels considered by the Authority, it is appropriate to require that the label of premixtures and the labelling of feed materials and compound feed containing the substances concerned include certain information including reference to the levels considered by the Authority.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>The fact that the use of the substance concerned in water for drinking is not authorised does not preclude its use in compound feed which is administered via water.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>Since safety reasons do not require the immediate application of the modifications to the conditions of authorisation for the substances concerned, it is appropriate to allow a transitional period for interested parties to prepare themselves to meet the new requirements resulting from the authorisation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Authorisation
The substances specified in the Annex, belonging to the additive category ‘sensory additives’ and to the functional group ‘flavouring compounds’, are authorised as feed additives in animal nutrition subject to the conditions laid down in that Annex.
Article 2
Transitional measures
1. The substances specified in the Annex and premixtures containing those substances, which are produced and labelled before 15 September 2018 in accordance with the rules applicable before 15 March 2018 may continue to be placed on the market and used until the existing stocks are exhausted.
2. Feed materials and compound feed containing the substances as specified in the Annex which are produced and labelled before 15 March 2019 in accordance with the rules applicable before 15 March 2018 may continue to be placed on the market and used until the existing stocks are exhausted if they are intended for food-producing animals.
3. Feed materials and compound feed containing the substances as specified in the Annex which are produced and labelled before 15 March 2020 in accordance with the rules applicable before 15 March 2018 may continue to be placed on the market and used until the existing stocks are exhausted if they are intended for non-food-producing animals.
Article 3
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, 15 February 2018.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 268, 18.10.2003, p. 29 .
( 2 ) Council Directive 70/524/EEC of 23 November 1970 concerning additives in feedingstuffs ( OJ L 270, 14.12.1970, p. 1 ).
( 3 ) EFSA Journal 2016;14(2):4389.
ANNEX
<table><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Identification number of the additive</p></td><td><p>Name of the holder of authorisation</p></td><td><p>Additive</p></td><td><p>Composition, chemical formula, description, analytical method</p></td><td><p>Species or category of animal</p></td><td><p>Maximum age</p></td><td><p>Minimum content</p></td><td><p>Maximum content</p></td><td><p>Other provisions</p></td><td><p>End of period of authorisation</p></td></tr><tr><td><p>mg of active substance/kg of complete feedingstuff with a moisture content of 12 %</p></td></tr><tr><td><p><span>Category: Sensory additives. Functional group: Flavouring compounds</span></p></td></tr><tr/><tr><td><p>2b13002</p></td><td><p>—</p></td><td><p>Methyl 2-furoate</p></td><td><p><span>Additive composition</span></p><p>Methyl 2-furoate</p><p><span>Characterisation of the active substance</span></p><p>Methyl 2-furoate</p><p>Produced by chemical synthesis</p><p>Purity: min. 98 % assay</p><p>Chemical formula: C<span>6</span>H<span>6</span>O<span>3</span></p><p>CAS number: 611-13-2</p><p>FLAVIS No: 13.002</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of methyl 2-furoate in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,5 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,5 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13016</p></td><td><p>—</p></td><td><p>Bis-(2-methyl-3-furyl) disulfide</p></td><td><p><span>Additive composition</span></p><p>Bis-(2-methyl-3-furyl) disulfide</p><p><span>Characterisation of the active substance</span></p><p>Bis-(2-methyl-3-furyl) disulfide</p><p>Produced by chemical synthesis</p><p>Purity: min. 98 % assay</p><p>Chemical formula: C<span>10</span>H<span>10</span>O<span>2</span> S<span>2</span></p><p>CAS number: 28588-75-2</p><p>FLAVIS No: 13.016</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of bis-(2-methyl-3-furyl) disulfide in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,05 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,05 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13018</p></td><td><p>—</p></td><td><p>Furfural</p></td><td><p><span>Additive composition</span></p><p>Furfural</p><p><span>Characterisation of the active substance</span></p><p>Furfural</p><p>Produced by chemical synthesis</p><p>Purity: min. 95 % assay</p><p>Chemical formula: C<span>5</span>H<span>4</span>O<span>2</span></p><p>CAS number: 98-01-1</p><p>FLAVIS No: 13.018</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of furfural in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 5 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 5 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13019</p></td><td><p>—</p></td><td><p>Furfuryl alcohol</p></td><td><p><span>Additive composition</span></p><p>Furfuryl alcohol</p><p><span>Characterisation of the active substance</span></p><p>Furfuryl alcohol</p><p>Produced by chemical synthesis</p><p>Purity: min. 97 % assay</p><p>Chemical formula: C<span>5</span>H<span>6</span>O<span>2</span></p><p>CAS number: 98-00-0</p><p>FLAVIS No: 13.019</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of furfuryl alcohol in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 5 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 5 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13026</p></td><td><p>—</p></td><td><p>2-Furanmethanethiol</p></td><td><p><span>Additive composition</span></p><p>2-Furanmethanethiol</p><p><span>Characterisation of the active substance</span></p><p>2-Furanmethanethiol</p><p>Produced by chemical synthesis</p><p>Purity: min. 97 % assay</p><p>Chemical formula: C<span>5</span>H<span>6</span>OS</p><p>CAS number: 98-02-2</p><p>FLAVIS No: 13.026</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of 2-furanmethanethiol in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,05 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,05 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13033</p></td><td><p>—</p></td><td><p>S-Furfuryl acetothioate</p></td><td><p><span>Additive composition</span></p><p>S-furfuryl acetothioate</p><p><span>Characterisation of the active substance</span></p><p>S-furfuryl acetothioate</p><p>Produced by chemical synthesis</p><p>Purity: min. 95 % assay</p><p>Chemical formula: C<span>7</span>H<span>8</span>O<span>2</span>S</p><p>CAS number: 13678-68-7</p><p>FLAVIS No: 13.033</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of S-furfuryl acetothioate in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL.</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,05 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,05 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13050</p></td><td><p>—</p></td><td><p>Difurfuryl disulfide</p></td><td><p><span>Additive composition</span></p><p>Difurfuryl disulfide</p><p><span>Characterisation of the active substance</span></p><p>Difurfuryl disulfide</p><p>Produced by chemical synthesis</p><p>Purity: min. 96 % assay</p><p>Chemical formula: C<span>10</span>H<span>10</span>O<span>2</span>S<span>2</span></p><p>CAS number: 4437-20-1</p><p>FLAVIS No: 13.050</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of difurfuryl disulfide in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL.</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,05 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,05 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13053</p></td><td><p>—</p></td><td><p>Methyl furfuryl sulfide</p></td><td><p><span>Additive composition</span></p><p>Methyl furfuryl sulfide</p><p><span>Characterisation of the active substance</span></p><p>Methyl furfuryl sulfide</p><p>Produced by chemical synthesis</p><p>Purity: min. 97 % assay</p><p>Chemical formula: C<span>6</span>H<span>8</span>OS</p><p>CAS number: 1438-91-1</p><p>FLAVIS No: 13.053</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of methyl furfuryl sulfide in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL.</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,05 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,05 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13055</p></td><td><p>—</p></td><td><p>2-Methylfuran-3-thiol</p></td><td><p><span>Additive composition</span></p><p>2-Methylfuran-3-thiol</p><p><span>Characterisation of the active substance</span></p><p>2-Methylfuran-3-thiol</p><p>Produced by chemical synthesis</p><p>Purity: min. 95 % assay</p><p>Chemical formula: C<span>5</span>H<span>6</span>OS</p><p>CAS number: 28588-74-1</p><p>FLAVIS No: 13.055</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of 2-methylfuran-3-thiol in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL.</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,05 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,05 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13064</p></td><td><p>—</p></td><td><p>Methyl furfuryl disulfide</p></td><td><p><span>Additive composition</span></p><p>Methyl furfuryl disulfide</p><p><span>Characterisation of the active substance</span></p><p>Methyl furfuryl disulfide</p><p>Produced by chemical synthesis</p><p>Purity: min. 95 % assay</p><p>Chemical formula: C<span>6</span>H<span>8</span>OS<span>2</span></p><p>CAS number: 57500-00-2</p><p>FLAVIS No: 13.064</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of methyl furfuryl disulfide in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL.</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,05 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,05 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13079</p></td><td><p>—</p></td><td><p>Methyl 2-methyl-3-furyl disulfide</p></td><td><p><span>Additive composition</span></p><p>Methyl 2-methyl-3-furyl disulfide</p><p><span>Characterisation of the active substance</span></p><p>Methyl 2-methyl-3-furyl disulfide</p><p>Produced by chemical synthesis</p><p>Purity: min. 97 % assay</p><p>Chemical formula: C<span>6</span>H<span>8</span>OS<span>2</span></p><p>CAS number: 65505-17-1</p><p>FLAVIS No: 13.079</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of methyl 2-methyl-3-furyl disulfide in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL.</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,05 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,05 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr><tr><td><p>2b13128</p></td><td><p>—</p></td><td><p>Furfuryl acetate</p></td><td><p><span>Additive composition</span></p><p>Furfuryl acetate</p><p><span>Characterisation of the active substance</span></p><p>Furfuryl acetate</p><p>Produced by chemical synthesis</p><p>Purity: min. 97 % assay</p><p>Chemical formula: C<span>7</span>H<span>8</span>O<span>3</span></p><p>CAS number: 623-17-6</p><p>FLAVIS No: 13.128</p><p><span>Method of analysis</span><a> (<span>1</span>)</a></p><p>For the determination of furfuryl acetate in the feed additive and in feed flavouring premixtures:</p><p>Gas chromatography mass spectrometry with retention time locking GC-MS-RTL.</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The additive shall be incorporated into the feed in the form of a premixture.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>In the directions for use of the additive and premixtures, the storage and stability conditions shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>On the label of the additive the following shall be indicated:</p><p>‘Recommended maximum content of the active substance of complete feedingstuff with a moisture content of 12 %: 0,5 mg/kg.’</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated on the label of the premixtures where the use level suggested on the label of the premixture would result in exceeding the level referred to in point 3.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The functional group, the identification number, the name and the added amount of the active substance shall be indicated in the labelling of feed materials and compound feedingstuffs where the content of the active substance in the complete feedingstuff with a moisture content of 12 % exceeds: 0,5 mg/kg.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks by inhalation, dermal contact or eyes contact. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.</p></td></tr></tbody></table></td><td><p>15.3.2028</p></td></tr></tbody></table>
<note>
( 1 ) Details of the analytical methods are available at the following address of the Reference Laboratory: https://ec.europa.eu/jrc/en/eurl/feed-additives/evaluation-reports
</note> | ENG | 32018R0250 |
<table><col/><col/><col/><col/><tbody><tr><td><p>6.10.2020   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 324/1</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2020/1393
of 29 September 2020
entering a name in the register of protected designations of origin and protected geographical indications ‘Pebre bord de Mallorca’/‘Pimentón de Mallorca’ (PDO)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1151/2012 of the European Parliament and of the Council of 21 November 2012 on quality schemes for agricultural products and foodstuffs ( 1 ) , and in particular Article 52(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Pursuant to Article 50(2)(a) of Regulation (EU) No 1151/2012, Spain’s application to register the name ‘Pebre bord de Mallorca’/‘Pimentón de Mallorca’ was published in the<span>Official Journal of the European Union</span> <a>(<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>As no statement of opposition under Article 51 of Regulation (EU) No 1151/2012 has been received by the Commission, the name ‘Pebre bord de Mallorca’/‘Pimentón de Mallorca’ should therefore be entered in the register,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The name ‘Pebre bord de Mallorca’/‘Pimentón de Mallorca’ (PDO) is hereby entered in the register.
The name specified in the first paragraph denotes a product in Class 1.8. – other products listed in Annex I to the Treaty (spices etc.), as listed in Annex XI to Commission Implementing Regulation (EU) No 668/2014 ( 3 ) .
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, 29 September 2020.
For the Commission,
On behalf of the President,
Janusz WOJCIECHOWSKI
Member of the Commission
<note>
( 1 ) OJ L 343, 14.12.2012, p. 1 .
( 2 ) OJ C 197, 12.6.2020, p. 22 .
( 3 ) Commission Implementing Regulation (EU) No 668/2014 of 13 June 2014 laying down rules for the application of Regulation (EU) No 1151/2012 of the European Parliament and of the Council on quality schemes for agricultural products and foodstuffs ( OJ L 179, 19.6.2014, p. 36 ).
</note> | ENG | 32020R1393 |
<table><col/><col/><col/><col/><tbody><tr><td><p>23.10.2020   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 353/1</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2020/1538
of 16 October 2020
entering a name in the register of protected designations of origin and protected geographical indications (‘Pampepato di Terni’/‘Panpepato di Terni’ (PGI))
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1151/2012 of the European Parliament and of the Council of 21 November 2012 on quality schemes for agricultural products and foodstuffs ( 1 ) , and in particular Article 52(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Pursuant to Article 50(2)(a) of Regulation (EU) No 1151/2012, Italy’s application to register the name ‘Pampepato di Terni’/‘Panpepato di Terni’ was published in the<span>Official Journal of the European Union</span> <a>(<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>As no statement of opposition under Article 51 of Regulation (EU) No 1151/2012 has been received by the Commission, the name ‘Pampepato di Terni’/‘Panpepato di Terni’ should therefore be entered in the register,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The name ‘Pampepato di Terni’/‘Panpepato di Terni’ (PGI) is hereby entered in the register.
The name specified in the first paragraph denotes a product in Class 2.3. – bread, pastry, cakes, confectionery, biscuits and other baker’s wares, as listed in Annex XI to Commission Implementing Regulation (EU) No 668/2014 ( 3 ) .
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, 16 October 2020.
For the Commission,
On behalf of the President,
Janusz WOJCIECHOWSKI
Member of the Commission
<note>
( 1 ) OJ L 343, 14.12.2012, p. 1 .
( 2 ) OJ C 217, 1.7.2020, p. 33 .
( 3 ) Commission Implementing Regulation (EU) No 668/2014 of 13 June 2014 laying down rules for the application of Regulation (EU) No 1151/2012 of the European Parliament and of the Council on quality schemes for agricultural products and foodstuffs ( OJ L 179, 19.6.2014, p. 36 ).
</note> | ENG | 32020R1538 |
<table><col/><col/><col/><col/><tbody><tr><td><p>22.3.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 108/56</p></td></tr></tbody></table>
Statement of revenue and expenditure of the European Union Agency for Fundamental Rights for the financial year 2018
(2018/C 108/11)
REVENUE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Financial year 2018</p></td><td><p>Financial year 2017</p></td><td><p>Financial year 2016</p></td></tr><tr><td><p><span>2</span></p></td><td><p><span>EUROPEAN UNION SUBSIDY</span></p></td></tr><tr><td><p>2 0</p></td><td><p>EUROPEAN UNION SUBSIDY</p></td><td><p>22 350 000</p></td><td><p>22 608 250</p></td><td><p>21 359 000 ,—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 2 — Total</span></p></td><td><p><span>22 350 000</span></p></td><td><p><span>22 608 250</span></p></td><td><p><span>21 359 000 ,—</span></p></td></tr><tr><td><p><span>3</span></p></td><td><p><span>FINANCIAL CONTRIBUTION OF THE HOST MEMBER STATE</span></p></td></tr><tr><td><p>3 0</p></td><td><p>FINANCIAL CONTRIBUTION OF THE HOST MEMBER STATE</p></td><td><p>p.m.</p></td><td><p>p.m.</p></td><td><p>0 ,—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 3 — Total</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>0 ,—</span></p></td></tr><tr><td><p><span>4</span></p></td><td><p><span>REVENUE ASSIGNED TO SPECIFIC ITEMS OF EXPENDITURE</span></p></td></tr><tr><td><p>4 0</p></td><td><p>REVENUE ASSIGNED TO SPECIFIC ITEMS OF EXPENDITURE</p></td><td><p>p.m.</p></td><td><p>p.m.</p></td><td><p>0 ,—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 4 — Total</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>0 ,—</span></p></td></tr><tr><td><p><span>5</span></p></td><td><p><span>ADMINISTRATIVE APPROPRIATIONS</span></p></td></tr><tr><td><p>5 0</p></td><td><p>ADMINISTRATIVE APPROPRIATIONS</p></td><td><p>p.m.</p></td><td><p>p.m.</p></td><td><p>0 ,—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 5 — Total</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>0 ,—</span></p></td></tr><tr><td><p><span>9</span></p></td><td><p><span>MISCELLANEOUS REVENUE</span></p></td></tr><tr><td><p>9 0</p></td><td><p>MISCELLANEOUS REVENUE</p></td><td><p>p.m.</p></td><td><p>244 000</p></td><td><p>244 000 ,—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 9 — Total</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>244 000</span></p></td><td><p><span>244 000 ,—</span></p></td></tr><tr><td><p> </p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>22 350 000</span></p></td><td><p><span>22 852 250</span></p></td><td><p><span>21 603 000 ,—</span></p></td></tr></tbody></table>
EXPENDITURE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Appropriations 2018</p></td><td><p>Appropriations 2017</p></td><td><p>Outturn 2016</p></td></tr><tr><td><p><span>1</span></p></td><td><p><span>STAFF EXPENDITURE</span></p></td></tr><tr><td><p>1 1</p></td><td><p>STAFF IN ACTIVE EMPLOYMENT</p></td><td><p>11 460 000</p></td><td><p>11 111 250</p></td><td><p>10 047 653,16</p></td></tr><tr><td><p>1 2</p></td><td><p>EXPENDITURE ON STAFF RECRUITMENT AND TRANSFER</p></td><td><p>87 000</p></td><td><p>193 000</p></td><td><p>49 172,75</p></td></tr><tr><td><p>1 3</p></td><td><p>MISSIONS AND DUTY TRAVEL</p></td><td><p>90 000</p></td><td><p>80 000</p></td><td><p>65 912,07</p></td></tr><tr><td><p>1 4</p></td><td><p>LEGAL, MEDICAL AND TRAINING EXPENDITURE</p></td><td><p>385 000</p></td><td><p>305 000</p></td><td><p>201 731,01</p></td></tr><tr><td><p>1 5</p></td><td><p>MOBILITY, EXCHANGES OF CIVIL SERVANTS AND EXPERTS</p></td><td><p>525 000</p></td><td><p>400 000</p></td><td><p>434 028 ,—</p></td></tr><tr><td><p>1 6</p></td><td><p>SOCIAL WELFARE</p></td><td><p>935 000</p></td><td><p>881 000</p></td><td><p>804 236,03</p></td></tr><tr><td><p>1 7</p></td><td><p>ENTERTAINMENT AND REPRESENTATION</p></td><td><p>3 000</p></td><td><p>3 000</p></td><td><p>1 431,40</p></td></tr><tr><td><p>1 9</p></td><td><p>RESERVE FOR TITLE 1</p></td><td><p>p.m.</p></td><td><p>p.m.</p></td><td><p>0 ,—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 1 — Total</span></p></td><td><p><span>13 485 000</span></p></td><td><p><span>12 973 250</span></p></td><td><p><span>11 604 164,42</span></p></td></tr><tr><td><p><span>2</span></p></td><td><p><span>BUILDINGS, EQUIPMENT AND MISCELLANEOUS OPERATING EXPENDITURE</span></p></td></tr><tr><td><p>2 0</p></td><td><p>RENTAL OF BUILDINGS AND ASSOCIATED COSTS</p></td><td><p>1 185 000</p></td><td><p>1 388 000</p></td><td><p>1 390 519,96</p></td></tr><tr><td><p>2 1</p></td><td><p>DATA PROCESSING</p></td><td><p>822 000</p></td><td><p>764 000</p></td><td><p>773 216,54</p></td></tr><tr><td><p>2 2</p></td><td><p>MOVABLE PROPERTY AND ASSOCIATED COSTS</p></td><td><p>32 000</p></td><td><p>25 000</p></td><td><p>9 219,58</p></td></tr><tr><td><p>2 3</p></td><td><p>CURRENT ADMINISTRATIVE EXPENDITURE</p></td><td><p>57 000</p></td><td><p>46 000</p></td><td><p>34 323,37</p></td></tr><tr><td><p>2 4</p></td><td><p>POSTAGE AND TELECOMMUNICATIONS</p></td><td><p>127 000</p></td><td><p>126 000</p></td><td><p>87 820,69</p></td></tr><tr><td><p>2 5</p></td><td><p>EXPENDITURE ON MEETINGS</p></td><td><p>11 000</p></td><td><p>11 000</p></td><td><p>9 343,30</p></td></tr><tr><td><p>2 6</p></td><td><p>STUDIES, SURVEYS, CONSULTATIONS</p></td><td><p>23 000</p></td><td><p>20 000</p></td><td><p>24 795 ,—</p></td></tr><tr><td><p>2 9</p></td><td><p>RESERVE FOR TITLE 2</p></td><td><p>p.m.</p></td><td><p>p.m.</p></td><td><p>0 ,—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 2 — Total</span></p></td><td><p><span>2 257 000</span></p></td><td><p><span>2 380 000</span></p></td><td><p><span>2 329 238,44</span></p></td></tr><tr><td><p><span>3</span></p></td><td><p><span>OPERATIONAL EXPENDITURE</span></p></td></tr><tr><td><p>3 2</p></td><td><p>FREEDOMS</p></td><td><p>581 000</p></td><td><p>1 607 000</p></td><td><p>2 112 633,64</p></td></tr><tr><td><p>3 3</p></td><td><p>EQUALITY</p></td><td><p>1 765 000</p></td><td><p>2 880 000</p></td><td><p>1 623 629,87</p></td></tr><tr><td><p>3 6</p></td><td><p>JUSTICE</p></td><td><p>197 000</p></td><td><p>277 000</p></td><td><p>1 904 285,03</p></td></tr><tr><td><p>3 7</p></td><td><p>HORIZONTAL OPERATIONAL ACTIVITIES</p></td><td><p>3 690 000</p></td><td><p>2 080 000</p></td><td><p>1 594 696,93</p></td></tr><tr><td><p>3 8</p></td><td><p>BODIES OF THE AGENCY AND CONSULTATION MECHANISMS</p></td><td><p>375 000</p></td><td><p>500 000</p></td><td><p>316 785,31</p></td></tr><tr><td><p>3 9</p></td><td><p>RESERVE FOR TITLE 3</p></td><td><p>p.m.</p></td><td><p>155 000</p></td><td><p>0 ,—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 3 — Total</span></p></td><td><p><span>6 608 000</span></p></td><td><p><span>7 499 000</span></p></td><td><p><span>7 552 030,78</span></p></td></tr><tr><td><p><span>4</span></p></td><td><p><span>OTHER OPERATIONAL EXPENDITURE</span></p></td></tr><tr><td><p>4 0</p></td><td><p>COOPERATION AGREEMENTS</p></td><td><p>p.m.</p></td><td><p>p.m.</p></td><td><p>0 ,—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 4 — Total</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>0 ,—</span></p></td></tr><tr><td><p> </p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>22 350 000</span></p></td><td><p><span>22 852 250</span></p></td><td><p><span>21 485 433,64</span></p></td></tr></tbody></table>
Establishment plan
<table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Function group and grade</p></td><td><p>Permanent posts</p></td><td><p>Temporary posts</p></td></tr><tr><td><p>2018</p></td><td><p>2017</p></td><td><p>2016</p></td><td><p>2018</p></td><td><p>2017</p></td><td><p>2016</p></td></tr><tr/><tr/><tr><td><p>AD 16</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AD 15</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>1</p></td><td><p>1</p></td><td><p>1</p></td></tr><tr><td><p>AD 14</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>1</p></td><td><p>1</p></td><td><p>1</p></td></tr><tr><td><p>AD 13</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>2</p></td><td><p>2</p></td><td><p>2</p></td></tr><tr><td><p>AD 12</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>6</p></td><td><p>8</p></td><td><p>10</p></td></tr><tr><td><p>AD 11</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AD 10</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>12</p></td><td><p>12</p></td><td><p>14</p></td></tr><tr><td><p>AD 9</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>12</p></td><td><p>11</p></td><td><p>11</p></td></tr><tr><td><p>AD 8</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>4</p></td><td><p>1</p></td><td><p>1</p></td></tr><tr><td><p>AD 7</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>6</p></td><td><p>7</p></td><td><p>5</p></td></tr><tr><td><p>AD 6</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>3</p></td><td><p>3</p></td><td><p>3</p></td></tr><tr><td><p>AD 5</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>Total A*</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>47</p></td><td><p>46</p></td><td><p>48</p></td></tr><tr/><tr/><tr><td><p>AST 11</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 10</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>1</p></td><td><p>1</p></td><td><p>1</p></td></tr><tr><td><p>AST 9</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>4</p></td><td><p>3</p></td><td><p>3</p></td></tr><tr><td><p>AST 8</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>3</p></td><td><p>3</p></td><td><p>3</p></td></tr><tr><td><p>AST 7</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>6</p></td><td><p>6</p></td><td><p>6</p></td></tr><tr><td><p>AST 6</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>10</p></td><td><p>12</p></td><td><p>12</p></td></tr><tr><td><p>AST 5</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 4</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>1</p></td><td><p>1</p></td><td><p>1</p></td></tr><tr><td><p>AST 3</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 2</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 1</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>Total AST</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>25</p></td><td><p>26</p></td><td><p>26</p></td></tr><tr><td><p><span>Total</span></p></td><td><p><span>—</span></p></td><td><p><span>—</span></p></td><td><p><span>—</span></p></td><td><p><span>72</span></p></td><td><p><span>72</span></p></td><td><p><span>74</span></p></td></tr></tbody></table>
Estimate of number of contract staff (expressed in full-time equivalents) and seconded national experts
<table><col/><col/><col/><tbody><tr><td><p>Contract staff posts</p></td><td><p>2018</p></td><td><p>2017</p></td></tr><tr/><tr/><tr><td><p>FG IV</p></td><td><p>20</p></td><td><p>26</p></td></tr><tr><td><p>FG III</p></td><td><p>10</p></td><td><p>9</p></td></tr><tr><td><p>FG II</p></td><td><p>2</p></td><td><p>2</p></td></tr><tr><td><p>FG I</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>Total</p></td><td><p>32</p></td><td><p>37</p></td></tr><tr><td><p>Seconded national experts posts</p></td><td><p>10</p></td><td><p>10</p></td></tr><tr><td><p><span>Total</span></p></td><td><p><span>42</span></p></td><td><p><span>47</span></p></td></tr></tbody></table> | ENG | 32018B0322(11) |
<table><col/><col/><col/><col/><tbody><tr><td><p>14.11.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>LI 305/1</p></td></tr></tbody></table>
COUNCIL IMPLEMENTING REGULATION (EU) 2016/1984
of 14 November 2016
implementing Regulation (EU) No 36/2012 concerning restrictive measures in view of the situation in Syria
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EU) No 36/2012 of 18 January 2012 concerning restrictive measures in view of the situation in Syria and repealing Regulation (EU) No 442/2011 ( 1 ) , and in particular Article 32(1) thereof,
Having regard to the proposal from the High Representative of the Union for Foreign Affairs and Security Policy,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 18 January 2012, the Council adopted Regulation (EU) No 36/2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>In view of the deteriorating situation in Syria, 18 persons should be added to the list of natural and legal persons, entities or bodies subject to restrictive measures in Annex II to Regulation (EU) No 36/2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Annex II to Regulation (EU) No 36/2012 should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Annex II to Regulation (EU) 36/2012 is amended as set out in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the day 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 November 2016.
For the Council
The President
F. MOGHERINI
( 1 ) OJ L 16, 19.1.2012, p. 1 .
ANNEX
The following persons are added to the list of natural and legal persons, entities or bodies set out in Annex II to Regulation (EU) No 36/2012:
List of natural and legal persons, entities or bodies referred to in Articles 14, 15(1)(a) and 15(1a)
A. Persons
<table><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Name</p></td><td><p>Identifying information</p></td><td><p>Reasons</p></td><td><p>Date of listing</p></td></tr><tr><td><p>‘217.</p></td><td><p>Atef Naddaf</p></td><td><p>Date of birth: 1956</p><p>Place of birth: Damascus Countryside</p></td><td><p>Higher Education Minister. Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>218.</p></td><td><p>Hussein Makhlouf (a.k.a. Makhluf)</p></td><td><p>Date of birth: 1964</p><p>Place of birth: Lattakia</p><p>Former Governor of Damascus Governorate</p></td><td><p>Local Administration Minister.</p><p>Appointed in July 2016.</p><p>Cousin of Rami Makhlouf.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>219.</p></td><td><p>Ali Al-Zafir (a.k.a. al-Dafeer)</p></td><td><p>Date of birth: 1962</p><p>Place of birth: Tartous</p></td><td><p>Communications and Technology Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>220.</p></td><td><p>Ali Ghanem</p></td><td><p>Date of birth: 1963</p><p>Place of birth: Damascus</p></td><td><p>Minister for Petroleum and Mineral Resources.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>221.</p></td><td><p>Mohammed (a.k.a. Mohamed, Muhammad, Mohammad) Ramez Tourjman (a.k.a Tourjuman)</p></td><td><p>Date of birth: 1966</p><p>Place of birth: Damascus</p></td><td><p>Information Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>222.</p></td><td><p>Mohammed (a.k.a. Mohamed, Muhammad, Mohammad) al-Ahmed (a.k.a. al-Ahmad)</p></td><td><p>Date of birth: 1961</p><p>Place of birth: Lattakia</p></td><td><p>Culture Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>223.</p></td><td><p>Ali Hamoud (a.k.a. Hammoud)</p></td><td><p>Date of birth: 1964</p><p>Place of birth: Tartous</p></td><td><p>Transport Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>224.</p></td><td><p>Mohammed Zuhair (a.k.a. Zahir) Kharboutli</p></td><td><p>Place of birth: Damascus</p></td><td><p>Electricity Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>225.</p></td><td><p>Maamoun Hamdan</p></td><td><p>Date of birth: 1958</p><p>Place of birth: Damascus</p></td><td><p>Finance Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>226.</p></td><td><p>Nabil al-Hasan (a.k.a. al-Hassan)</p></td><td><p>Date of birth: 1963</p><p>Place of birth: Aleppo</p></td><td><p>Minister of Water Resources.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>227.</p></td><td><p>Ahmad al-Hamu (a.k.a. al-Hamo)</p></td><td><p>Date of birth: 1947</p></td><td><p>Minister for Industry.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>228.</p></td><td><p>Abdullah al-Gharbi (a.k.a. al-Qirbi)</p></td><td><p>Date of birth: 1962</p><p>Place of birth: Damascus</p></td><td><p>Minister of Internal Trade and Consumer Protection.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>229.</p></td><td><p>Abdullah Abdullah</p></td><td><p>Date of birth: 1956</p></td><td><p>State Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>230.</p></td><td><p>Salwa Abdullah</p></td><td><p>Date of birth: 1953</p><p>Place of birth: Quneitra</p></td><td><p>State Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>231.</p></td><td><p>Rafe'a Abu Sa'ad (a.k.a. Saad)</p></td><td><p>Date of birth: 1954</p><p>Place of birth: Habran village (Sweida province)</p></td><td><p>State Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>232.</p></td><td><p>Wafiqa Hosni</p></td><td><p>Date of birth: 1952</p><p>Place of birth: Damascus</p></td><td><p>State Minister.</p><p>Appointed in July 2016.</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>233.</p></td><td><p>Rima Al-Qadiri (a.k.a. Al-Kadiri)</p></td><td><p>Date of birth: 1963</p><p>Place of birth: Damascus</p></td><td><p>Minister for Social Affairs (since August 2015).</p></td><td><p>14.11.2016</p></td></tr><tr><td><p>234.</p></td><td><p>Duraid Durgham</p></td><td><p> </p></td><td><p>Governor of the Central Bank of Syria.</p><p>Responsible for providing economic and financial support to the Syrian regime through his functions as the Governor of the Central Bank of Syria, which is also listed.</p></td><td><p>14.11.2016’</p></td></tr></tbody></table> | ENG | 32016R1984 |
<table><col/><col/><col/><col/><tbody><tr><td><p>17.4.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 97/1</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2018/578
of 13 April 2018
amending Council Regulation (EC) No 2368/2002 implementing the Kimberley Process certification scheme for the international trade in rough diamonds
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EC) No 2368/2002 of 20 December 2002 implementing the Kimberley Process certification scheme for international trade in rough diamonds ( 1 ) , and in particular Article 20 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Annex II to Regulation (EC) No 2368/2002 lists the Participants in the Kimberley Process (KP) certification scheme and their duly appointed competent authorities.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The addresses of the competent authorities of several participants in the Kimberley Process require an update.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>In November 2016, the KP Plenary furthermore agreed on the re-admission of Venezuela to the KP certification scheme. This decision follows the outcome of a written procedure and allows Venezuela to resume exports of rough diamonds.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Annex II to Regulation (EC) No 2368/2002 should be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Annex II to Regulation (EC) No 2368/2002 is replaced by the text set out in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the 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, 13 April 2018.
For the Commission,
On behalf of the President,
Federica MOGHERINI
Vice-President
( 1 ) OJ L 358, 31.12.2002, p. 28 .
ANNEX
‘ ANNEX II
List of participants in the Kimberley Process certification scheme and their duly appointed competent authorities as referred to in Articles 2, 3, 8, 9, 12, 17, 18, 19 and 20
<table><col/><tbody><tr><td><p>ANGOLA</p></td></tr><tr><td><p>Ministry of Geology and Mines</p></td></tr><tr><td><p>Predio Geominas, 2° Andar C.P # 1260</p></td></tr><tr><td><p>Luanda</p></td></tr><tr><td><p>Angola</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>ARMENIA</p></td></tr><tr><td><p>Department of Gemstones and Jewellery</p></td></tr><tr><td><p>Ministry of Trade and Economic Development</p></td></tr><tr><td><p>M. Mkrtchyan 5</p></td></tr><tr><td><p>Yerevan</p></td></tr><tr><td><p>Armenia</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>AUSTRALIA</p></td></tr><tr><td><p>Department of Foreign Affairs and Trade</p></td></tr><tr><td><p>Trade Development Division</p></td></tr><tr><td><p>R.G. Casey Building</p></td></tr><tr><td><p>John McEwen Crescent</p></td></tr><tr><td><p>Barton ACT 0221</p></td></tr><tr><td><p>Australia</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>BANGLADESH</p></td></tr><tr><td><p>Export Promotion Bureau</p></td></tr><tr><td><p>TCB Bhaban</p></td></tr><tr><td><p>1, Karwan Bazaar</p></td></tr><tr><td><p>Dhaka</p></td></tr><tr><td><p>Bangladesh</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>BELARUS</p></td></tr><tr><td><p>Ministry of Finance</p></td></tr><tr><td><p>Department for Precious Metals and Precious Stones</p></td></tr><tr><td><p>Sovetskaja Str, 7</p></td></tr><tr><td><p>220010 Minsk</p></td></tr><tr><td><p>Republic of Belarus</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>BOTSWANA</p></td></tr><tr><td><p>Ministry of Minerals, Green Technology and Energy Security (MMGE)</p></td></tr><tr><td><p>Fairgrounds Office Park, Plot No. 50676 Block C</p></td></tr><tr><td><p>P/Bag 0018</p></td></tr><tr><td><p>Gaborone</p></td></tr><tr><td><p>Botswana</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>BRAZIL</p></td></tr><tr><td><p>Ministry of Mines and Energy</p></td></tr><tr><td><p>Esplanada dos Ministérios, Bloco ‘U’, 4<span>o</span> andar</p></td></tr><tr><td><p>70065, 900 Brasilia, DF</p></td></tr><tr><td><p>Brazil</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>CAMBODIA</p></td></tr><tr><td><p>Ministry of Commerce</p></td></tr><tr><td><p>Lot 19-61, MOC Road (113 Road), Phum Teuk Thla, Sangkat Teuk Thla</p></td></tr><tr><td><p>Khan Sen Sok, Phnom Penh</p></td></tr><tr><td><p>Cambodia</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>CAMEROON</p></td></tr><tr><td><p>National Permanent Secretariat for the Kimberley Process</p></td></tr><tr><td><p>Ministry of Mines, Industry and Technological Development</p></td></tr><tr><td><p>Intek Building, 6<span>th</span> floor,</p></td></tr><tr><td><p>Narvik Street</p></td></tr><tr><td><p>BP 35601 Yaounde</p></td></tr><tr><td><p>Cameroon</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>CANADA</p></td></tr><tr><td><p>International:</p></td></tr><tr><td><p>Global Affairs Canada Natural Resources and Governance Division (MES) 125 Sussex Drive Ottawa, Ontario K1A 0G2</p></td></tr><tr><td><p>Canada</p></td></tr><tr><td><p>For General Enquiries at Natural Resources Canada:</p></td></tr><tr><td><p>Kimberley Process Office</p></td></tr><tr><td><p>Lands and Minerals Sector Natural Resources Canada (NRCan)</p></td></tr><tr><td><p>580 Booth Street, 10th floor</p></td></tr><tr><td><p>Ottawa, Ontario</p></td></tr><tr><td><p>Canada K1A 0E4</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>CENTRAL AFRICAN REPUBLIC</p></td></tr><tr><td><p>Secrétariat permanent du processus de Kimberley</p></td></tr><tr><td><p>BP: 26 Bangui</p></td></tr><tr><td><p>Central African Republic</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>CHINA, People's Republic of</p></td></tr><tr><td><p>Department of Inspection and Quarantine Clearance</p></td></tr><tr><td><p>General Administration of Quality Supervision, Inspection and Quarantine (AQSIQ)</p></td></tr><tr><td><p>9 Madian East Road</p></td></tr><tr><td><p>Haidian District, Beijing 100088</p></td></tr><tr><td><p>People's Republic of China</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>COTE D'IVOIRE</p></td></tr><tr><td><p>Ministère de l'Industrie et des Mines</p></td></tr><tr><td><p>Secrétariat Permanent de la Représentation en Côte d'Ivoire du Processus de Kimberley (SPRPK-CI)</p></td></tr><tr><td><p>Abidjan-Plateau, Immeuble les Harmonies II</p></td></tr><tr><td><p>Abidjan</p></td></tr><tr><td><p>Côte d'Ivoire</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>HONG KONG, Special Administrative Region of the People's Republic of China</p></td></tr><tr><td><p>Department of Trade and Industry</p></td></tr><tr><td><p>Hong Kong Special Administrative Region</p></td></tr><tr><td><p>Peoples Republic of China</p></td></tr><tr><td><p>Room 703, Trade and Industry Tower</p></td></tr><tr><td><p>700 Nathan Road</p></td></tr><tr><td><p>Kowloon</p></td></tr><tr><td><p>Hong Kong</p></td></tr><tr><td><p>China</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>CONGO, Democratic Republic of</p></td></tr><tr><td><p>Centre d'Expertise, d'Evaluation et de Certification des Substances Minérales Précieuses et Semi-précieuses (CEEC)</p></td></tr><tr><td><p>3989, av des cliniques</p></td></tr><tr><td><p>Kinshasa/Gombe</p></td></tr><tr><td><p>Democratic Republic of Congo</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>CONGO, Republic of</p></td></tr><tr><td><p>Bureau d'Expertise, d'Evaluation et de Certification des Substances Minérales Précieuses (BEEC)</p></td></tr><tr><td><p>BP 2787</p></td></tr><tr><td><p>Brazzaville</p></td></tr><tr><td><p>Republic of Congo</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>EUROPEAN UNION</p></td></tr><tr><td><p>European Commission</p></td></tr><tr><td><p>Service for Foreign Policy Instruments</p></td></tr><tr><td><p>Office EEAS 03/330</p></td></tr><tr><td><p>B-1049 Bruxelles/Brussel</p></td></tr><tr><td><p>Belgium</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>GHANA</p></td></tr><tr><td><p>Ministry of Lands and Natural Resources</p></td></tr><tr><td><p>Accra P.O. Box M 212</p></td></tr><tr><td><p>Ghana</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>GUINEA</p></td></tr><tr><td><p>Ministry of Mines and Geology</p></td></tr><tr><td><p>Boulevard du Commerce – BP 295</p></td></tr><tr><td><p>Quartier Almamya / Commune de Kaloum</p></td></tr><tr><td><p>Conakry</p></td></tr><tr><td><p>Guinea</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>GUYANA</p></td></tr><tr><td><p>Geology and Mines Commission</p></td></tr><tr><td><p>P O Box 1028</p></td></tr><tr><td><p>Upper Brickdam</p></td></tr><tr><td><p>Stabroek</p></td></tr><tr><td><p>Georgetown</p></td></tr><tr><td><p>Guyana</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>INDIA</p></td></tr><tr><td><p>Government of India, Ministry of Commerce & Industry</p></td></tr><tr><td><p>Udyog Bhawan</p></td></tr><tr><td><p>New Delhi 110 011</p></td></tr><tr><td><p>India</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>INDONESIA</p></td></tr><tr><td><p>Directorate of Export and Import Facility, Ministry of Trade M. I. Ridwan Rais Road, No. 5 Blok I Iantai 4</p></td></tr><tr><td><p>Jakarta Pusat Kotak Pos. 10110</p></td></tr><tr><td><p>Jakarta</p></td></tr><tr><td><p>Indonesia</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>ISRAEL</p></td></tr><tr><td><p>Ministry of Economy and Industry Office of the Diamond Controller</p></td></tr><tr><td><p>3 Jabotinsky Road</p></td></tr><tr><td><p>Ramat Gan 52520</p></td></tr><tr><td><p>Israel</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>JAPAN</p></td></tr><tr><td><p>United Nations Policy Division</p></td></tr><tr><td><p>Foreign Policy Bureau</p></td></tr><tr><td><p>Ministry of Foreign Affairs</p></td></tr><tr><td><p>2-2-1 Kasumigaseki, Chiyoda-ku</p></td></tr><tr><td><p>100-8919 Tokyo, Japan</p></td></tr><tr><td><p>Japan</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>KAZAKHSTAN</p></td></tr><tr><td><p>Ministry for Investments and Development of the Republic of Kazakhstan</p></td></tr><tr><td><p>Committee for Technical Regulation and Metrology</p></td></tr><tr><td><p>11, Mangilik el street</p></td></tr><tr><td><p>Astana</p></td></tr><tr><td><p>Republic of Kazakhstan</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>KOREA, Republic of</p></td></tr><tr><td><p>Ministry of Foreign Affairs</p></td></tr><tr><td><p>United Nations Division 60 Sajik-ro 8-gil</p></td></tr><tr><td><p>Jongno-gu</p></td></tr><tr><td><p>Seoul 03172</p></td></tr><tr><td><p>Korea</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>LAOS, People's Democratic Republic</p></td></tr><tr><td><p>Department of Import and Export</p></td></tr><tr><td><p>Ministry of Industry and Commerce</p></td></tr><tr><td><p>Phonxay road, Saisettha District</p></td></tr><tr><td><p>Vientiane, Lao PDR</p></td></tr><tr><td><p>P.O Box: 4107</p></td></tr><tr><td><p>Laos</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>LEBANON</p></td></tr><tr><td><p>Ministry of Economy and Trade</p></td></tr><tr><td><p>Lazariah Building</p></td></tr><tr><td><p>Down Town</p></td></tr><tr><td><p>Beirut</p></td></tr><tr><td><p>Lebanon</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>LESOTHO</p></td></tr><tr><td><p>Department of Mines</p></td></tr><tr><td><p>Ministry of Mining</p></td></tr><tr><td><p>Corner Constitution and Parliament Road</p></td></tr><tr><td><p>P.O. Box 750</p></td></tr><tr><td><p>Maseru 100</p></td></tr><tr><td><p>Lesotho</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>LIBERIA</p></td></tr><tr><td><p>Government Diamond Office</p></td></tr><tr><td><p>Ministry of Lands, Mines and Energy</p></td></tr><tr><td><p>Capitol Hill</p></td></tr><tr><td><p>P.O. Box 10-9024</p></td></tr><tr><td><p>1000 Monrovia 10</p></td></tr><tr><td><p>Liberia</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>MALAYSIA</p></td></tr><tr><td><p>Ministry of International Trade and Industry</p></td></tr><tr><td><p>MITI Tower,</p></td></tr><tr><td><p>No.7, Jalan Sultan Haji Ahmad Shah 50480 Kuala Lumpur</p></td></tr><tr><td><p>Malaysia</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>MALI</p></td></tr><tr><td><p>Ministère des Mines</p></td></tr><tr><td><p>Bureau d'Expertise d'Evaluation et de Certification des Diamants Bruts</p></td></tr><tr><td><p>Cité administrative, batiman no. 3, 3eme étage</p></td></tr><tr><td><p>Bamako</p></td></tr><tr><td><p>République du Mali</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>MAURITIUS</p></td></tr><tr><td><p>Import Division</p></td></tr><tr><td><p>Ministry of Industry, Commerce & Consumer Protection 4th Floor, Anglo Mauritius Building</p></td></tr><tr><td><p>Intendance Street</p></td></tr><tr><td><p>Port Louis</p></td></tr><tr><td><p>Mauritius</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>MEXICO</p></td></tr><tr><td><p>Directorate-General for International Trade in Goods 296 Paseo de la Reforma Avenue, 23th Floor</p></td></tr><tr><td><p>Mexico City, D.F. 06600</p></td></tr><tr><td><p>Mexico</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>NAMIBIA</p></td></tr><tr><td><p>The Government of Republic of Namibia Ministry of Mines and Energy</p></td></tr><tr><td><p>Directorate of Diamond Affairs Private Bag 13297</p></td></tr><tr><td><p>1<span>st</span> Aviation Road (Eros Airport)</p></td></tr><tr><td><p>Windhoek</p></td></tr><tr><td><p>Namibia</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>NEW ZEALAND</p></td></tr><tr><td><p>Middle East and Africa Division</p></td></tr><tr><td><p>Ministry of Foreign Affairs and Trade</p></td></tr><tr><td><p>Private Bag 18 901</p></td></tr><tr><td><p>Wellington</p></td></tr><tr><td><p>New Zealand</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>NORWAY</p></td></tr><tr><td><p>Ministry of Foreign Affairs</p></td></tr><tr><td><p>Legal Department</p></td></tr><tr><td><p>Box 8114 Dep</p></td></tr><tr><td><p>0032 Oslo, Norway</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>PANAMA</p></td></tr><tr><td><p>National Customs Authority</p></td></tr><tr><td><p>Panama City, Curundu, Dulcidio Gonzalez Avenue, building # 1009</p></td></tr><tr><td><p>Republic of Panama</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>RUSSIAN FEDERATION</p></td></tr><tr><td><p>International:</p></td></tr><tr><td><p>Ministry of Finance</p></td></tr><tr><td><p>9, Ilyinka Street</p></td></tr><tr><td><p>109097 Moscow</p></td></tr><tr><td><p>Russia</p></td></tr><tr><td><p>Import and Export Authority:</p></td></tr><tr><td><p>Gokhran of Russia</p></td></tr><tr><td><p>14, 1812 Goda St.</p></td></tr><tr><td><p>121170 Moscow</p></td></tr><tr><td><p>Russia</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>SIERRA LEONE</p></td></tr><tr><td><p>Ministry of Mines and Mineral Resources</p></td></tr><tr><td><p>The Permanent Secretary</p></td></tr><tr><td><p>Youyi Building</p></td></tr><tr><td><p>Brookfields</p></td></tr><tr><td><p>Freetown</p></td></tr><tr><td><p>Sierra Leone</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>SINGAPORE</p></td></tr><tr><td><p>Ministry of Trade and Industry</p></td></tr><tr><td><p>100 High Street</p></td></tr><tr><td><p>#09-01, The Treasury</p></td></tr><tr><td><p>Singapore 179434</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>SOUTH AFRICA</p></td></tr><tr><td><p>South African Diamond and Precious Metals Regulator</p></td></tr><tr><td><p>SA Diamond Centre</p></td></tr><tr><td><p>251 Fox Street</p></td></tr><tr><td><p>Johannesburg 2000</p></td></tr><tr><td><p>South Africa</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>SRI LANKA</p></td></tr><tr><td><p>National Gem and Jewellery Authority</p></td></tr><tr><td><p>25, Galleface Terrace</p></td></tr><tr><td><p>Post Code 00300</p></td></tr><tr><td><p>Colombo 03</p></td></tr><tr><td><p>Sri Lanka</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>SWAZILAND</p></td></tr><tr><td><p>Office for the Commissioner of Mines</p></td></tr><tr><td><p>Geological Surveys, Minerals and Mines Departments, Third Floor Lilunga Building (West Wing),Somhlolo Road, Mbabane</p></td></tr><tr><td><p>Swaziland</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>SWITZERLAND</p></td></tr><tr><td><p>State Secretariat for Economic Affairs (SECO)</p></td></tr><tr><td><p>Sanctions Unit</p></td></tr><tr><td><p>Holzikofenweg 36</p></td></tr><tr><td><p>CH-3003 Berne/Switzerland</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>TAIWAN, PENGHU, KINMEN AND MATSU, SEPARATE CUSTOMS TERRITORY</p></td></tr><tr><td><p>Export/Import Administration Division</p></td></tr><tr><td><p>Bureau of Foreign Trade</p></td></tr><tr><td><p>Ministry of Economic Affairs</p></td></tr><tr><td><p>1, Hu Kou Street</p></td></tr><tr><td><p>Taipei, 100</p></td></tr><tr><td><p>Taiwan</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>TANZANIA</p></td></tr><tr><td><p>Commission for Minerals</p></td></tr><tr><td><p>Ministry of Energy and Minerals</p></td></tr><tr><td><p>Kikuyu Avenue, P.O BOX</p></td></tr><tr><td><p>422, 40744 Dodoma</p></td></tr><tr><td><p>Tanzania</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>THAILAND</p></td></tr><tr><td><p>Department of Foreign Trade</p></td></tr><tr><td><p>Ministry of Commerce</p></td></tr><tr><td><p>563 Nonthaburi Road</p></td></tr><tr><td><p>Muang District, Nonthaburi 11000</p></td></tr><tr><td><p>Thailand</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>TOGO</p></td></tr><tr><td><p>The Ministry of Mines and Energy</p></td></tr><tr><td><p>Head Office of Mines and Geology</p></td></tr><tr><td><p>6, Avenue Sarakawa</p></td></tr><tr><td><p>B.P. 356</p></td></tr><tr><td><p>Lomé</p></td></tr><tr><td><p>Togo</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>TURKEY</p></td></tr><tr><td><p>Foreign Exchange Department</p></td></tr><tr><td><p>Undersecretariat of Treasury</p></td></tr><tr><td><p>T.C. Bașbakanlık Hazine</p></td></tr><tr><td><p>Müsteșarlığı İnönü Bulvarı No 36</p></td></tr><tr><td><p>06510 Emek, Ankara</p></td></tr><tr><td><p>Turkey</p></td></tr><tr><td><p>Import and Export Authority:</p></td></tr><tr><td><p>Istanbul Gold Exchange / Borsa Istanbul Precious Metals and Diamond</p></td></tr><tr><td><p>Market (BIST)</p></td></tr><tr><td><p>Borsa İstanbul, Resitpasa Mahallesi,</p></td></tr><tr><td><p>Borsa İstanbul Caddesi No 4</p></td></tr><tr><td><p>Sariyer, 34467, Istanbul</p></td></tr><tr><td><p>Turkey</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>UKRAINE</p></td></tr><tr><td><p>Ministry of Finance</p></td></tr><tr><td><p>State Gemological Centre</p></td></tr><tr><td><p>Degtyarivska St. 38-44</p></td></tr><tr><td><p>Kiev 04119</p></td></tr><tr><td><p>Ukraine</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>UNITED ARAB EMIRATES</p></td></tr><tr><td><p>U.A.E. Kimberley Process Office</p></td></tr><tr><td><p>Dubai Multi Commodities Centre</p></td></tr><tr><td><p>Dubai Airport Free Zone</p></td></tr><tr><td><p>Emirates Security Building</p></td></tr><tr><td><p>Block B, 2nd Floor, Office # 20</p></td></tr><tr><td><p>P.O. Box 48800</p></td></tr><tr><td><p>Dubai</p></td></tr><tr><td><p>United Arab Emirates</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>UNITED STATES OF AMERICA</p></td></tr><tr><td><p>United States Kimberley Process Authority</p></td></tr><tr><td><p>U.S. Department of State</p></td></tr><tr><td><p>Bureau of Economic and Business Affairs</p></td></tr><tr><td><p>2201 C Street, NW</p></td></tr><tr><td><p>Washington DC 20520 United States of America</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>VENEZUELA</p></td></tr><tr><td><p>Central Bank of Venezuela</p></td></tr><tr><td><p>36 Av. Urdaneta, Caracas, Capital District</p></td></tr><tr><td><p>Caracas</p></td></tr><tr><td><p>ZIP Code 1010</p></td></tr><tr><td><p>Venezuela</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>VIETNAM</p></td></tr><tr><td><p>Ministry of Industry and Trade</p></td></tr><tr><td><p>Agency of Foreign Trade 54 Hai Ba Trung</p></td></tr><tr><td><p>Hoan Kiem</p></td></tr><tr><td><p>Hanoi</p></td></tr><tr><td><p>Vietnam</p></td></tr></tbody></table>
<table><col/><tbody><tr><td><p>ZIMBABWE</p></td></tr><tr><td><p>Principal Minerals Development Office</p></td></tr><tr><td><p>Ministry of Mines and Mining Development</p></td></tr><tr><td><p>6th Floor, ZIMRE Centre</p></td></tr><tr><td><p>Cnr L.Takawira St/ K. Nkrumah Ave.</p></td></tr><tr><td><p>Harare</p></td></tr><tr><td><p>Zimbabwe</p></td></tr></tbody></table>
’ | ENG | 32018R0578 |
<table><col/><col/><col/><col/><tbody><tr><td><p>1.2.2017   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 27/123</p></td></tr></tbody></table>
COMMISSION DECISION (EU) 2017/166
of 27 November 2015
on State aid SA.38831 (2014/C) (ex 2014/N) which Portugal is planning to implement for Volkswagen Autoeuropa, Lda
(notified under document C(2015) 8232)
(Only the Portuguese text is authentic)
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union, and in particular the first subparagraph of Article 108(2) thereof,
Having regard to the Agreement on the European Economic Area, and in particular Article 62(1)(a) thereof,
Having called on interested parties to submit their comments pursuant to the provision(s) ( 1 ) ,
Whereas:
1. PROCEDURE
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>By electronic notification registered on 30 June 2014, Portugal notified regional investment aid it had granted, subject to its approval by the Commission, on 30 April 2014 to Volkswagen Autoeuropa, Lda (hereinafter ‘Autoeuropa’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>By letter dated 2 October 2014, the Commission informed Portugal that it had decided to initiate the procedure laid down in Article 108(2) of the Treaty on the Functioning of the European Union in respect of the aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The Commission decision to initiate the procedure was published in the<span>Official Journal of the European Union</span> <a>(<span>2</span>)</a>. The Commission called on interested parties to submit their comments.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Portugal submitted comments on the opening decision on 15 December 2014 (2014/127950); further information was provided by letters dated 27 February 2015 (2015/019588), 12 June 2015 (2015/056315) and 27 July 2015 (2015/073908). A meeting between the Commission services, the Portuguese authorities, and the beneficiary was held at Autoeuropa's premises on 19 May 2015.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The Commission received no comments from interested parties.</p></td></tr></tbody></table>
2. DETAILED DESCRIPTION OF THE MEASURE/AID
2.1. OBJECTIVE OF THE AID MEASURE
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>By granting aid for the investment in Autoeuropa's existing establishment in Palmela, Peninsula de Setubal region, a region eligible for regional aid under Article 107(3)(c) TFEU, with a standard regional aid ceiling for large undertakings of 15 % pursuant to the Portuguese regional aid map applicable for the period 2007-June 2014 <a>(<span>3</span>)</a>, Portugal intends to further develop the region concerned.</p></td></tr></tbody></table>
2.2. THE BENEFICIARY
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The beneficiary of the aid is Autoeuropa, a 100 % subsidiary firm of Volkswagen Group (hereinafter VW Group). The VW Group has been described in numerous State aid decisions, most recently in the Commission's decision of 9 July 2014 to open the formal investigation regarding regional aid in favour of AUDI HUNGARIA MOTOR Ltd <a>(<span>4</span>)</a> to which the Commission refers for a further description of VW Group.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Autoeuropa has been active in the Setubal region since June 1991, producing several passenger car models under the VW brand name. Autoeuropa is a large firm. Neither VW Group nor Autoeuropa can be considered as a firm in difficulty within the meaning of the Community guidelines on State aid for rescuing and restructuring firms in difficulty <a>(<span>5</span>)</a> in force at the time of the notification.</p></td></tr></tbody></table>
2.3. THE INVESTMENT PROJECT
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The investment project consists in the introduction of a new production technology, called ‘Modularer Querbaukasten’ (hereinafter ‘MQB’) which replaces the traditional platform based production. This new production technology allows high flexibility in the production of passenger car models and the realisation of major synergy effects in their production. The Commission refers to its decision of 13 July 2011 to open a formal investigation regarding regional aid in favour of Volkswagen Sachsen <a>(<span>6</span>)</a> for a more profound description of the technology.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The investment in Palmela enables Autoeuropa to produce passenger cars belonging to three different segments of the passenger car market defined according to the classification of POLK <a>(<span>7</span>)</a>, namely the A0 segment, the A segment and the B segment. At present, VW Group intends to produce on the new production line a SUV belonging to the A0 segment, and a not yet fully defined passenger car belonging to the […] <a>(<span>*1</span>)</a> segment, which is to succeed the actual platform based […]segment model of Autoeuropa. VW Group did not exclude the possibility that it will start the production of a passenger car belonging to the B segment within 5 years after completion of the investment. The overall capacity created by the investment amounts to [140 000-160 000] cars per year, of which on the basis of the current plans a capacity of [80 000-100 000] is dedicated to the production of the A0 SUV and a capacity of [50 000-60 000] is earmarked for the […]segment model.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The investment started on 26 June 2014, and is envisaged to be largely completed by December 2018. Full production is planned for the end of 2018.</p></td></tr></tbody></table>
2.4. COSTS OF THE INVESTMENT PROJECT
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>According to the investment and aid contract signed between Portugal and VW Group and the submission of Portugal of 28 July 2014, the investment involves eligible expenditure of EUR 672,9 million for equipment and infrastructure (building) works which will be incurred between 2014 and 2019. About a quarter of that expenditure will be for vendor tooling, i.e. capital assets financed by Autoeuropa which will not be used in the Palmela establishment of Autoeuropa, but will be made available by Autoeuropa to its suppliers, for use in the establishments of the suppliers for the production of parts and components for VW Group. These assets, although they will form an integral part of the productive stock of the suppliers, will remain the property of VW Group.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>The expenditure refers exclusively to new, tangible assets. The table below derived from the investment contract breaks down the planned eligible expenditure by type and year.</p><p><span>Table 1</span></p><p><span>Breakdown of eligible expenditure in million EUR — Investment contract</span></p><table><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>2014</p></td><td><p>2015</p></td><td><p>2016</p></td><td><p>2017</p></td><td><p>2018</p></td><td><p>2019</p></td><td><p>Total</p></td></tr><tr><td><p>Equipment</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td></tr><tr><td><p>Vendor tooling</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td></tr><tr><td><p><span>TOTAL</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>672,9</span></p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>This cost breakdown which is based on the information in the investment contract is different from the cost breakdown in the supplementary information sheet attached to the notification. In the supplementary sheet, the Portuguese authorities explained that VW Group has lowered the total investment costs of EUR 672,95 million specified in the investment contract to EUR 623,85 million. The breakdown resulting from the supplementary information sheet is given in the table below.</p><p><span>Table 2</span></p><p><span>Breakdown of eligible expenditure in million EUR — Supplementary information sheet</span></p><table><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>2014</p></td><td><p>2015</p></td><td><p>2016</p></td><td><p>2017</p></td><td><p>2018</p></td><td><p>2019</p></td><td><p>Total</p></td></tr><tr><td><p>Equipment</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td></tr><tr><td><p>Vendor tooling</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td><td><p>[…]</p></td></tr><tr><td><p><span>TOTAL</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>[…]</span></p></td><td><p><span>623,9</span></p></td></tr></tbody></table></td></tr></tbody></table>
2.5. LEGAL BASIS
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>The national legal basis for awarding the aid is the Decree-Law no 287/2007, of August 17, as amended by Decree Law no 65/2009, of March 20 which approves the national framework of incentives for business investment and the Ordinance no 1464/2007, of November 15, as amended by Ordinance 1103/2010, of October 25 which creates and regulates the aid scheme ‘Sistema de Incentivos a Inovação’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>Portugal awarded the aid, subject to Commission approval, in application of its aid scheme ‘Sistema de Incentivos a Inovação’. This aid scheme was block-exempted in application of the Commission Regulation (EC) No 800/2008 <a>(<span>8</span>)</a> (hereinafter ‘GBER 2008’), for aid applications below the notification threshold laid down in its article 6.</p></td></tr></tbody></table>
2.6. THE AID MEASURE
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>The aid was awarded, subject to Commission approval, by an aid and investment contract signed on 30 April 2014. Works on the investment started on 26 June 2014, i.e. after signature of the contract.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>The aid is granted in form of a partially reimbursable grant. The investment contract refers to a reimbursable grant of EUR 52,49 million (in nominal value) for investment expenditure (including vendor tooling) of EUR 672,95 million which is partially transformed into an outright grant if Autoeuropa meets certain contractually agreed realisation parameters. The notification indicates that more recent cost planning by VW Group led to a slightly lower amount of expected investment expenditure (EUR 623,9 million). Taking account of that lower amount, the notified aid amount and the notified aid intensity, in prices of 2014, are EUR 36,15 million and 6,03 % respectively. Portugal commits that neither the notified aid amount, nor the notified aid intensity will be exceeded, if the realised eligible expenditure deviates from the planned amount of eligible expenditure, as taken into account in the notification and the calculation of the maximum aid amount.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>Portugal confirms that an own contribution free of any public support of at least 25 % of the eligible expenditure will be borne by Autoeuropa/Volkswagen from its own resources.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>Autoeuropa/Volkswagen commits to maintain the investment during a minimum period of 5 years after its completion.</p></td></tr></tbody></table>
2.7. GROUNDS FOR INITIATING THE PROCEDURE
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>In the opening decision, the Commission expressed doubts as to conformity of the measure with the provisions of the Guidelines on national regional aid for 2007-2013 <a>(<span>9</span>)</a> (hereinafter ‘RAG 2007-13’) concerning eligible expenditure, maximum aid amount, and maximum aid intensity, and thus as to its compatibility with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>The Commission noted that the notified eligible expenditure included costs for vendor tooling, as to the eligibility of which the Commission raised doubts and was thus unable to confirm that the notified maximum aid amount, which is calculated with regard to the total notified investment expenditure, does not exceed the maximum amount that can be allowed.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>Furthermore the Commission noted that Autoeuropa received investment aid for another investment project carried out on the same site. Start of works on the other investment project was less than 3 years before the start of works on the present investment project. The investment project intended to innovate and optimise the production processes, by performing investments in three areas of activity: (i) in the information technology area, by implementing programs and the most technologically advanced systems; (ii) in the area of interior and exterior painting of motor vehicles, by automating the method of applying paint; and (iii) in the area of stamping dies, responsible for the execution of moulds for stamping parts. At the time of the opening decision, Portugal did not clarify the extent to which these improvements would be relevant and would still be used in the event that platform-based manufacturing would cease and be replaced by MQB manufacturing technology.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>On the basis of information submitted by Portugal, the Commission was unable to form a definite view on whether the two investment projects form a single investment project in the meaning of paragraph 60 of the RAG 2007-13 and decided to assess the question of whether the two projects are economically indivisible within the meaning of footnote 55 <a>(<span>10</span>)</a> of the RAG 2007-13 during the formal investigation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>In addition, paragraph 68 of RAG 2007-13 requires that the Commission opens the formal investigation and proceeds to an in-depth assessment of the incentive effect, the proportionality, as well as the positive and negative effects of the aid, where the beneficiary's market share in the relevant product and geographic market exceeds 25 % before or after the investment (hereinafter also ‘paragraph 68(a)-test’) or where the capacity created by the investment exceeds 5 % of a market that is in relative or absolute decline (hereinafter also ‘paragraph 68(b)-test’). Where an in-depth assessment is necessary, it will be carried out on the basis of the Communication from the Commission concerning the criteria for an in-depth assessment of regional aid to large investment projects <a>(<span>11</span>)</a> (IDAC).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>In the opening decision, the Commission left the precise definition of the relevant product market open and considered all plausible alternative market definitions, including in particular the narrowest segmentation for which data is available <a>(<span>12</span>)</a>. Since Autoeuropa will produce cars belonging to A0 and […] segments according to POLK, and could also produce cars belonging to the B segment according to POLK, the Commission considered that these individual segments and for SUVs also the SUV-B segment according to Global Insight <a>(<span>13</span>)</a>, as well as the combined segment (A0 to B) according to POLK should all be considered as relevant plausible markets for this case.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>Paragraph 70 of the RAG 2007-13 provides that for the purposes of carrying out the tests under paragraph 68, markets should normally be defined at EEA level. For the purpose of the assessment of the present case, the Commission considered that the relevant geographic market for the products concerned is at least EEA-wide. The Portuguese authorities and Autoeuropa accepted that the Commission applies this geographic market definition for the purposes of this notification.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>During the preliminary investigation, the analysis under paragraph 68 (a) of the RAG 2007-13 came to the result that the applicable 25 % market share threshold is exceeded in the individual A and B segments and in the combined A0, A and B segments (according to POLK) in the EEA in all the years concerned.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>As the result of the paragraph 68(a)-test required already to proceed to the in-depth assessment of the aid, the Commission considered that it was not necessary to carry out the paragraph 68(b) test.</p></td></tr></tbody></table>
3. COMMENTS FROM INTERESTED PARTIES
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>No comments were submitted by interested third parties.</p></td></tr></tbody></table>
4. COMMENTS FROM PORTUGAL
4.1. VENDOR TOOLING
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>Portugal considers investments in vendor tooling amounting to EUR 136,3 million as eligible, as the tools are part of the notified project, belong to Autoeuropa's fixed assets, are located at a supplier's plant in an assisted area in Portugal, and will be maintained there for at least 5 years after the completion of the project. The Portuguese authorities refer to recitals 36 and 37 of decision C(2002)1803 Ford España SA <a>(<span>14</span>)</a> in which the Commission noted that expenditure for vendor tooling can be considered as eligible for regional aid if incurred in assisted regions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>Before the signing of the investment contract in April 2014, VW Group and Autoeuropa developed an investment plan regarding vendor tooling that took into account these eligibility criteria and ensured that the amount of EUR 136,3 million included only vendor tooling expenditure meeting the above conditions. The Portuguese authorities have set up a control mechanism to monitor compliance with the above conditions.</p></td></tr></tbody></table>
4.2. SINGLE INVESTMENT PROJECT
<table><col/><col/><tbody><tr><td><p>(33)</p></td><td><p>Portugal signed on 8 October 2013 an investment contract with Autoeuropa regarding three different projects, each of them representing an initial investment targeted at the expansion of the existing establishment which Portugal does not consider to form a single investment project within the meaning of paragraph 60 of the RAG 2007-13 with the notified investment project.</p></td></tr></tbody></table>
4.2.1. INITIAL INVESTMENT IN INTERIOR AND EXTERIOR PAINTING ROBOTS (PAINT SHOP)
<table><col/><col/><tbody><tr><td><p>(34)</p></td><td><p>The first project concerned the introduction of robots for the automation of the interior and exterior painting process which allowed improvements in quality (exterior appearance homogeneity, paint thickness reduction, overspray reduction, dirt reduction in interior area) and productivity as well as improved ergonomics and labour protection and a reduction of material consumption and paint waste. The corresponding eligible expenses amounted to EUR 20 million <a>(<span>15</span>)</a> and the aid amount was EUR 2,89 million in gross grant equivalent (GGE).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(35)</p></td><td><p>The Portuguese authorities underline that this investment is not linked in an economically indivisible way with the notified investment project. The notified investment project is targeted at a fundamental change in the overall production process by implementing the MQB production technology. Whereas this requires substantial investments in particular in assembly facilities, the implementation of the MQB technology requires only minor investments in the existing paint shop.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(36)</p></td><td><p>The existing paint shop has been functional before and without the MQB investment. Vice versa, the new MQB assembly facilities are functional without the paint shop investments, i.e. the MQB production would be possible and functional without the preceding investment in robots in the paint shop. Therefore, although both facilities are part of an integrated car manufacturing process, they are not linked by the investments in an economically indivisible way.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(37)</p></td><td><p>Moreover, the relevant investment decisions have been taken independently (paint shop modernisation: August 2011; MQB investment: May 2014).</p></td></tr></tbody></table>
4.2.2. INITIAL INVESTMENT IN STAMPING DIES (TOOL SHOP)
<table><col/><col/><tbody><tr><td><p>(38)</p></td><td><p>The second project concerned the tool shop of Autoeuropa which produces moulds and stamping tools for car body metal parts. It specialises in the production of tools for engine hoods and fenders. The tool shop delivers its products to the VW Group's factories worldwide, i.e. it is not limited to supplying Autoeuropa. It is part of Autoeuropa, however operates autonomously and independently of the main activity of the factory which is the production of vehicles.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(39)</p></td><td><p>The objective of the initial investment in the tool shop was the extension of the existing establishment. In order to achieve a set of high-impact technological improvements in the quality of the production, Autoeuropa acquired new equipment for stamping dies in order to enable the construction of tools with higher quality levels and to increase the production volume of the tool shop. The eligible investment was EUR 12,7 million (discounted value of EUR 12,66 million) and the aid amount was EUR 1,84 million in GGE.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(40)</p></td><td><p>Given that the tool shop functions independently of the MQB car manufacturing process, is located in the same industrial area but not on the same plot of land as the car manufacturing site and the decisions on the investments have been made independently of each other (for the tool shop modernisation in 2011 and for the MQB investment in May 2014), the Portuguese authorities take the view that the investment in the tool shop is not linked in an economically indivisible way with the notified investment project.</p></td></tr></tbody></table>
4.2.3. INITIAL INVESTMENT IN THE INFORMATION TECHNOLOGY AREA (IT)
<table><col/><col/><tbody><tr><td><p>(41)</p></td><td><p>The third project concerned investments into IT hardware which increased in combination with new software applications IT security and led to a more stable production within the car production. The car production depends to a great extent on smoothly and reliably running IT systems, the configuration of each car (engine type, gear box, color etc.) being fed into the production process via the group's data network. The eligible investment was EUR 5,5 million (discounted value of EUR 5,5 million) and the aid amount was EUR 0,79 million in GGE.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(42)</p></td><td><p>The Portuguese authorities consider this 2011 IT investment as not linked in an economically indivisible way with the notified investment project. The new production technology MQB would be possible and functional without the preceding investment in IT security given that all applications which support and control the MQB production would have run the same way without this preceding investment. The IT investment has been functional before and without the MQB investment.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(43)</p></td><td><p>Moreover, the investment decisions were taken independently of each other, for the IT area investment in 2011 and for the MQB investment in May 2014.</p></td></tr></tbody></table>
4.3. IN-DEPTH ASSESSMENT OF THE AID MEASURE
<table><col/><col/><tbody><tr><td><p>(44)</p></td><td><p>Portugal provided the information necessary to carry out an in-depth assessment.</p></td></tr></tbody></table>
4.3.1. POSITIVE EFFECTS OF THE AID
<table><col/><col/><tbody><tr><td><p>(45)</p></td><td><p>Portugal intends to further develop the region concerned. The investment is to create 500 new direct jobs, and to ensure, in the long term, the maintenance of 3 339 existing jobs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(46)</p></td><td><p>The notified project will substantially increase the qualification and skills of the beneficiary's employees, increasing their employability within and outside VW Group and Portugal, and increasing the regional skills basis. Specific training actions are planned. This vocational training has also a positive effect on the know-how transfer mainly within the Setubal Peninsula region.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(47)</p></td><td><p>The investment project will create more business opportunities for the suppliers of Autoeuropa. According to a study of the Center of Automotive Research, the total number of jobs created as a consequence of one job created in the automotive industry amounts to 2,5 new jobs at the suppliers and 2,2 new jobs at other companies, created as a result of the spending of the suppliers' employees in Portugal. Portugal therefore expects that the investment will lead to the creation of 2 350 indirect jobs, in addition to the 500 newly created direct jobs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(48)</p></td><td><p>Moreover, the Portuguese authorities emphasise the qualitative aspects of the positive regional effects of the investment project. The investment project will contribute to the development of the region of the Setubal Peninsula by attracting investments by industrial suppliers to the region, involving transfer of technology (knowledge spillovers) and clustering of undertakings in the same industry which allows individual plants to specialise more and leads to increased efficiency.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(49)</p></td><td><p>In addition, the beneficiary was invited to participate in several projects together with leading universities, both for the development of manufacturing engineering and for ergonomics related aspects.</p></td></tr></tbody></table>
4.3.2. APPROPRIATENESS OF THE AID
<table><col/><col/><tbody><tr><td><p>(50)</p></td><td><p>Portugal notes that the Commission accepted already in the Porsche Leipzig decision <a>(<span>16</span>)</a> that State aid is an appropriate means to promote the regional development of regions which are disadvantaged in comparison with the average of other regions in the Member State. This argumentation equally applies to the notified investment aid in the Peninsula de Setubal region.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(51)</p></td><td><p>The Peninsula de Setubal region is part of the Lisboa e Vale do Tejo region, which includes the Lisbon area and is the most developed Portuguese region. However, if the Peninsula de Setubal would be considered alone, it could be classified as an ‘a’ region since its GDP per capita ranges between 45 % and 47 % of the EU average in the period 2006-2010 (which was the period used for defining the national regional State aid maps for 2014-2020).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(52)</p></td><td><p>When compared with the Portuguese average, the GDP per capita in the Peninsula de Setubal was around 75 % for the last 3 years.</p><p><span>Table 3</span></p><p><span>GDP per capita as compared to the Portuguese average (EUR)</span><a> (<span>17</span>)</a></p><table><col/><col/><col/><col/><tbody><tr><td><p>Years</p></td><td><p>Peninsula de Setubal</p></td><td><p>Portugal average</p></td><td><p>%</p></td></tr><tr><td><p>2013</p></td><td><p>12 302</p></td><td><p>16 372</p></td><td><p>75,1</p></td></tr><tr><td><p>2012</p></td><td><p>12 105</p></td><td><p>16 136</p></td><td><p>75,0</p></td></tr><tr><td><p>2011</p></td><td><p>12 656</p></td><td><p>16 686</p></td><td><p>75,8</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(53)</p></td><td><p>Therefore Portugal considers that the notified aid is an appropriate instrument for enhancing the regional development of the Peninsula de Setubal.</p></td></tr></tbody></table>
4.3.3. INCENTIVE EFFECT/COUNTER-FACTUAL SCENARIO
<table><col/><col/><tbody><tr><td><p>(54)</p></td><td><p>Portugal provides information to prove that the aid falls under scenario 2 of the IDAC, as it gave an incentive to the beneficiary to carry out the investment in the Setubal plant instead of in the [location 1] plant (non-assisted area in EEA) where the investment would have been located in the absence of aid. In particular, Portugal provides details on the multistage decision-making process and on the financials of the counterfactual scenario, both of which are described below.</p></td></tr></tbody></table>
VW Group's decision-making process
<table><col/><col/><tbody><tr><td><p>(55)</p></td><td><p>At VW Group, investment decisions are prepared in a multistep decision-making process in which decision-makers analyse various sites in a competitive comparison process. The major phases are: (1) Long-term Sales Planning (LAP) and planning rounds; (2) Product development, product decision and site pre-selection; and (3) Investment and location decision.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(56)</p></td><td><p>The decisions regarding the notified investment project followed this general process. However, as they concerned an investment project of the brand Volkswagen, the relevant decisions were taken directly by the organs of the brand Volkswagen and there were no additional decisions at group level, because the composition of the group organs is largely identical to that of the Volkswagen brand.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(57)</p></td><td><p>The introduction of new products within the VW Group is driven based on the so called product creation process (PEP) that ranges from product planning to the start of production (SOP). This PEP consists of four major phases as can be seen from the diagram below:</p><p>[…]</p><figure><img/></figure><p>Project implementation investment</p><p>Investment and Production site</p><p>Product decision/ Site pre-selection</p><p>LAP Planning Rounds</p><p>SOP</p></td></tr></tbody></table>
(1) LAP and planning round 61
<table><col/><col/><tbody><tr><td><p>(58)</p></td><td><p>The point of departure is the Long term Sales Planning (LAP) phase in which forecasts of the market development and of potential demand as well as market fluctuations are analysed. The LAP schedules product developments for […] years ahead and identifies which additional production capacities have to be built, or which adjustments to existing capacities are necessary. The LAP is mirrored by the annual planning rounds (PR), which the Group Supervisory Board concludes and which contain the financial framework of the scheduled investments. The deliverable of the LAP phase is a proposal to launch new product(s), but not yet a product development, investment, or location decision.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(59)</p></td><td><p>Regarding the notified project, planning round 61 in 20[…] established [140 000-160 000] units p.a. as a realistic sales potential for new products in the segments A0 SUV and […] ([…]). The production planning identified the need to create corresponding production capacities. At the same time, the combination of the A0 SUV and […] volumes should meet the framework conditions for the MQB strategy.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(60)</p></td><td><p>The outcome of this phase was an MQB investment package of [140 000-160 000] A0 SUV and […] p.a. for the brand Volkswagen with planned start of production dates of August 2016 for the A0 SUV and of November 2017 for the […].</p></td></tr></tbody></table>
(2) Product development, product decision and site pre-selection phase
<table><col/><col/><tbody><tr><td><p>(61)</p></td><td><p>During this phase several central departments of the VW Group and the concerned production sites work together to prepare both the product decision and the site pre-selection. The controlling department takes the central and consolidating role during this phase.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(62)</p></td><td><p>The first step in this second phase is the product development process, which according to the beneficiary's internal rules always starts at least […] months in advance of the envisaged start of production date, in the case of the notified project in August 2012 (first SOP[…]).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(63)</p></td><td><p>The product decision, i.e. the decision to produce a product proposed in the LAP, requires that the product development reaches a pre-defined feasibility target. The expected revenues generated by the new product are compared with the necessary production (including investment) costs. In order to determine the expected cost of production, first a particular location is set hypothetically as planning assumption (location premise). The location premise is employed in order to determine a first cost structure and framework for the project. This does not lead to a predetermination of a specific production site, but develops a required baseline for the assessment of expected production costs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(64)</p></td><td><p>In case of a successor product to an ongoing production, the current production site of the product will be usually chosen as the site premise; for an entirely new product (without predecessor) the site premise is usually based on performance indicators, i.e. the location with the best performance figures will be selected as first hypothesis. In practice, additional criteria, such as free capacities or suitable structures, are taken into consideration as well.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(65)</p></td><td><p>In the case of the notified project, a greenfield investment was not considered as an investment package of [140 000-160 000] cars falling into a […]price market segment is too small to render a greenfield investment viable. If the location assessment does not concern a greenfield investment, the two main criteria for identifying suitable locations are whether at an existing plant additional capacities can still be installed, and whether the existing facilities at that site are compatible with the planned project, e.g. the dimensions of the existing paint shop are also suitable for the planned new investment, etc.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(66)</p></td><td><p>The application of these criteria identified four possible locations ([location 1 in a non-assisted area in EEA], Setubal, [location 2 outside EEA] and [location 3 in a non-assisted area in EEA]) for which Portugal provided company information, dating from July 2012, on first comparative calculations of production costs per car done by the controlling of the brand Volkswagen ([Group Controlling]). These calculations included the planned sales volumes in the A0 SUV segment and the […] segment and covered, in addition, planned sales volumes for the [predefined model], whose production was exceptionally predefined for [location 1 in a non-assisted area in EEA]. Three different alternatives for assigning the envisaged production volumes of the A0 SUV segment, the […] segment and the [predefined model] to the four locations were considered, and for each alternative, [Group Controlling] conducted preliminary calculations of the production costs and investment costs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(67)</p></td><td><p>At a more advanced stage of the planning process, [location 2 outside EEA] and [location 3 in a non-assisted area in the EEA] were excluded as possible locations, since they were characterised by high logistics and high personnel costs respectively. At any event, due to earlier decisions to locate the [predefined model] production to [location 1 in a non-assisted area in the EEA] and [location 2 outside EEA], and to manufacture the […] and […] in [location 3 in a non-assisted area in the EEA], in 2014 (when further comparative calculations were done by [Group Controlling]), neither [location 2 outside EEA] nor [location 3 in a non-assisted area in the EEA] had any spare capacities left. Therefore, a combination of the A0 SUV and […] volumes was assessed for Setubal and [location 1 in a non-assisted area in the EEA] only.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(68)</p></td><td><p>In view of the above, [Group controlling] prepared the product decision with Setubal as location premise. Portugal provided evidence that on 10 March 2014 the Product committee of the brand Volkswagen (Volkswagen Ausschuss Produkte, VAP) took the product decision and confirmed Setubal as location premise. The evidence submitted by Portugal shows that a possible State aid amount of up to EUR 36 million was taken into account already at this stage.</p></td></tr></tbody></table>
(3) Investment and location decision
<table><col/><col/><tbody><tr><td><p>(69)</p></td><td><p>Once the product decision is taken, the next step is the selection of the most suitable location for the project. The controlling department typically starts from the entirety of Volkswagen production sites and narrows this list down to those locations that seem suitable for the investment. As a result of the PEP process, the investment and production scenarios for each realistic site are specified and summarised in a decision paper. Based on a specific location and investment recommendation, the investment committee of the brand Volkswagen (Volkswagen Ausschuss Investitionen, VAI) needs to decide whether or not the project shall be realised.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(70)</p></td><td><p>As explained, the list of realistic sites had been narrowed down to [location 1 in a non-assisted area in the EEA] and Setubal at this stage. For these two sites, the specific production costs attributable to the location were determined and compared. These location specific costs consist of the required investment costs and the expected production costs during a reference period. Portugal submitted genuine contemporary company documents, prepared by [Group controlling] and […] (the group's State Aid Unit), and dated 9 May 2014 as evidence of a counterfactual analysis confronting [location 1 in a non-assisted area in the EEA] and Setubal as potential locations. Portugal explained that whereas the [location 1 in a non-assisted area in the EEA] plant had slightly better performance values, the Setubal plant scored with the possibility to benefit from regional investment aid. Based on this counterfactual analysis <a>(<span>18</span>)</a>, [Group controlling] submitted a decision recommendation to the VAI proposing Setubal as location for the investment.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(71)</p></td><td><p>The investment and location decisions, confirming Setubal, were taken by the VAI on 28 May 2014 and 26 June 2014 <a>(<span>19</span>)</a>. Portugal provided the copy of the minutes of the relevant meetings where these decisions were adopted. Taking into consideration the comparative calculations as well as regional aid in the amount of EUR 37,96 million in nominal value (EUR 33,4 million discounted value) <a>(<span>20</span>)</a>, both decisions approve the MQB investment project with an investment volume of EUR 624 million. In addition, the first decision concedes a first budgetary tranche for clearing factory space for the first investments, and the second decision authorised the bulk of the investment expenditures.</p></td></tr></tbody></table>
4.3.4. PROPORTIONALITY OF THE AID
<table><col/><col/><tbody><tr><td><p>(72)</p></td><td><p>Portugal notes that the calculations used to demonstrate the incentive effect can also be used as a basis for assessing the proportionality of the aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(73)</p></td><td><p>The final calculation used by Portugal to demonstrate the incentive effect show a net financial handicap of Setubal compared to [location 1 in a non-assisted area in the EEA] of EUR 48 million. Even with the aid, Setubal is by EUR 14,6 million (discounted value) more expensive than [location 1 in a non-assisted area in the EEA] (financial disadvantage minus the aid taken into account in the counterfactual analysis; i.e. EUR 48 million-EUR 33,4 million).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(74)</p></td><td><p>Portugal therefore argues that, as the aid does not fully compensate the location disadvantage of Setubal, there is no overcompensation. The aid is consequently proportionate.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(75)</p></td><td><p>Portugal points out that in its decision on location, VAI took not only financial considerations into account, but also non quantifiable qualitative criteria such as reasons of social responsibility or the possibility of avoiding shifting production to other sites at production peaks.</p></td></tr></tbody></table>
4.3.5. NEGATIVE EFFECTS OF THE AID ON COMPETITION AND TRADE
<table><col/><col/><tbody><tr><td><p>(76)</p></td><td><p>Portugal emphasises that the regional aid serves solely to compensate the net disadvantage of the location in Setubal. The aid is proportionate and will have no effect on competition as the investment project, and its resulting effects on competition and trade, would have happened in any event. The investment project would not have been located in another assisted region with a higher or same aid intensity ceiling, as a greenfield investment would not have been viable, and the only plausible alternative is not an assisted region. Therefore, the aid has no anti-cohesion effect that would run counter the very rationale of regional aid.</p></td></tr></tbody></table>
5. ASSESSMENT OF THE AID
5.1. EXISTENCE OF AID
<table><col/><col/><tbody><tr><td><p>(77)</p></td><td><p>The financial support in the form of a reimbursable grant will be given by the Portuguese authorities and is financed through the general budget of the State. The support is thus given by a Member State and through State resources within the meaning of Article 107(1) of the TFEU.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(78)</p></td><td><p>As the aid is granted to a single company, Autoeuropa, the measure is selective.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(79)</p></td><td><p>The financial support will be given for an investment in the car sector, which is subject to intensive trade between Member States, and will partially replace supplies of intermediate goods from other Member States. Therefore, the measure affects trade between Member States.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(80)</p></td><td><p>The favouring of Autoeuropa and its production by the Portuguese authorities means that competition is distorted or threatened to be distorted.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(81)</p></td><td><p>Consequently, the Commission considers that the notified measure constitutes State aid to Autoeuropa within the meaning of Article 107(1) TFEU.</p></td></tr></tbody></table>
5.2. LEGALITY OF THE AID MEASURE
<table><col/><col/><tbody><tr><td><p>(82)</p></td><td><p>By granting the aid subject to Commission approval and notifying the aid measure before putting it into effect, the Portuguese authorities have respected their obligations under Article 108(3) TFEU, since the notification of individual aid above a certain amount is required by the GBER 2008. In fact, the aid for the investment project is individually notifiable within the meaning of paragraph 68 of the RAG 2007-13 and the GBER 2008, as the envisaged aid amount of EUR 36,15 million in present value exceeds the individual notification threshold of EUR 11,25 million applicable in the region concerned under the regional aid map applicable from 2007 to June of 2014.</p></td></tr></tbody></table>
5.3. LEGAL BASIS FOR THE ASSESSMENT
<table><col/><col/><tbody><tr><td><p>(83)</p></td><td><p>The objective of the aid is to promote regional development. As the aid and investment contract was signed in April 2014, only subject to Commission approval, the Commission considers that pursuant to paragraph 188 of the RAG 2014-20, the aid was awarded before July 2014 and thus has to be assessed on the basis of the RAG 2007-13, and in particular its provisions regarding regional investment aid for large investment projects laid down in paragraph 68.</p></td></tr></tbody></table>
5.4. STRUCTURE OF THE COMPATIBILITY ASSESSMENT
<table><col/><col/><tbody><tr><td><p>(84)</p></td><td><p>The Commission needs to conduct its assessment in three steps:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>first, it has to confirm that the measure is compatible with the general provisions of the RAG,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>second, it has to verify whether or not it can exclude without doubt that the ‘market share test’ and ‘capacity increase/market performance tests’ under paragraph 68(a) and (b) of the RAG 2007-13 require an in-depth assessment,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>third, depending on the outcome of the assessment in the second step, it may have to conduct an in-depth assessment.</p></td></tr></tbody></table></td></tr></tbody></table>
5.5. COMPATIBILITY OF THE MEASURE WITH STANDARD COMPATIBILITY CRITERIA OF THE RAG
<table><col/><col/><tbody><tr><td><p>(85)</p></td><td><p>The Commission established already in the opening decision that the aid meets part of the general compatibility criteria for the RAG 2007-13. The formal investigation did not reveal any elements that would put into question this assessment. The Commission notes in particular the following:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the aid is granted for a project in Palmela which is an area eligible for regional aid pursuant to the Portuguese regional aid map applicable from 2007 to June of 2014,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>there is no indication that the VW Group in general, or Autoeuropa in particular, would be a firm in difficulty within the meaning of the Community guidelines on State aid for rescuing and restructuring firms in difficulty applicable at the time of the notification. Therefore, the aid beneficiary is eligible for regional aid in accordance with paragraph 9 of the RAG 2007-13,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the project comprises an initial investment within the meaning of paragraph 34 of the RAG 2007-13. Initial investment is defined in paragraph 34 of the RAG 2007-13 as an investment in tangible and intangible assets relating to (i) the setting up of a new establishment; (ii) the extension of an existing establishment; (iii) diversification of the output into new additional products; and (iv) a fundamental change in the overall production process of an existing establishment. The introduction of the new production technology qualifies as fundamental change of the production process of an existing establishment. In addition, it allows to diversify the output of the establishment,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>in conformity with paragraph 40 of the RAG 2007-13, Autoeuropa is obliged to maintain the investment in the region for a minimum of 5 years after completion of the project,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the beneficiary provides, in conformity with paragraph 39 of the RAG 2007-13, a financial contribution of at least 25 % of the eligible costs in a form which is free of any public support,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the formal incentive effect requirements, laid down in paragraph 38 of the RAG 2007-13, are respected <a>(<span>21</span>)</a>,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the eligible expenditure of the project is limited to new tangible assets (equipment and buildings only), and is thus in line with the provisions of paragraphs 50 and 54 of the RAG 2007-13.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(86)</p></td><td><p>However, the Commission raised doubts in the opening decision with regard to the eligibility of costs for vendor tooling. Therefore, and as it was unable to form a definitive view on whether the notified project and an earlier investment project carried out on the same site formed a single investment project in the meaning of paragraph 60 of the RAG 2007-13, the Commission was unable to establish whether the notified aid intensity exceeded the maximum allowable, and hence raised doubts also regarding the respect of the applicable regional aid ceiling.</p></td></tr></tbody></table>
5.5.1. CONCLUSION ON THE VENDOR TOOLING
<table><col/><col/><tbody><tr><td><p>(87)</p></td><td><p>The Commission clarified in case C34/2001 that vendor tolling costs cannot be considered eligible costs, unless they occur in assisted areas of the Member State concerned <a>(<span>22</span>)</a>. The Commission notes (see recitals 31 and 32 above) that all the investments in vendor tooling amounting to EUR 136,3 million will fulfil the standard compatibility criteria of the RAG given that they will meet certain conditions such as: the tools are part of the notified project and belong to Autoeuropa's fixed assets, are located at a supplier's plant in an assisted area in Portugal, and will remain located in Portugal in an assisted area for at least 5 years after completion of the project. Furthermore, the assisted areas of Portugal where vendor tooling will take place have the same or higher maximum aid intensities than the area of Palmela. Monitoring mechanisms which ensure that no aid will be granted to vendor tooling that does not comply with the above conditions have been set up.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(88)</p></td><td><p>In line with its previous practice in case C34/2001, the Commission therefore considers that the vendor tooling costs arising in assisted areas of Portugal and amounting to EUR 136,3 million can be considered eligible costs in line with sections 4.1 and 4.2 of the RAG 2007-13.</p></td></tr></tbody></table>
5.5.2. CONCLUSION ON THE SINGLE INVESTMENT PROJECT
<table><col/><col/><tbody><tr><td><p>(89)</p></td><td><p>The Commission analysed the possible single investment project character of the three earlier investments carried out by Autoeuropa at the same site.</p></td></tr></tbody></table>
5.5.2.1. Initial investment in interior and exterior painting robots (paint shop)
<table><col/><col/><tbody><tr><td><p>(90)</p></td><td><p>The project consisted of the acquisition of new robots for the paint shop which led to improvements in terms of quality, but also ergonomics and labour protection, environmental protection and resource savings and productivity. The Commission considers that these investments were necessary at that point in time in order to improve the working conditions in the paint shop and therefore they were not undertaken in preparation of the notified project.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(91)</p></td><td><p>The Commission considers that the investment in the automation of the interior and exterior painting process in the paint shop and the notified investment project show technical and functional differences and the investment decisions were taken independently from each other. Therefore the Commission considers that the initial investment in the paint shop is not linked in an economically indivisible way with the notified investment project and consequently, the two investments do not form a single investment project within the meaning of paragraph 60 of the RAG 2007-13.</p></td></tr></tbody></table>
5.5.2.2. Initial investment in stamping dies (tool shop)
<table><col/><col/><tbody><tr><td><p>(92)</p></td><td><p>The tool shop of Autoeuropa produces moulds and stamping tools for car body metal parts. It specialises in the production of tools for engine hoods and fenders. The tool shop delivers its products to the VW Group's factories worldwide, i.e. it is not limited to servicing Autoeuropa. It is part of Autoeuropa, however its activity runs autonomously and independently of the main activity of the factory which is the production of vehicles.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(93)</p></td><td><p>The project concerned the acquisition of new tools for stamping dies in order to enable the construction of tools with higher quality levels and to increase the production volume of the tool shop. The tool shop produces moulds and stamping tools for the entire VW Group, is not located in the same plot of land as the notified investment and runs independently of the car manufacturing factory. Moreover, the investment decisions for the tool shop modernisation and for the notified project were taken independently from each other. Therefore the Commission considers that the initial investment in the tool shop is not linked in an economically indivisible way with the notified investment project and consequently, the two investment projects do not form a single investment project within the meaning of paragraph 60 of the RAG 2007-13.</p></td></tr></tbody></table>
5.5.2.3. Initial investment in the information technology area (IT)
<table><col/><col/><tbody><tr><td><p>(94)</p></td><td><p>The project concerned the acquisition of new IT equipment with new software applications for a stable IT security aimed at increasing the stability and the productivity of the car production. The investment in the IT area does not have strategic and technical links with the notified project that would link them in an economically indivisible way. Moreover, the investment decisions for the IT project and for the notified project were taken independently from each other. Therefore the Commission considers that the two investment projects do not form a single investment project within the meaning of paragraph 60 of the RAG 2007-13.</p></td></tr></tbody></table>
5.5.3. OVERALL CONCLUSION ON STANDARD COMPATIBILITY CRITERIA
<table><col/><col/><tbody><tr><td><p>(95)</p></td><td><p>In view of the above, the Commission considers that vendor tooling costs amounting to EUR 136,3 million can be considered as eligible expenditure under the notified project, whereas the earlier investments do not have to be taken into account. The amount of eligible expenses that has to be taken into account for the calculation of the maximum allowable aid intensity is EUR 623,9 million (EUR 599,6 million in discounted value) as shown in Table 2 of this Decision. By applying the scaling down mechanism laid down in paragraph 67 of the RAG 2007-13, the eligible expenditure incurred leads to a maximum allowable aid intensity of 6,13 % GGE for the project.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(96)</p></td><td><p>Since the intensity of the proposed aid (EUR 36,15 million in present value, 6,03 % aid intensity) does not exceed the maximum allowed aid intensity, and the notified aid is not to be combined with further regional investment aid, the proposed aid intensity for the project complies with the RAG 2007-13.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(97)</p></td><td><p>In view of these considerations, and since no information was submitted that would affect the conclusions of the Commission in the opening decision on the respect of the standard compatibility criteria referred to in recital 85, the Commission considers that the standard compatibility criteria of the RAG 2007-13 are met.</p></td></tr></tbody></table>
5.6. APPLICATION OF THE TESTS LAID DOWN IN THE PROVISIONS OF PARAGRAPH 68 OF THE RAG 2007-13
<table><col/><col/><tbody><tr><td><p>(98)</p></td><td><p>The Commission has to carry out an in depth assessment as part of the formal investigation unless it can establish without doubt within that procedure that the thresholds for in-depth assessment laid down in the paragraph 68(a) and (b) tests are not exceeded. <a>(<span>23</span>)</a> To carry out the relevant tests, the Commission has first to establish appropriate product and geographic market definitions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(99)</p></td><td><p>In recital 45 of its opening decision the Commission considered that for the purposes of paragraph 68 of the RAG 2007-13, the products concerned by the investment project are passenger cars belonging to the market segments A0, A, and B according to the segmentation by POLK.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(100)</p></td><td><p>The Commission left the precise definition of the relevant product market open and considered all plausible alternative market definitions, including in particular the narrowest segmentation for which data is available.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(101)</p></td><td><p>The practice of using the narrowest market definition based on individual segments in the car industry is well grounded in comparable decisions, including final decisions <a>(<span>24</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(102)</p></td><td><p>This case practice is based on the view that competitors in all market segments, including the smallest possible segment, deserve protection from players with market dominance.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(103)</p></td><td><p>It is also grounded in competition relevant economic considerations. More specifically, this approach is based on the theory that demand side substitutability between two products exists if they are considered to be substitutes by consumers in view of their characteristics, price and intended use. Through its practice of examining market shares also in the smallest possible car market segment for which information is available, the Commission follows exactly this logic: i.e. it considers that substitutability in view of price, characteristics and intended use is the strongest between products belonging to the same segment. In this sense, the application of the narrowest possible market segment as one plausible market reflects the logic of point 28 of the Horizontal Merger Guidelines which states that ‘Products may be differentiated within a relevant market such that some products are closer substitutes than others. The higher the degree of substitutability between the merging firms’ products, the more likely it is that the merging firms will raise prices significantly. […] The merging firms' incentive to raise prices is more likely to be constrained when rival firms produce close substitutes to the products of the merging firms than when they offer less close substitutes'.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(104)</p></td><td><p>This is also why conventional cars are traditionally divided into segments, and why the automotive industry assigns models to the various well known segments. This is the consideration that has driven the Commission's practice in defining the relevant market in automotive cases also in terms of the individual segments and this is the reason why Member States presented the relevant market related arguments in this as well as in other cases in the past in terms of individual segments.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(105)</p></td><td><p>Since Autoeuropa will produce cars belonging to A0 and […] segments according to POLK, and could also produce cars belonging to the B segment according to POLK, the Commission considered that these individual segments and for SUVs also the SUV-B segment according to Global Insight, as well as the combined segment (A0 to B) according to POLK should all be considered as relevant plausible markets for this case.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(106)</p></td><td><p>The Commission considered that the relevant geographic market for the products concerned is at least EEA-wide. The Portuguese authorities and Autoeuropa accepted that the Commission applies this geographic market definition for the purposes of this notification <a>(<span>25</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(107)</p></td><td><p>In light of the above, and as during the formal investigation the Commission did not receive any additional information showing that it should modify its conclusions from the opening decision, the Commission maintains its assessment as regards the product and geographic market definitions.</p></td></tr></tbody></table>
5.6.1. CONCLUSION ON THE MARKET SHARE TEST (PARAGRAPH 68(A) OF THE RAG 2007-13)
<table><col/><col/><tbody><tr><td><p>(108)</p></td><td><p>The Commission has carried out the test laid down in point 68(a) of the RAG 2007-13 in all plausible product and geographic markets to verify whether the beneficiary's market share exceeds 25 % before and after the investment.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(109)</p></td><td><p>In view of the fact that a single relevant product and geographic market could not be established, the results of all plausible markets had to be taken into account. The market share of the VW Group in the individual A and B segments and in the combined A0, A and B segments (according to POLK) in the EEA accounts for more than 25 % in all years between 2013 and 2019. The Commission therefore concludes that the threshold laid down in paragraph in 68(a) is exceeded.</p></td></tr></tbody></table>
5.6.2. CONCLUSION ON THE PRODUCTION CAPACITY IN AN UNDERPERFORMING MARKET TEST (PARAGRAPH 68(B) OF THE RAG 2007-13)
<table><col/><col/><tbody><tr><td><p>(110)</p></td><td><p>As the result of the paragraph 68(a) test requires already proceeding to the in-depth assessment of the aid, it is not necessary to carry out the paragraph 68(b) test.</p></td></tr></tbody></table>
5.6.3. CONCLUSION
<table><col/><col/><tbody><tr><td><p>(111)</p></td><td><p>In light of the above, the Commission decides that the relevant threshold of the 68 (a) test is exceeded. The Commission therefore decides to conduct a detailed verification, following the opening of the procedure provided for in Article 108(2) TFEU, that the aid is necessary to provide an incentive effect for the investment and that the benefits of the aid measure outweigh the resulting distortion of competition and effects on trade between Member States.</p></td></tr></tbody></table>
5.7. IN-DEPTH ASSESSMENT OF THE AID MEASURE
<table><col/><col/><tbody><tr><td><p>(112)</p></td><td><p>The in-depth assessment is conducted on the basis of the IDAC.</p></td></tr></tbody></table>
5.7.1. POSITIVE EFFECTS OF THE AID
5.7.1.1. Objective of the aid
<table><col/><col/><tbody><tr><td><p>(113)</p></td><td><p>Paragraph 12 of the IDAC requires that Member States substantiate the contribution of the investment project to the development of the region concerned. The Commission takes note of the investment's positive regional effects, as presented by Portugal (see recitals 45 to 49 above) and considers that in particular the direct and indirect job creation effects, the implantation of additional suppliers in the region, the knowledge transfer into the region, and the improvement of the regional skills base represent a significant contribution to the development of the region and to the achievement of the EU cohesion objective.</p></td></tr></tbody></table>
5.7.1.2. Appropriateness of the aid instrument
<table><col/><col/><tbody><tr><td><p>(114)</p></td><td><p>Paragraphs 17 and 18 of the IDAC underline that State aid in the form of initial investment aid is only one of the means to overcome market failures and to promote economic development in disadvantaged regions. Aid constitutes an appropriate instrument if it provides specific advantages compared with other policy measures. According to paragraph 18 of the IDAC, only ‘measures for which the Member State considered other policy options, and for which the advantages of using a selective instrument such as State aid for a specific company are established, are considered to constitute an appropriate instrument.’</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(115)</p></td><td><p>Portugal justified (see recitals 51 and 52 above) the appropriateness of the aid instrument by the economic situation in Peninsula de Setubal region, proving that the region is disadvantaged in comparison with the national average: during the period 2011-2013, the regional GDP per capita was around 75 % of the Portuguese average.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(116)</p></td><td><p>In view of the socioeconomic situation of Peninsula de Setubal region, as confirmed by its status as a region eligible for regional aid in accordance with Article 107(3)(c) TFEU with an aid intensity ceiling of 15 %, and in line with earlier case practise (e.g. in the Dell Poland decision <a>(<span>26</span>)</a> and Porsche decision <a>(<span>27</span>)</a>), the Commission accepts that the granting of State aid is an appropriate instrument to achieve the regional development objective in the region concerned.</p></td></tr></tbody></table>
5.7.1.3. Incentive effect/Counterfactual scenario
<table><col/><col/><tbody><tr><td><p>(117)</p></td><td><p>Paragraph 20 of the IDAC requires that the formal incentive effect conditions as set out in paragraph 38 of the RAG 2007-13 must be met. The Commission has verified in section 5.5 above that this is the case for the notified project. As to the substantive incentive effect, the IDAC requires the Commission to verify in detail that the aid is necessary to change the behaviour of the beneficiary, so that it undertakes (additional) investment in the assisted region concerned. Paragraph 22 of the IDAC states that the incentive effect can be proven in two possible scenarios: in the absence of aid, no investment would take place at all since without the aid, the investment would not be profitable for the company at any location (scenario 1); in the absence of aid, the investment would take place in another location (scenario 2).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(118)</p></td><td><p>The IDAC requires the Member State to demonstrate the existence of the incentive effect of the aid and provide clear evidence that the aid effectively had an impact on the investment choice or the location choice. It thus places the burden of proof regarding the existence of an incentive effect on the Member State. In this context, the Member State is also required to give a comprehensive description of the counterfactual scenario in which no aid would be granted to the beneficiary. The counterfactual scenario has to be deemed realistic by the Commission.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(119)</p></td><td><p>The Portuguese authorities stated (see recital 54 above) that the aid to Autoeuropa falls under scenario 2 and presented a counterfactual scenario reflecting the concrete investment and location planning for the notified project which considered as alternative location a plant in [location 1 in a non-assisted area in the EEA], […].</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(120)</p></td><td><p>Paragraph 25 of the IDAC indicates that the Member State could give proof of the incentive effect of the aid for a scenario 2 situation by providing company documents that show that a comparison has been made between the costs and benefits of locating in the assisted region selected for the investment with an alternative location. The Member State is invited to rely on financial reports, internal business plans and documents that elaborate on various investment scenarios.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(121)</p></td><td><p>Portugal provided (see recitals 68, 70 and 71 above) contemporary and genuine evidence documenting VW Group's, and for the notified project Volkswagen's Brand multi-stage decision-making process concerning first the product decision and then the investment and location decision.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(122)</p></td><td><p>This documentation shows that after the sales potential for new products in the segments A0 SUV and […] ([…]) had been established in 2012 in planning round 61, the controlling department [Group Controlling] identified initially in July 2012 four options for the production location: Setubal, [location 1 in a non-assisted area in the EEA], [location 2 outside EEA] and [location 3 in a non-assisted area in the EEA] by applying two main criteria: whether at an existing plant additional capacities can still be installed and whether the existing facilities are compatible with the planned investment. The calculations conducted by [Group controlling] also included the sales volume of the [predefined model] which had a planned SOP at a similar timing. Three alternatives with the volumes split between the four sites were developed. For each alternative, the production costs per car were calculated and the outcome of these calculations showed that at that point in time the best alternative would had been to combine the [predefined model] and the A0 SUV volumes in [location 1 in a non-assisted area in the EEA] and to limit the new volumes in Setubal to the […] segment.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(123)</p></td><td><p>In the later planning process, the controlling department decided to exclude [location 3 in a non-assisted area in the EEA] due to disadvantages in personnel costs and [location 2 outside EEA] due to disadvantages in logistic costs and therefore only retained [location 1 in a non-assisted area in the EEA] as a viable alternative location to Setubal.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(124)</p></td><td><p>The Commission notes that in January 2014 Volkswagen decided to locate the production of the [predefined model] in [location 1 in a non-assisted area in the EEA] and [location 2 outside EEA], where already the predecessor model had been produced. Portugal provided evidence to prove that even after the [predefined model] decision was taken, [location 1 in a non-assisted area in the EEA] remained a realistic scenario for the notified investment. The documents provided allow the Commission to conclude that in March 2014 when the product decision was taken by the VAP, [location 1 in a non-assisted area in the EEA] had sufficient capacity to accommodate the needs of the notified project. This is further supported by VW Group's decision of March 2015 to produce in [location 1 in a non-assisted area in the EEA] another model with a similar yearly production capacity as the notified project.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(125)</p></td><td><p>Moreover, the Commission verified that all the relevant costs relating to additional shifts needed in [location 1 in a non-assisted area in the EEA] in order to cope with the additional capacity needed for the notified project were taken into account in the counterfactual scenario. In addition, it takes note of Portugal's argument that if Setubal would not have been chosen as location for the notified project, Autoeuropa might have had to shut down at least major parts of the plant. The Commission verified that both the costs for the dismissal of employees in Setubal and the costs for reimbursing the State aid granted in the earlier investment projects mentioned in section 4.2 were taken into account in the counterfactual scenario.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(126)</p></td><td><p>The Commission is also satisfied that the calculations of the investment and production costs at the two locations used in the counterfactual scenario are accurate and are based on credible data provided by the factories or on credible assumptions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(127)</p></td><td><p>As described in recital 70 and in annex I of this decision, the estimates for production costs attributable to the location, which include production costs and investment costs, resulted in a cost disadvantage of EUR 90 million in nominal value for Setubal compared to [location 1 in a non-assisted area in the EEA]. In order to reduce the cost disadvantage of Setubal, and in view of the forthcoming formal decision of the VAI on the localisation of the investment project, after the product decision was taken by the VAP on 10 March 2014, Autoeuropa introduced an application for aid on 31 March 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(128)</p></td><td><p>On 28 May 2014 and 26 June 2014, the VAI decided to locate the notified investment in Setubal. As documented by the minutes of the VAI meetings, this decision was adopted explicitly subject to the availability of State aid. Works on the project started on 26 June 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(129)</p></td><td><p>The Commission established already above (see recital 85) that in accordance with paragraph 20 of the IDAC the formal incentive effect requirements laid down in paragraph 38 of the RAG 2007-13 were met. In addition, the Portuguese authorities provided clear evidence that the aid effectively had an impact on the investment's location choice, since VW Group's decision to locate the notified project in Setubal was taken only after signing the investment contract <a>(<span>28</span>)</a> which confirmed that the investment project would be eligible for State aid. The Commission considers, in accordance with paragraphs 23 and 25 of the IDAC that the counterfactual scenario presented by Portugal is realistic and supported by genuine and contemporary evidence proving that the aid has a real (substantive) incentive effect: by reducing the viability gap between both locations in favour of Setubal, the aid contributed to changing the location decision of the beneficiary company. Without the aid, the investment would not have taken place in Setubal.</p></td></tr></tbody></table>
5.7.1.4. Proportionality of the aid
<table><col/><col/><tbody><tr><td><p>(130)</p></td><td><p>Paragraph 29 of the IDAC requires that for the aid to be proportional, the amount and intensity of the aid must be limited to the minimum needed for the investment to take place in the assisted region.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(131)</p></td><td><p>In general, regional aid is considered to be proportional to the seriousness of the problems affecting the assisted regions if it respects the applicable regional aid ceiling, including the automatic, progressive scaling-down of the regional aid ceiling for large investment projects (which is already part of the applicable regional aid map). The applied aid intensity in this case is not higher than the regional aid ceilings corrected by the scaling-down mechanism, as was already established in recital 96.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(132)</p></td><td><p>In addition to the general principle of proportionality contained in the RAG 2007-13, the IDAC requires a more detailed assessment to be carried out. Under scenario 2 of the IDAC, the aid is considered proportionate if it equals the difference between the net costs for the beneficiary to invest in the assisted region and the net costs to invest in the alternative location.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(133)</p></td><td><p>The documentation submitted by Portugal (see recitals 68, 70 and 71 above) proves that the aid was limited to the amount necessary, because it does not exceed the difference in costs between locating the investment in Setubal and in […]. The calculation done at the time of the counterfactual analysis (and based on documents drafted contemporaneously with the investment decision) shows that even with the aid, Setubal was by EUR 14,6 million more expensive in discounted value than [location 1 in a non-assisted area in the EEA]. The Commission notes that the remaining cost disadvantage was considered as acceptable due to certain qualitative aspects, such as reasons of social responsibility (without the investment Autoeuropa would have had to shut down major parts of the Setubal plant) or the possibility for Setubal to cover production peaks without any support by other plants, while [location 1 in a non-assisted area in the EEA] would have to shift some of the production to [location outside EEA]. If the calculation is done taking into account the notified discounted aid amount of EUR 36,15 million <a>(<span>29</span>)</a>, the location disadvantage of Setubal would still be EUR 11,85 million (EUR 48 million-EUR 36,15 million).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(134)</p></td><td><p>As the aid is limited to the amount necessary to compensate for the net additional costs of locating the investment project in Setubal, as compared to the alternative location [location 1 in a non-assisted area in the EEA], the Commission considers that the proportionality of the aid at the time of the location decision is demonstrated.</p></td></tr></tbody></table>
5.7.2. NEGATIVE EFFECTS OF THE AID ON COMPETITION AND TRADE
<table><col/><col/><tbody><tr><td><p>(135)</p></td><td><p>Paragraph 40 of the IDAC states that ‘if the counterfactual analysis suggests that without the aid the investment would have gone ahead in any case, albeit possibly in another location (scenario 2), and if the aid is proportional, possible indications of distortions such as a high market share and an increase in capacity in an underperforming market would in principle be the same regardless of the aid’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(136)</p></td><td><p>Without the notified aid, the investment would have been carried out in another location within the EEA, resulting in the same level of distortion of competition (i.e. scenario 2). Since the aid is limited to the minimum necessary to off-set the additional costs stemming from the regional handicaps of an assisted region, it does not have undue negative effects on competition, such as crowding-out of private investment.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(137)</p></td><td><p>According to paragraph 50 of IDAC, due to its geographical specificity, the potential negative location effects of regional aid are already recognised and restricted to a degree by RAG and the regional aid maps, which define exhaustively the areas eligible to grant regional aid, taking account of the equity and cohesion policy objectives, and the eligible aid intensities. However, in accordance with paragraph 53 of the IDAC, if, without aid, the investment would have been located in a poorer region (more regional handicaps — higher maximum regional aid intensity) or in a region that is considered to have the same regional handicaps as the target region (same maximum regional aid intensity), this would constitute a negative effect on trade and a negative element in the overall balancing test that is unlikely to be compensated by any positive elements, because it runs counter the very rationale of regional aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(138)</p></td><td><p>In the case of the notified project, a greenfield investment was not considered, as an investment package of [140 000-160 000] cars falling into a […] price market segment is too small to render a greenfield investment viable. By applying two criteria, existing additional capacities and compatible facilities with the planned project, the only initial alternative locations were limited to [location 1] (non-assisted area in [the EEA]), [location 2] ([outside EEA]) and [location 3] ([non-assisted area in the EEA); [location 2 outside EEA] and [location 3 in a non-assisted area in the EEA] were in a later stage excluded as they were characterised by high logistics, respectively high personnel costs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(139)</p></td><td><p>Therefore, the Commission concludes that there is no indication that the investment would have been located in another assisted region with a higher or similar aid intensity ceiling: hence the Commission considers that the aid has no anti-cohesion effect that would run counter the very rationale of regional aid and the aid has no undue negative effects on trade.</p></td></tr></tbody></table>
5.8. BALANCING
<table><col/><col/><tbody><tr><td><p>(140)</p></td><td><p>Having established that the aid provides an incentive for carrying out the investment in the region concerned and is proportionate, it is necessary to balance the positive effects of the aid with its negative effects.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(141)</p></td><td><p>The assessment confirmed that the aid measure has an incentive effect attracting an investment which offers an important contribution to the regional development of a disadvantaged region which is eligible for regional aid pursuant to Article 107(3)(c) TFEU, without depriving from the investment any region with the same or a higher aid intensity ceiling (no anti-cohesion effect). The Commission considers that attracting an investment to a poorer region is more beneficial for cohesion within the Union than if the same investment had been located in a more developed region. As stated in paragraph 53 of the IDAC, the Commission considers that ‘the positive effects of regional aid which merely compensate for the difference in net costs relative to a more developed alternative investment location […] will normally be considered, under the balancing test, to outweigh any negative effects in the alternative location for new investment’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(142)</p></td><td><p>In view of the above, the Commission finds that, given that the aid is proportional to the difference in net costs for carrying out the investment in the selected location, as compared to a more developed alternative location, the positive effects of the aid, in terms of its objective and appropriateness, as demonstrated above, outweigh the negative effects in the alternative location.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(143)</p></td><td><p>In accordance with paragraph 68 of the RAG 2007-13, and in light of the in-depth assessment conducted on the basis of the IDAC, the Commission concludes that the aid is necessary to provide an incentive effect for the investment and that the benefits of the aid measure outweigh the resulting distortion of competition and effect on trade between Member States.</p></td></tr></tbody></table>
6. CONCLUSION
<table><col/><col/><tbody><tr><td><p>(144)</p></td><td><p>The Commission concludes that the proposed regional investment aid in favour of Volkswagen Autoeuropa, Lda awarded on 30 April 2014 subject only to Commission approval fulfils all the conditions laid down in the RAG 2007-13 and in the IDAC and can therefore be considered compatible with the internal market in accordance with Article 107(3)(c) TFEU.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(145)</p></td><td><p>The Commission recalls that in accordance with recital 16 of the opening decision, Portugal committed that neither the notified aid amount, nor the notified aid intensity will be exceeded, if the realised eligible expenditure deviates from the planned amount of eligible expenditure, as taken into account in the notification and the calculation of the maximum aid amount. Portugal also undertook to submit to the Commission on a 5-yearly basis, starting from the approval of the aid by the Commission, an intermediary report (including information on the amounts being paid and on any other investment projects started at the same establishment/plant) and within 6 months after payment of the last tranche of the aid, in accordance with the notified payment schedule, a detailed final report.</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
The State aid which Portugal is planning to implement for Volkswagen Autoeuropa, Lda, amounting to EUR 36,15 million in present value and representing a maximum aid intensity of 6,03 % in gross grant equivalent, is compatible with the internal market within the meaning of Article 107(3)(c) of the Treaty on the Functioning of the European Union.
Implementation of the aid, amounting to a maximum of EUR 36,15 million in present value and to a maximum aid intensity of 6,03 % in gross grant equivalent, is accordingly authorised.
Article 2
This Decision is addressed to the Portuguese Republic.
Done at Brussels, 27 November 2015.
For the Commission
Margrethe VESTAGER
Member of the Commission
<note>
( 1 ) OJ C 460, 19.12.2014, p. 55 .
( 2 ) Cf. footnote 1.
( 3 ) State Aid N 727/2006 — Portugal — Regional aid map 2007-2013 ( OJ C 68, 24.3.2007, p. 26 ), as prolonged until the end of June 2014 by SA.37471 (2013/N) — Prolongation of the Portuguese regional aid map 2007-2013 until 30 June 2014 ( OJ C 50, 21.2.2014, p. 16 ).
( 4 ) Case SA.36754 LIP — HU — Aid for AUDI HUNGARIA MOTOR Ltd ( OJ C 418, 21.11.2014, p. 25 ).
( 5 ) OJ C 244, 1.10.2004, p. 2 .
( 6 ) Case SA.32169 — Germany — LIP — Aid to Volkswagen Sachsen GmbH ( OJ C 361, 10.12.2011, p. 17 ).
( 7 ) R. L. Polk & Co. (also referred to as POLK) is a globally integrated organisation and a major market information and analytics provider in the automotive industry. On July 16 2013, IHS Inc., the leading global source of critical information and analytics completed its acquisition of R. L. Polk & Co.
( *1 ) Business secret
( 8 ) Commission Regulation (EC) No 800/2008 of 6 August 2008 declaring certain categories of aid compatible with the common market in application of Articles 87 and 88 of the Treaty (General block exemption Regulation) ( OJ L 214, 9.8.2008, p. 3 ), prolonged until 30 June 2014.
( 9 ) Guidelines on national regional aid for 2007-2013 ( OJ C 54, 4.3.2006, p. 13 ). On 28 June 2013 the Commission adopted the Guidelines on Regional State Aid for 2014-2020, in which it extended the period of application of the RAG 2007-13 until 30 June 2014 (paragraph 186); ( OJ C 209, 23.1.2013, p. 1 ).
( 10 ) Footnote 55 of the RAG 2007-13 specifies the following: ‘To assess whether an initial investment is economically indivisible, the Commission will take into account the technical, functional and strategic links and the immediate geographical proximity. The economic indivisibility will be assessed independently from ownership. This implies that to establish whether a large investment project constitutes a single investment project, the assessment should be the same irrespective of whether the project is carried out by one undertaking, by more than one undertakings sharing the investment costs or by more undertakings bearing the costs of separate investments within the same investment project (for example in the case of a joint venture)’.
( 11 ) OJ C 223, 16.9.2009, p. 3 .
( 12 ) This approach is in line with the Commission's State aid decisions SA. 34118 (Porsche Leipzig), Decision of 9 July 2014 (C(2014)4075) in the case of SA.34118, not yet published in the OJ, available on http://ec.europa.eu/competition/elojade/isef/index.cfm?clear=1&policy_area_id=3; SA.30340 (Fiat Powertrain Technologies), Decision of 9 February 2011, (C(2011)612) in the case of SA.30340 ( OJ C 151, 21.5.2011, p. 5 ); SA. 32169 (Volkswagen Sachsen) Decision of 13 July 2011 (C(2011)4935) in the case of SA.32169 ( OJ C 361, 10.12.2011, p. 17 ); N 767/07 (Ford Craiova) Decision of 30 April 2008 (C(2008)1613) in the case N 767/2007 ( OJ C 238, 17.9.2008, p. 4 ); N 635/2008 (Fiat Sicily), Decision of 29 April 2009 (C(2009)3051) in the case N 635/2008 ( OJ C 219, 12.9.2009, p. 3 ); and N 473/2008 (Ford Espino) Decision of 17 June 2009 (C(2009)4530) in the case N 473/2008 ( OJ C 19, 26.1.2010, p. 5 ).
( 13 ) The Commission considered in a series of decisions regarding SUVs, most recently in its final decision on regional aid for Porsche (Decision of 9 July 2014 in the case SA.34118 (2012/C, ex 2011/N) which Germany is planning to implement in favour of Porsche Leipzig GmbH and Dr Ing. H.c.F. Porsche Aktiengesellschaft, not yet published in the OJ, available on http://ec.europa.eu/competition/elojade/isef/index.cfm?clear=1&policy_area_id=3), that for SUVs the Global Insight classification is more appropriate. SUVs falling under the POLK A0 segment correspond to the SUV-B segment in the classification of Global Insight.
( 14 ) C34/2001, decision of 7 May 2002 on State aid Spain is planning to implement in favour of Ford España SA (notified under document number C(2002) 1803), published in OJ L 314, 18.11.2002, p. 86 .
( 15 ) EUR 19,95 million discounted to 2011, the year when the investment project started, discount rate 1,56 %.
( 16 ) SA. 34118, decision of 9 July 2014, not yet published in the OJ, available on http://ec.europa.eu/competition/elojade/isef/index.cfm?clear=1&policy_area_id=3, recital 107.
( 17 ) The data source is INE — Instituto Nacional de Estatística (the national official agency for statistics).
( 18 ) This counterfactual analysis is presented in detail in Annex I which cannot be published since its elements constitute business secrets.
( 19 ) See also footnote 20 below.
( 20 ) This figure is based on a different spread of the eligible expenses throughout the years as compared to the final investment configuration which was notified.
( 21 ) Autoeuropa submitted an application for aid on 31 March 2014 and the authority responsible for administering the scheme confirmed on 4 April 2014 in writing that, subject to detailed verification, the project in principle met the conditions of eligibility. The investment contract was signed on 30 April 2014 and contained a suspensive clause making it dependent on VW Group's decision to proceed or not with the project, as long as this decision was taken before 30 June 2014.
( 22 ) See Commission Decision in case C34/2001 regarding aid to Ford España (footnote 14 above), recitals 36-37.
( 23 ) Of course, in any event and thus irrespective of the thresholds of paragraph 68 of the RAG 2007-13, the Commission has to balance the positive and negative effects of the aid before concluding on its compatibility with the internal market. See the General Court's judgment in case T-304/08 Smurfit Kappa Group v Commission EU:T:2012:351, para. 94.
( 24 ) See for example, the final Commission decision in the Porsche case, SA. 34118 (adopted in July 2014) when it left open the question of market definition and applied the traditional approach of examining all ‘plausible market definitions defining individual car segments (including the narrowest segmentation for which data are available)’. See recital 86 of this decision, citing a range of cases, including Fiat Powertrain technologies, SA.30340, recital 88 (‘As the project does not exceed the thresholds provided in paragraph 68(a) of the RAG at the level of the smallest segmentation of the downstream product market for which data are available, it results that the project does not exceed the thresholds provided in paragraph 68(a) of the RAG for all possible combinations of these car segments’). State aid decisions SA.30340 Fiat Powertrain Technologies, Decision of 9 February 2011, (C(2011)612) ( OJ C 151, 21.5.2011, p. 5 ); SA. 32169 Volkswagen Sachsen, Decision of 13 July 2011 (C(2011)4935 ( OJ C 361, 10.12.2011, p. 17 ).
( 25 ) See also section 3.3.2.2 of the opening decision.
( 26 ) Commission Decision 2010/54/EC of 23 September 2009 on the aid which Poland is planning to implement for Dell Products (Poland) Sp. z o.o. C 46/08 (ex N 775/07) ( OJ L 29, 2.2.2010, p. 8 ), recital 171.
( 27 ) SA.34118 (2012/C, ex 2011/N), not yet published in the OJ, available on http://ec.europa.eu/competition/elojade/isef/index.cfm?clear=1&policy_area_id=3, recital 107.
( 28 ) The investment contract contained a suspensive clause making it dependent on VW Group's decision to proceed or not with the project, as long as this decision was taken before 30 June 2014.
( 29 ) See the explanation for the difference in aid amounts in footnote 19 above.
</note> | ENG | 32017D0166 |
<table><tr><td><p><span><img/></span></p></td><td><p><span>EUROPEAN COMMISSION</span></p></td></tr></table>
Brussels, 01/06/2017
C(2017) 3906 final
To the notifying parties
Subject : Case M. 8477 – LGP / OMERS / OPE CALIBER HOLDINGS Commission decision pursuant to Article 6(1 )( b) of Council Regulation (EC) No 139/2004 1 and Article 57 of the Agreement on the European Economic Area 2
Dear Sir or Madam,
1. On 5 May 2017 , the European Commission received notification of a proposed concentration pursuant to Article 4 of the Merger Regulation by which Leonard Green & Partners, L.P. ("LGP", U.S.) and OPE USA Investment Corporation ("OPE"), an entity which forms part of the wider OMERS Group ( " OMERS Group " , Canada) acquire, within the meaning of Article 3(1)(b) of the Merger Regulation, joint control over OPE Caliber Holdings Inc., which together with its wholly-owned subsidiaries is referred to as Caliber Collision Centers (“CCC” , U.S . ) by way of a purchase of shares 3 .
` The business activities of the undertakings concerned are:
– LGP is a U.S. private equity investment firm headquartered in Los Angeles. LGP’s primary sectors of focus are retail, consumer, healthcare, wellness, business, con sumer services and distribution;
– OMERS Group is the administrator of the Ontario Municipal Employees Retirement System Primary Pension Plan in Canada;
– CCC operates a network of automobile collision repair centers in the U.S. CCC is exclusively active in the U.S. and has no current or foreseen business activities or revenues in the EEA. CCC is currently solely controlled by OPE.
2. After examination of the notification, the European Commission has concluded that the notified operation falls within the scope of the Merger Regulation and of paragraph 5(a) of the Commission Notice on a simplified procedure for treatment of certain concentrations under Council Regulation (EC) No 139/2004 . 4
3. For the reasons set out in the Notice on a simplified procedure, the European Commission has decided not to oppose the notified operation and to declare it compatible with the internal market and with the EEA Agreement. This decision is adopted in application of Article 6(1 )( b) of the Merger Regulation and Article 57 of the EEA Agreement .
For the Commission (Signed)
Johannes LAITENBERGER Director - General
<note>
(1) OJ L 24, 29.1.2004, p. 1 ( the ' Merger Regulation ' ). With effect from 1 December 2009, the Treaty on the Functioning of the European Union ( ' TFEU ' ) has introduced certain changes, such as the replacement of ' Community ' by ' Union ' and ' common market ' by ' internal market ' . The terminology of the TFEU will be used throughout this decision.
(2) OJ L 1, 3.1.1994, p. 3 ( the ' EEA Agreement ' ).
(3) Publication in the Official Journal of the European Union No C 150 , 13/05 / 2017, p.6 .
(4) OJ C 366, 14.12.2013, p. 5 .
</note> | ENG | 32017M8477 |
<table><col/><col/><col/><col/><tbody><tr><td><p>16.10.2020   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 343/3</p></td></tr></tbody></table>
COUNCIL REGULATION (EU) 2020/1485
of 12 October 2020
amending Regulation (EU) 2019/2236 fixing for 2020 the fishing opportunities for certain fish stocks and groups of fish stocks applicable in the Mediterranean and Black Seas
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 43(3) thereof,
Having regard to the proposal from the European Commission,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Council Regulation (EU) 2019/2236 <a>(<span>1</span>)</a> fixes for 2020 the fishing opportunities for certain fish stocks and groups of fish stocks applicable in the Mediterranean and Black Seas.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The multiannual plan for the fisheries exploiting demersal stocks in the western Mediterranean Sea (‘the plan’) was established by Regulation (EU) 2019/1022 of the European Parliament and of the Council <a>(<span>2</span>)</a>. Pursuant to that Regulation, fishing opportunities for the stocks concerned should be fixed to achieve fishing mortality at maximum sustainable yield (MSY) on a progressive, incremental basis by 2020 where possible, and by 1 January 2025 at the latest.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Pursuant to Regulation (EU) 2019/1022, fishing opportunities should be expressed as maximum allowable fishing effort and fixed in accordance with the fishing effort regime laid down in that Regulation. Each Member State should have calculated the baseline for each fishing effort group or geographical sub-area as the average fishing effort, expressed as number of fishing days between 1 January 2015 and 31 December 2017, and should take account only of vessels active during that period. The Member States have declared their baseline effort data by fleet segments and in fishing days.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>During the process of baseline estimation for the fishing effort reduction, Spain identified an error in the technical calculation used to separate fishing days between the coastal fishery and the deep fishery in the case of trips with a duration of more than one day.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Consequently, it is necessary to amend the calculation of Spain’s baseline regarding the maximum allowable fishing effort in fishing days. Such modification of the calculation does not affect the total number of fishing days for Spain, nor does it have an implication for other Member States implementing the plan. However, such modification is necessary in order to avoid any discrepancy between Spain’s reporting on its fishing effort and the amount of fishing effort set out in Regulation (EU) 2019/2236.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Regulation (EU) 2019/2236 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>For reasons of urgency, this Regulation should enter into force immediately upon its publication. Regulation (EU) 2019/2236 applies from 1 January 2020. This Regulation should also apply from that date. Such retroactive application does not affect the principles of legal certainty and protection of legitimate expectations, as the fishing opportunities for the fishing effort groups concerned have not yet been exhausted,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Amendment of Regulation (EU) 2019/2236
In Annex I to Regulation (EU) 2019/2236, section (a) is replaced by the following:
<table><col/><col/><tbody><tr><td><p>‘(a)</p></td><td><p>Alboran Sea, Balearic Islands, Northern Spain and Gulf of Lion (GSAs 1-2-5-6-7)</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Stock group</p></td><td><p>Overall length of vessels</p></td><td><p>Spain</p></td><td><p>France</p></td><td><p>Italy</p></td><td><p>Fishing effort group code</p></td></tr><tr><td><p>Red mullet in GSAs 1, 5, 6 and 7; Hake in GSAs 1-5-6-7; Deep-water rose shrimp in GSAs 1, 5 and 6; Norway lobster in GSAs 5 and 6.</p></td><td><p>< 12 m</p></td><td><p>2 260</p></td><td><p>0</p></td><td><p>0</p></td><td><p>EFF1/MED1_TR1</p></td></tr><tr><td><p>≥ 12 m and < 18 m</p></td><td><p>24 284</p></td><td><p>0</p></td><td><p>0</p></td><td><p>EFF1/MED1_TR2</p></td></tr><tr><td><p>≥ 18 m and < 24 m</p></td><td><p>45 563</p></td><td><p>5 144</p></td><td><p>0</p></td><td><p>EFF1/MED1_TR3</p></td></tr><tr><td><p>≥ 24 m</p></td><td><p>16 047</p></td><td><p>6 258</p></td><td><p>0</p></td><td><p>EFF1/MED1_TR4</p></td></tr><tr><td><p>Blue and red shrimp in GSAs 1, 5, 6 and 7.</p></td><td><p>< 12 m</p></td><td><p>0</p></td><td><p>0</p></td><td><p>0</p></td><td><p>EFF2/MED1_TR1</p></td></tr><tr><td><p>≥ 12 m and < 18 m</p></td><td><p>1 139</p></td><td><p>0</p></td><td><p>0</p></td><td><p>EFF2/MED1_TR2</p></td></tr><tr><td><p>≥ 18 m and < 24 m</p></td><td><p>11 535</p></td><td><p>0</p></td><td><p>0</p></td><td><p>EFF2/MED1_TR3</p></td></tr><tr><td><p>≥ 24 m</p></td><td><p>9 260</p></td><td><p>0</p></td><td><p>0</p></td><td><p>EFF2/MED1_TR4’</p></td></tr></tbody></table></td></tr></tbody></table>
Article 2
This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union .
It shall apply with effect from 1 January 2020.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Luxembourg, 12 October 2020.
For the Council
The President
J. BORRELL FONTELLES
<note>
( 1 ) Council Regulation (EU) 2019/2236 of 16 December 2019 fixing for 2020 the fishing opportunities for certain fish stocks and groups of fish stocks applicable in the Mediterranean and Black Seas ( OJ L 336, 30.12.2019, p. 14 ).
( 2 ) Regulation (EU) 2019/1022 of the European Parliament and of the Council of 20 June 2019 establishing a multiannual plan for the fisheries exploiting demersal stocks in the western Mediterranean Sea and amending Regulation (EU) No 508/2014 ( OJ L 172, 26.6.2019, p. 1 ).
</note> | ENG | 32020R1485 |
<table><col/><col/><col/><col/><tbody><tr><td><p>12.7.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 187/7</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2016/1122
of 11 July 2016
establishing the standard import values for determining the entry price of certain fruit and vegetables
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 ( 1 ) ,
Having regard to Commission Implementing Regulation (EU) No 543/2011 of 7 June 2011 laying down detailed rules for the application of Council Regulation (EC) No 1234/2007 in respect of the fruit and vegetables and processed fruit and vegetables sectors ( 2 ) , and in particular Article 136(1) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Implementing Regulation (EU) No 543/2011 lays down, pursuant to the outcome of the Uruguay Round multilateral trade negotiations, the criteria whereby the Commission fixes the standard values for imports from third countries, in respect of the products and periods stipulated in Annex XVI, Part A thereto.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The standard import value is calculated each working day, in accordance with Article 136(1) of Implementing Regulation (EU) No 543/2011, taking into account variable daily data. Therefore this Regulation should enter into force on the day of its publication in the<span>Official Journal of the European Union</span>,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The standard import values referred to in Article 136 of Implementing Regulation (EU) No 543/2011 are fixed in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the day 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, 11 July 2016.
For the Commission,
On behalf of the President,
Jerzy PLEWA
Director-General for Agriculture and Rural Development
( 1 ) OJ L 347, 20.12.2013, p. 671 .
( 2 ) OJ L 157, 15.6.2011, p. 1 .
ANNEX
Standard import values for determining the entry price of certain fruit and vegetables
<table><col/><col/><col/><tbody><tr><td><p>(EUR/100 kg)</p></td></tr><tr><td><p>CN code</p></td><td><p>Third country code<a> (<span>1</span>)</a></p></td><td><p>Standard import value</p></td></tr><tr><td><p>0702 00 00</p></td><td><p>MA</p></td><td><p>168,9</p></td></tr><tr><td><p>ZZ</p></td><td><p>168,9</p></td></tr><tr><td><p>0709 93 10</p></td><td><p>TR</p></td><td><p>136,8</p></td></tr><tr><td><p>ZZ</p></td><td><p>136,8</p></td></tr><tr><td><p>0805 50 10</p></td><td><p>AR</p></td><td><p>179,4</p></td></tr><tr><td><p>BO</p></td><td><p>217,8</p></td></tr><tr><td><p>CL</p></td><td><p>185,5</p></td></tr><tr><td><p>TR</p></td><td><p>134,0</p></td></tr><tr><td><p>UY</p></td><td><p>192,8</p></td></tr><tr><td><p>ZA</p></td><td><p>148,0</p></td></tr><tr><td><p>ZZ</p></td><td><p>176,3</p></td></tr><tr><td><p>0808 10 80</p></td><td><p>AR</p></td><td><p>154,8</p></td></tr><tr><td><p>BR</p></td><td><p>97,4</p></td></tr><tr><td><p>CL</p></td><td><p>126,7</p></td></tr><tr><td><p>CN</p></td><td><p>102,6</p></td></tr><tr><td><p>NZ</p></td><td><p>145,5</p></td></tr><tr><td><p>ZA</p></td><td><p>316,8</p></td></tr><tr><td><p>ZZ</p></td><td><p>157,3</p></td></tr><tr><td><p>0808 30 90</p></td><td><p>AR</p></td><td><p>129,1</p></td></tr><tr><td><p>CL</p></td><td><p>128,1</p></td></tr><tr><td><p>CN</p></td><td><p>91,9</p></td></tr><tr><td><p>NZ</p></td><td><p>154,1</p></td></tr><tr><td><p>ZA</p></td><td><p>118,2</p></td></tr><tr><td><p>ZZ</p></td><td><p>124,3</p></td></tr><tr><td><p>0809 10 00</p></td><td><p>TR</p></td><td><p>206,7</p></td></tr><tr><td><p>ZZ</p></td><td><p>206,7</p></td></tr><tr><td><p>0809 29 00</p></td><td><p>TR</p></td><td><p>321,0</p></td></tr><tr><td><p>ZZ</p></td><td><p>321,0</p></td></tr></tbody></table>
<note>
( 1 ) Nomenclature of countries laid down by Commission Regulation (EU) No 1106/2012 of 27 November 2012 implementing Regulation (EC) No 471/2009 of the European Parliament and of the Council on Community statistics relating to external trade with non-member countries, as regards the update of the nomenclature of countries and territories ( OJ L 328, 28.11.2012, p. 7 ). Code ‘ZZ’ stands for ‘of other origin’.
</note> | ENG | 32016R1122 |
<table><col/><col/><col/><col/><tbody><tr><td><p>29.9.2023   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 242/576</p></td></tr></tbody></table>
DECISION (EU) 2023/1973 OF THE EUROPEAN PARLIAMENT
of 10 May 2023
on the closure of the accounts of the European High Performance Computing Joint Undertaking for the financial year 2021
THE EUROPEAN PARLIAMENT,
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the final annual accounts of the European High Performance Computing Joint Undertaking for the financial year 2021,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Court of Auditors’ annual report on the EU Joint Undertakings for the financial year 2021, together with the Joint Undertakings’ replies <a>(<span>1</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the statement of assurance <a>(<span>2</span>)</a> as to the reliability of the accounts and the legality and regularity of the underlying transactions provided by the Court of Auditors for the financial year 2021, pursuant to Article 287 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Council’s recommendation of 28 February 2023 on discharge to be given to the Joint Undertaking in respect of the implementation of the budget for the financial year 2021 (06252/2023 – C9-0110/2023),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Article 319 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 <a>(<span>3</span>)</a>, and in particular Article 71 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Council Regulation (EU) 2018/1488 of 28 September 2018 establishing the European High Performance Computing Joint Undertaking <a>(<span>4</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Council Regulation (EU) 2021/1173 of 13 July 2021 on establishing the European High Performance Computing Joint Undertaking and repealing Regulation (EU) 2018/1488 <a>(<span>5</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Commission Delegated Regulation (EU) 2019/887 of 13 March 2019 on the model financial regulation for public-private partnership bodies referred to in Article 71 of Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council <a>(<span>6</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Rule 100 of and Annex V to its Rules of Procedure,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the report of the Committee on Budgetary Control (A9-0089/2023),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><span>Approves the closure of the accounts of the European High Performance Computing Joint Undertaking for the financial year 2021;</span></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><span>Instructs its President to forward this decision to the Executive Director of the European High Performance Computing Joint Undertaking, the Council, the Commission and the Court of Auditors, and to arrange for its publication in the<span>Official Journal of the European Union</span> (L series).</span></td></tr></tbody></table>
The President
Roberta METSOLA
The Secretary-General
Alessandro CHIOCCHETTI
<note>
( 1 ) OJ C 433, 15.11.2022, p. 52 .
( 2 ) OJ C 399, 17.10.2022, p. 240 .
( 3 ) OJ L 193, 30.7.2018, p. 1 .
( 4 ) OJ L 252, 8.10.2018, p. 1 .
( 5 ) OJ L 256, 19.7.2021, p. 3 .
( 6 ) OJ L 142, 29.5.2019, p. 16 .
</note> | ENG | 32023B1973 |
<table><tr><td><p><span><img/></span></p></td><td><p><span>EUROPEAN COMMISSION</span></p></td></tr></table>
Brussels, 30.8.2017
PUBLIC VERSION
C(2017) 6033 final
To the notifying parties:
Subject : Case M.8409 - PROSIEBENSAT 1 MEDIA / TELEVISION FRANCAISE 1 / MEDIASET / JV Commission decision pursuant to Article 6(1)(b) of Council Regulation (EC) No 139/2004 1 and Article 57 of the Agreement on the European Economic Area 2
Dear Sir or Madam,
1. On 27 July 2017 , the European Commission received notification of a proposed concentration pursuant to Article 4 of the Merger Regulation by which the undertakings ProSiebenSat.1 Media SE ('P7S1', Germany), Television Française 1 S.A. ('TF1', France), belonging to the Bouygues Group and Mediaset S.p.A . (' Mediaset ', Italy), controlled by the Fininvest group acquire within the meaning of Article 3(1)(b) and 3(4) of the Merger Regulation joint control of a newly created company constituting a joint venture (the 'JV)' by way of a purchase of shares . 3
2. The business activities of the undertakings concerned are:
- for P 7 S 1: the holding company of one of Germany’s major free-to-air television networks. The core business of P7S1 and its subsidiaries is free-to-air television financed by advertising offered in Germany, Austria and Switzerland. In addition, P7S1 is mainly active in the areas of multimedia and merchandising.
- for TF1: the holding company of one of France’s major free-to-air television networks. TF1 and its subsidiaries operate French-language free-to-air and pay-TV channels and are engaged in various business activities related to the audio-visual sector. TF1 is part of the Bouygues Group, a diversified group of companies with activities in the construction, telecoms and media sectors.
- for Mediaset : the holding company of one of Italy’s major television networks. Through its controlling stake in Mediaset España Comunicación S.A., Mediaset also holds one of Spain’s major TV networks. They operate Italian-language and Spanish-language free-to-air television and pay-TV channels and are engaged in various business activities related to the audio-visual sector including the sale of advertising across various distribution platforms. Mediaset is part of the Fininvest group of companies with activities in the media, publishing, sports and financial sectors .
- for the JV: international marketing and sale of video advertising inventory served before, during and after video content available on digital media operated by the Parties or by third parties.
3. After examination of the notification, the European Commission has concluded that the notified operation falls within the scope of the Merger Regulation and of paragraph 5 (a) of the Commission Notice on a simplified procedure for treatment of certain concentrations under Council Regulation (EC) No 139/2004 . 4
4. For the reasons set out in the Notice on a simplified procedure, the European Commission has decided not to oppose the notified operation and to declare it compatible with the internal market and with the EEA Agreement. This decision is adopted in application of Article 6(1)(b) of the Merger Regulation and Article 57 of the EEA Agreement .
For the Commission
(Signed)
Johannes LAITENBERGER Director - General
<note>
(1) OJ L 24, 29.1.2004, p. 1 ( the ' Merger Regulation ' ). With effect from 1 December 2009, the Treaty on the Functioning of the European Union ( ' TFEU ' ) has introduced certain changes, such as the replacement of ' Community ' by ' Union ' and ' common market ' by ' internal market ' . The terminology of the TFEU will be used throughout this decision.
(2) OJ L 1, 3.1.1994, p. 3 ( the ' EEA Agreement ' ).
(3) Publication in the Official Journal of the European Union No C 253 , 04.08.2017 , p. 10 .
(4) OJ C 366, 14.12.2013, p. 5 .
</note> | ENG | 32017M8409 |
<table><col/><col/><col/><col/><tbody><tr><td><p>20.5.2014   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 152/21</p></td></tr></tbody></table>
DECISION No E4
of 13 March 2014
concerning the transitional period as defined in Article 95 of Regulation (EC) No 987/2009 of the European Parliament and of the Council
(Text of relevance to the EEA and to the EC/Switzerland Agreement)
(2014/C 152/04)
THE ADMINISTRATIVE COMMISSION FOR THE COORDINATION OF SOCIAL SECURITY SYSTEMS,
Having regard to Article 72(d) of Regulation (EC) No 883/2004 on the coordination of social security systems ( 1 ) , under which the Administrative Commission is responsible to encourage as far as possible the use of new technologies, in particular by modernising procedures for exchanging information and adapting the information flow between institutions for the purposes of exchange by electronic means, taking into account the development of data processing in each Member State,
Having regard to Article 4 of Regulation (EC) No 987/2009 of the European Parliament and of the Council of 16 September 2009 laying down the procedure for implementing Regulation (EC) No 883/2004 of 29 April 2004 on the coordination of social security systems ( 2 ) , under which the Administrative Commission is empowered to lay down the structure, content, format and detailed arrangements for the exchange of documents and structured electronic documents and to lay down the practical arrangements for sending information, documents or decisions by electronic means to the person concerned,
Having regard to Article 95(1), first and second subparagraph, of Regulation (EC) No 987/2009, concerning the transitional period, stating that each Member State may benefit from a transitional period for exchanging data by electronic means and that these transitional periods shall not exceed 24 months from the date of entry into force of the implementing Regulation,
Having regard to Article 95(1), third subparagraph, of Regulation (EC) No 987/2009, under which the Administrative Commission may agree on any appropriate extension of these periods if the delivery of the necessary central infrastructure (Electronic Exchange of Social Security Information – EESSI) is significantly delayed with regard to the entry into force of the implementing Regulation.
Acting in accordance with the conditions laid down in Article 71(2), second subparagraph, of Regulation (EC) No 883/2004,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 95 of Regulation (EC) No 987/2009 provides for a transitional period of 24 months from its entry into force to allow Member States to implement and integrate the necessary national infrastructure for exchanging data by electronic means.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Article 95 of Regulation (EC) No 987/2009 empowers the Administrative Commission to agree on an extension of the transitional period for Member States if the delivery of the central infrastructure is significantly delayed.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The Administrative Commission has conducted an overall assessment of the situation of the project, both at EU and national levels, based on the analysis from the European Commission and from the EESSI Project Steering Committee and EESSI Executive Board.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>According to this assessment, an extension of the transitional period is considered to be necessary in order to ensure the effective implementation of the EESSI system, taking into account the progress of preparations both at EU and national levels.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Considering the technical complexity of the project, the Administrative Commission considers it appropriate to extend the transitional period in a flexible way, allowing for 2 years for the Member States to implement and integrate the necessary national infrastructure from the date when it has confirmed that the central EESSI system is fit for purpose.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The Administrative Commission, taking into account the recommendations of the EESSI project Steering Committee, urges the European Commission to accompany the timeframe covering the development and testing of the central EESSI system leading up to its readiness for production with a robust planning and end date, with the highest possible level of accuracy, and to keep the Member States informed about this projected date through its usual communication channels.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The Administrative Commission, however, encourages Member States to start the electronic data exchange as soon as possible, without delay, to limit the period of parallel paper and electronic exchange as much as possible, in accordance with the intermediate milestones to be defined by the Administrative Commission, based on a proposal from the EESSI Executive Board.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>The Administrative Commission notes the role of the Executive Board and its mandate to provide leadership and direction to the EESSI Programme.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>In accordance with Article 95(1) of Regulation (EC) No 987/2009, the Administrative Commission may review this decision on the basis of the overall planning and analysis of the EESSI Executive Board.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>Decision No E1 of 12 June 2009 concerning the practical arrangements for the transitional period for the data exchange via electronic means referred to in Article 4 of Regulation (EC) No 987/2009 of the European Parliament and of the Council<a> (<span>3</span>)</a>, will continue to apply mutatis mutandis during the extended period.</p></td></tr></tbody></table>
HAS DECIDED AS FOLLOWS:
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The transitional period, referred to in Article 95(1) of Regulation (EC) No 987/2009 for the full exchange of data by electronic means by the Member States will be extended and the final date of the transitional period will be set based on the following algorithm: 2 years from the date when the central EESSI system will be developed, tested and delivered into production, ready for Member States to start the integration to the central system.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>The European Commission shall inform the Member States about the projected date for delivery of the central EESSI system by providing regular updates about the status of the project at the Administrative Commission meetings.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>The central EESSI system is considered delivered into production when all the components of the central EESSI system have been developed, tested and agreed as fit for purpose by the European Commission following consultation with the Executive Board.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>At the first meeting of the Administrative Commission following the European Commission decision as defined at paragraph 3, the decision will be presented to the Administrative Commission for endorsement. The 2 year period as defined at paragraph 1, allowing Member States to integrate to the central EESSI system will commence on the date the Administrative Commission Decision confirms that the central EESSI system is fit for purpose.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>This Decision shall be published in the<span>Official Journal of the European Union</span>. It shall apply from the date of its publication in the<span>Official Journal of the European Union</span>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>This Decision replaces Decision No E3 of 19 October 2011.</p></td></tr></tbody></table>
The Chair of the Administrative Commission
Anna RIZOU
<note>
( 1 ) OJ L 166, 30.4.2004, p. 1 (Corrigendum OJ L 200, 7.6.2004, p. 1 ) as amended by Council Regulation (EU) No 517/2013 ( OJ L 158, 10.6.2013, p. 1 ).
( 2 ) Regulation (EC) No 987/2009 of the European Parliament and of the Council of 16 September 2009 laying down the procedure for implementing Regulation (EC) No 883/2004 on the coordination of social security systems ( OJ L 284, 30.10.2009, p. 1 ) as amended by Commission Regulation (EU) No 1224/2012 of 18 December 2012 ( OJ L 349, 19.12.2012, p. 45 ).
( 3 ) OJ C 106, 24.4.2010, p. 9 .
</note> | ENG | 32014D0520(03) |
<table><col/><col/><col/><col/><tbody><tr><td><p>29.7.2014   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 247/42</p></td></tr></tbody></table>
COUNCIL RECOMMENDATION
of 8 July 2014
on the National Reform Programme 2014 of France and delivering a Council opinion on the Stability Programme of France, 2014
2014/C 247/09
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 121(2) and 148(4) thereof,
Having regard to Council Regulation (EC) No 1466/97 of 7 July 1997 on the strengthening of the surveillance of budgetary positions and the surveillance and coordination of economic policies ( 1 ) , and in particular Article 5(2) thereof,
Having regard to Regulation (EU) No 1176/2011 of the European Parliament and of the Council of 16 November 2011 on the prevention and correction of macroeconomic imbalances ( 2 ) , and in particular Article 6(1) thereof,
Having regard to the recommendation of the European Commission,
Having regard to the resolutions of the European Parliament,
Having regard to the conclusions of the European Council,
Having regard to the opinion of the Employment Committee,
Having regard to the opinion of the Economic and Financial Committee,
Having regard to the opinion of the Social Protection Committee,
Having regard to the opinion of the Economic Policy Committee,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 26 March 2010, the European Council agreed to the Commission's proposal to launch a new strategy for growth and jobs, Europe 2020, based on enhanced coordination of economic policies, which focuses on the key areas where action is needed to boost Europe's potential for sustainable growth and competitiveness.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>On 13 July 2010, the Council, on the basis of the Commission's proposals, adopted a Recommendation on the broad guidelines for the economic policies of the Member States and the Union (2010 to 2014) and, on 21 October 2010, it adopted a decision on guidelines for the employment policies of the Member States<a> (<span>3</span>)</a>, which together form the ‘integrated guidelines’. Member States were invited to take the integrated guidelines into account in their national economic and employment policies.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>On 29 June 2012, the Member States' Heads of State or Government decided on a Compact for Growth and Jobs, providing a coherent framework for action at national, EU and euro area levels using all possible levers, instruments and policies. They decided on action to be taken at the level of the Member States, in particular expressing full commitment to achieving the objectives of the Europe 2020 strategy and to implementing the country-specific recommendations.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>On 9 July 2013, the Council adopted a Recommendation<a> (<span>4</span>)</a> on France's National Reform Programme for 2013 and delivered its opinion on France's updated Stability Programme for 2012-2017. On 15 November 2013, in line with Regulation (EU) No 473/2013 of the European Parliament and of the Council<a> (<span>5</span>)</a>, the Commission presented its opinion on France's draft budgetary plan for 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>On 13 November 2013, the Commission adopted the Annual Growth Survey, marking the start of the 2014 European Semester for economic policy coordination. Also, on 13 November 2013, the Commission, on the basis of Regulation (EU) No 1176/2011, adopted the Alert Mechanism Report, in which it identified France as one of the Member States for which an in-depth review would be carried out.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>On 20 December 2013, the European Council endorsed the priorities for ensuring financial stability, fiscal consolidation and action to foster growth. It underscored the need to pursue differentiated, growth-friendly fiscal consolidation, to restore normal lending conditions to the economy, to promote growth and competitiveness, to tackle unemployment and the social consequences of the crisis, and to modernise public administration.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>On 5 March 2014, the Commission published the results of its in-depth review for France, under Article 5 of Regulation (EU) No 1176/2011. The Commission's analysis leads it to conclude that France continues to experience macroeconomic imbalances, which require specific monitoring and decisive policy action. In particular, the deterioration in the trade balance and in competitiveness and the implications of the high level of public sector indebtedness deserve continuous policy attention.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>On 5 March 2014, the Commission recommended that France make further efforts to ensure full compliance with the Council recommendation under the Excessive Deficit Procedure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>On 7 May 2014, France submitted its 2014 National Reform Programme and its 2014 Stability Programme. In order to take account of their interlinkages, the two programmes have been assessed at the same time.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The objective of the budgetary strategy outlined in the 2014 Stability Programme is to correct the excessive deficit by 2015 and reach the medium-term objective in 2017. The Stability Programme confirms the previous medium-term objective of a balanced budget in structural terms, which is more stringent than what the Stability and Growth Pact requires. The Stability Programme plans to bring the deficit to 3 % of GDP in 2015, above the target set in the Council recommendation of 21 June 2013. Thereafter, the planned (recalculated) annual progress towards the medium-term objective is lower than the minimum requirement of 0,5 % of GDP. Overall, the budgetary strategy outlined in the Stability Programme is only partly in line with the requirements of the Stability and Growth Pact. The Stability Programme projects that the government debt will peak at 95,6 % of GDP in 2014 and 2015 and then drop to 91,9 % in 2017. The macroeconomic scenario underpinning the budgetary projections in the Stability Programme is plausible for 2014 and slightly optimistic for 2015, with GDP projected to grow by 1,0 % and 1,7 % this year and next respectively, against 1,0 % and 1,5 % according to the Commission services 2014 spring forecast. In April 2014, the independent High Council for Public Finances (‘Haut Conseil des finances publiques’) issued an opinion on the macroeconomic scenario of the Stability Programme. The Stability Programme outlines a number of additional measures for 2014, among which the cancellation of ministerial appropriations to be adopted as part of a supplementary budget and the first effects of the EUR 50 billion savings plan announced by the Government.</p><p>On this basis, and also taking into account the fact that the fiscal effort achieved in 2013 was higher than expected at the time of the Commission recommendation, the Stability Programme can be considered to broadly respond to the Commission recommendation. The level of detail of the fiscal consolidation measures is insufficient to credibly ensure the correction of the excessive deficit situation by 2015, as supported by the Commission forecast of a deficit at 3,4 % of GDP next year and an underlying structural adjustment falling well short of the level recommended by the Council. Moreover, risks to the government's targets are tilted to the downside. In particular, part of the additional measures for 2014 announced in the Stability Programme remains to be adopted and the planned amount of savings for 2015 is very ambitious. Based on the Commission forecast, the fiscal effort over 2013-2014 falls short by 0,2 percentage points of GDP in terms of (corrected) change in the structural balance and by at least 0,1 percentage points of GDP in terms of the amount of measures estimated as necessary at the time of the Council recommendation. Based on its assessment of the Stability Programme and the Commission forecast, pursuant to Regulation (EC) No 1466/97, the Council is of the opinion that the measures underpinning the budgetary strategy need to be specified further and that further efforts are needed to comply with the Council recommendation and to ensure an appropriate path towards the medium-term objective thereafter. In particular, additional efforts should be spelled out in the forthcoming amending budget law for 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>Given the high and still increasing government debt and the fact that the deadline for correcting the excessive deficit was extended to 2015, it is all the more important that the 2014 budget is strictly implemented and substantial consolidation efforts are firmly pursued in 2015. In particular, public spending should grow at a much slower pace than in previous years, as planned by the Government. Hence, there is a need to further specify the strategy on reducing expenditure by intensifying the ongoing spending review and by redefining, where relevant, the scope of government action. Sizeable short-term savings cannot be achieved without reducing significantly the increase in social security spending, which accounts for nearly half of public sector expenditure.</p><p>This implies curbing healthcare and pension costs, for example through setting more ambitious annual healthcare expenditure targets and temporarily freezing pensions, as well as other social benefits, as currently envisaged by the Government. In addition, the planned new decentralisation law should streamline the various administrative layers in France to eliminate administrative overlap and achieve further synergies, efficiency gains and savings by merging or suppressing administrative layers. In this respect, not only the structural reforms outlined in the Stability Programme will take effect only in the medium term, although the planned timetable has been brought forward since the Stability Programme, but they are also subject to significant implementation risks. The control of local government expenditure should also be strengthened, including by capping the annual increase in local government tax revenue, taking into account existing ceilings on a number of local taxes, while rigorously implementing the planned reduction in grants from the central government. Beyond the need for savings in the short run, the long-term sustainability of public finances is also an issue of concern.</p><p>While public expenditure on health has been kept under control over the last few years, further efforts are needed to improve the cost-effectiveness of the health system. In particular, there is a need to implement further cost-containment policies as the health system is projected to face a significant rise in expenditure over the medium and long term. Areas where efficiency should be enhanced include pharmaceutical and administrative spending as well as hospital care. Lastly, a pension reform was adopted in December 2013 with a view to ensuring the long-term sustainability of the system. However the pension reform will not suffice to eliminate the system's deficit, in particular the deficit arising from schemes for state government officials and employees working in a number of state-controlled companies and All in all, according to projections from the French authorities, the new pension measures will only halve the system's total deficit to some 0,5 % of GDP by 2020. Moreover, the size of the adjustment is subject to significant risks as the macroeconomic scenario underpinning these projections could prove overly optimistic. The newly created pensions monitoring committee (‘Comité de suivi des retraites’) should ensure that the system's deficit is gradually eliminated.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>France is among the Member States where the cost of labour is the highest. In particular, the high tax burden on labour reduces firms' profitability and weighs on employment. In order to support cost competitiveness, the Government has taken a number of initiatives to reduce the tax burden on labour. A tax rebate for competitiveness and employment (CICE), equivalent to a decrease in the cost of labour for wages below 2,5 times the minimum wage, was adopted in December 2012. A further EUR 10 billion cut in the cost of labour was announced as part of a ‘responsibility and solidarity pact’ in January 2014. The two measures will account for EUR 30 billion or 1,5 % of GDP, which is commensurate with the overall increase in corporate taxation recorded in 2010-2013 and would only bridge half of the gap between France and the euro area average in terms of employer social security contributions. Moreover, exporting firms, which tend to pay high wages, will benefit less from the CICE than non-exporting firms, thus reducing the impact of the measure on competitiveness. The responsibility and solidarity pact includes a reduction in the cost of labour for low wages and one targeting wages between 1,6 and 3,5 times the minimum wage. The latter measure, expected to enter into force from 2016, would have a more direct impact on exporting firms. Wage-setting in France tends to result in distortions of the wage structure and limit the ability of firms to adjust wages in economic downturns. The High Council for the Financing of Social Protection (‘Haut Conseil du financement de la protection sociale’) has assessed the impact of various scenarios for social security exemptions on employment, but limited emphasis has been put on the impact on wage developments and competitiveness.</p><p>However, although extensive exemptions were granted, for workers paid the minimum wage, the cost of labour at the minimum wage remains high. These exemptions contributed to containing labour costs in 2013, which is a positive development, but the level of the minimum wage in France remains high when compared to other Member States'. The minimum wage should therefore continue to evolve in a manner that is supportive of competitiveness and job creation. France has only few exemptions from the statutory minimum wage and additional efforts could be made to reduce the cost of labour for vulnerable groups.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>France's global ranking in a number of international business environment surveys has deteriorated. While efforts have been made as part of a ‘simplification shock’ launched in July 2013 to ease relations between firms and the administration, there is a need for further improving the business environment. In addition, a number of measures considered under the simplification plan still need to be defined and implemented. In particular, specific attention should be paid to regulations from the labour code or to accounting rules linked to specific size thresholds that hamper the growth of French firms. These may play a role in SMEs' difficulties in reaching the size that would allow them to export and to innovate. Policy initiatives to boost R&D spending and innovation by private companies, in particular the tax credit on research and the competitiveness poles, have yielded mixed results so far. The decreasing weight of the industrial sector in the French private sector translates into stagnating R&D spending by private companies despite significant efforts at the firm level. As a consequence, a large proportion of R&D spending remains financed by public money either directly through public research or indirectly through subsidies. The effectiveness of the existing tools should be further improved in order to trigger higher R&D expenditures by private firms and innovation in the private sector. In particular, resources allocated to the competitiveness poles could better foster scale effects and improve the diffusion of innovation. In addition, the effectiveness of the policy could be strengthened by enabling these poles to become real networks of firms with positive spillovers. Lastly, the cost of the tax credit on research is expected to reach EUR 5,8 billion in 2014 (close to 0,3 % of GDP). In spite of the cost of this measure, no ex post assessment of its effectiveness on R&D taking into account latest reforms is available.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>Although barriers on legal forms, shareholding requirements or tariffs have been removed for certain professions (e.g. veterinarians, accountants), and new measures for improving competition have been adopted through the recent Consumption Law, some professions still face significant barriers to entry or conduct today (e.g. taxis, the health sector, notaries and legal professions more generally). The principle of numerus clausus for access to many professions (doctors, pharmacists, etc.) is still hampering access to services, and could be reviewed without putting quality and safety at risk. To date no thorough assessment of the need for, and proportionality of, restrictions affecting regulated professions has taken place. In the retail sector, burdensome authorisation requirements for the opening of trade outlets, in particular resulting from urban planning regulations, and the ban on sales at a loss still remain and have an adverse impact on competition and on consumers. To date, no concrete measures have been adopted in France to remove entry barriers in the retail sector. Regarding electricity and gas distribution, regulated prices are being phased out for non-household customers. However, prices continue to be regulated for households and for electricity, they are set below cost levels and the access by alternative suppliers is limited. Regarding energy interconnections, ongoing projects, in particular with Spain, should be completed to reinforce the electricity and gas interconnections with the neighbouring countries. In the railway sector, market entry barriers are still preventing an efficient market functioning. France has not opened up its domestic rail passenger market to competition, except for international services, where there are few new entrants. It has launched a reform of its railway system with a view to making it more financially sustainable. A draft law was presented in October 2013 and is currently being discussed by Parliament. The measures presented include the setting-up of a fully-fledged infrastructure manager within a vertically integrated structure including the incumbent operator. This new structure may hamper access to the network by alternative operators.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>France has a high and rising overall tax burden. In 2013, the tax-to-GDP ratio stood at 45,9 %, one of the highest in the Union and up by 3,3 percentage points since fiscal consolidation started in 2010. Against this background, a special committee (‘Assises de la fiscalité’) has provided input to a reform of the tax system. Little progress has been made so far in lowering the statutory rates of personal and corporate income tax and increasing VAT efficiency. Instead, a temporary surcharge on large companies has been extended until 2015 and this will result in the all-in statutory corporate income tax rate peaking at 38,1 % (the statutory rate is already one of the highest in the Union at 33,3 %). The Government has announced the progressive suppression of the corporate social solidarity contribution (‘C3S’) and a gradual reduction in the statutory rate to 28 % by 2020. On the latter, there is no detailed information on the exact timing of the measure. Limited progress has also been made over the last year in reducing and streamlining income tax expenditures. In spite of some progress in the area of environmental taxation (e.g. with the gradual introduction of a carbon tax or ‘contribution climat énergie’), the share of environmental taxation in GDP continues to remain low. In particular, excise duties in France are not indexed with inflation and some important environmentally-harmful subsidies, such as the preferential rate of excise duty for diesel, remain. Lastly, no additional measures were taken in 2013 to address the debt bias in corporate taxation with a view to preventing a further increase in private indebtedness.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>Although a number of policy measures were taken in France, the situation on the labour market continued to deteriorate in 2013 and significant challenges remain. Unemployment continued to increase to 10,3 % in 2013 (against 7,5 % in 2008). France's labour market remains segmented with very low levels of transitions from temporary to permanent contracts (the likelihood of moving from a temporary to a permanent job was only 10,6 % in 2010, as against 25,9 % on average in the Union). The inter-professional agreement on securing employment was translated into a law adopted in July 2013. Although this reform is a positive step, its impact remains uneven at this stage. In particular, very few companies have made use of the arrangements for company-level agreements created by the law to increase the flexibility of work conditions in the event of temporary economic difficulties. However, the rate of effective dismissals brought to court has been significantly reduced. While negotiations took place in 2014 between social partners to reform the unemployment benefit system, the new agreement is not expected to substantially reduce the deficit of the system. The cumulated deficit of the unemployment benefit system, which was close to 1 % of GDP in 2013, calls for additional structural measures to ensure its sustainability. In particular, some elements, such as the eligibility conditions, the degressivity of benefits over time or the replacement rates for workers with the highest wages were only marginally modified following the last agreement between social partners in March 2014, and they should be further adapted to ensure that incentives to work are adequate. Thanks to successive pension reforms, the employment rate of workers between 55 and 64 years of age has seen a constant increase in the past three years.</p><p>However, the employment rate among older workers in France (45,6 % in 2013) remains well below the average in the Union ( - 4,5 percentage points below) and only 55 % of older workers in France retire directly after employment (2008-2011). As a result, the unemployment rate for this group has increased strongly over the last few years. Hence, there is a need to strengthen measures to improve their employability while reviewing incentives for them to stay in or return to work.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>The 2013 Programme for International Student Assessment survey showed that educational inequality in France is amongst the highest in OECD countries. A sixth of young people in France leave education and training without a qualification. This is particularly worrying as the unemployment rate of young people was 25,5 % at the end of 2013 and as the risk of being unemployed was almost two times higher for the least qualified young people. Schemes to promote apprenticeships should reach in particular the least qualified young people. Some progress in addressing this issue was made through the launch of the reform of compulsory education in July 2013 and the adoption of a law on vocational education and lifelong learning in March 2014. However, it is too early to assess whether these measures will effectively reduce inequalities in the education system and a new plan targeting lower-secondary education schools in disadvantaged areas announced in January 2014, still needs to be implemented. Lastly, the transition from school to work has been facilitated but the number of apprentices decreased in 2012 and the schemes increasingly benefitted students in higher education.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>In the context of the European Semester, the Commission has carried out a comprehensive analysis of France's economic policy. It has assessed the National Reform Programme and the Stability Programme. It has taken into account not only their relevance for sustainable fiscal and socio-economic policy in France but also their compliance with EU rules and guidance, given the need to reinforce the overall economic governance of the Union by providing EU-level input into future national decisions. Its recommendations under the European Semester are reflected in recommendations (1) to (7) below.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>In the light of this assessment, the Council has examined the Stability Programme, and its opinion<a> (<span>6</span>)</a> is reflected in particular in recommendation (1) below.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>In the light of the Commission's in-depth review and this assessment, the Council has examined the National Reform Programme and the Stability Programme. Its recommendations under Article 6 of Regulation (EU) No 1176/2011 are reflected in recommendations (1) to (6) below.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>In the context of the European Semester the Commission has also carried out an analysis of the economic policy of the euro area as a whole. On this basis, the Council has issued specific recommendations addressed to the Member States whose currency is the euro<a> (<span>7</span>)</a>. As a country whose currency is the euro, France should also ensure the full and timely implementation of those recommendations,</p></td></tr></tbody></table>
HEREBY RECOMMENDS that France take action within the period 2014-2015 to:
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Reinforce the budgetary strategy, including by further specifying the underlying measures, for the year 2014 and beyond to ensure the correction of the excessive deficit in a sustainable manner by 2015 through achieving the structural adjustment effort specified in the Council recommendation under the Excessive Deficit Procedure. A durable correction of the fiscal imbalances requires a credible implementation of ambitious structural reforms to increase the adjustment capacity and boost growth and employment. After the correction of the excessive deficit, pursue a structural adjustment towards the medium-term objective of at least 0,5 % of GDP each year, and more in good economic conditions or if needed to ensure that the debt rule is met in order to put the high general government debt ratio on a sustained downward path. Step up efforts to achieve efficiency gains across all sub-sectors of general government, including by redefining, where relevant, the scope of government action. In particular, take steps to reduce significantly the increase in social security spending as from 2015 as planned, by setting more ambitious annual healthcare spending targets, containing pension costs, and streamlining family benefits and housing allowances. Set a clear timetable for the ongoing decentralisation process and take first steps by December 2014, with a view to eliminating administrative duplication, facilitating mergers between local governments and clarifying the responsibilities of each layer of local government. Reinforce incentives to streamline local government expenditure, by capping the annual increase in local government tax revenue while reducing grants from the central government as planned. Beyond the need for short-term savings, take steps to tackle the increase in public expenditure on health projected over the medium and long term, including in the area of pharmaceutical spending, and take additional measures when and where needed to bring the pension system into balance by 2020 in a sustainable manner covering all schemes, with a special focus on existing special schemes and complementary schemes.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Ensure that the labour cost reduction resulting from the ‘crédit d'impôt compétitivité emploi’ is sustained. Take action to further lower employer social security contributions in line with commitments under the responsibility and solidarity pact, making sure that no other measures offset its effect and that the targeting currently envisaged is maintained. Further evaluate the economic impact of social security contribution exemptions, putting the emphasis on employment, wage developments and competitiveness and take appropriate measures if necessary. Further reduce the cost of labour in a budget neutral way, namely at the lower end of the wage scale in particular through targeted reductions in employer social security contributions taking into account the various wage support schemes.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>Simplify companies' administrative, fiscal and accounting rules and take concrete measures to implement the Government's ongoing ‘simplification plan’ by December 2014. Eliminate regulatory impediments to companies' growth, in particular by reviewing size‐related criteria in regulations to avoid thresholds effects. Take steps to simplify and improve the efficiency of innovation policy, in particular through evaluations taking into account latest reforms and if necessary an adaptation of the ‘crédit d'impôt recherche’. Ensure that resources are focused on the most effective competitiveness poles and further promote the economic impact of innovation developed in the poles.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>Remove unjustified restrictions on the access to and exercise of regulated professions and reduce entry costs and promote competition in services. Take further action to reduce the regulatory burden affecting the functioning of the retail sector, in particular by simplifying authorisations for the opening of trade outlets and removing the ban on sales at a loss. While maintaining affordable conditions for vulnerable groups, ensure that regulated gas and electricity tariffs for household customers are set at an appropriate level which does not represent an obstacle to competition. Strengthen electricity and gas interconnection capacity with Spain; in particular, increase the gas interconnections capacity to fully integrate the Iberian gas market with the European market. In the railway sector, ensure the independence of the new unified infrastructure manager from the incumbent operator and take steps to open domestic passenger transport to competition in line with the provisions of, and the calendar that will be decided by, the forthcoming directives.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>Reduce the tax burden on labour and step up efforts to simplify and increase the efficiency of the tax system. To this end, starting in the 2015 budget, take measures to: remove inefficient personal and corporate income tax expenditures on the basis of recent assessments and the ‘Assises de la fiscalité’ initiative while reducing the statutory rates; take additional measures to remove the debt bias in corporate taxation; broaden the tax base, in particular on consumption; phase out environmentally-harmful subsidies.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>Take further action to combat labour-market rigidity, in particular take measures to reform the conditions of the ‘accords de maintien de l'emploi’ to increase their take up by companies facing difficulties. Take additional measures to reform the unemployment benefit system in association with social partners, in order to guarantee its sustainability while ensuring that it provides adequate incentives to return to work. Ensure that older workers benefit from adequate counselling and training and re-assess the relevant specific unemployment benefit arrangements with respect to their situation on the labour market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>7.</p></td><td><p>Pursue the modernisation of vocational education and training, implement the reform of compulsory education, and take further actions to reduce educational inequalities in particular by strengthening measures on early school leaving. Ensure that active labour market policies effectively support the most vulnerable groups. Improve the transition from school to work, in particular by stepping up measures to further develop apprenticeship with a specific emphasis on the low-skilled.</p></td></tr></tbody></table>
Done at Brussels, 8 July 2014.
For the Council
The President
P. C. PADOAN
<note>
( 1 ) OJ L 209, 2.8.1997, p. 1 .
( 2 ) OJ L 306, 23.11.2011, p. 25 .
( 3 ) Maintained for 2014 by Council Decision 2014/322/EU of 6 May 2014 on guidelines for the employment policies of the Member States for 2014 ( OJ L 165, 4.6.2014, p. 49 ).
( 4 ) OJ C 217, 30.7.2013, p. 27 .
( 5 ) Regulation (EU) No 473/2013 of the European Parliament and of the Council of 21 May 2013 on common provisions for monitoring and assessing draft budgetary plans and ensuring the correction of excessive deficit of the Member States in the euro area ( OJ L 140, 27.5.2013, p.11 ).
( 6 ) Under Article 5(2) of Regulation (EC) No 1466/97.
( 7 ) See page 141 of the current Official Journal.
</note> | ENG | 32014H0729(09) |
<table><col/><col/><col/><col/><tbody><tr><td><p>27.9.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 243/2</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2018/1293
of 26 September 2018
amending Implementing Regulation (EU) 2017/2470 as regards the conditions of use of the novel food lactitol
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2015/2283 of the European Parliament and of the Council of 25 November 2015 on novel foods, amending Regulation (EU) No 1169/2011 of the European Parliament and of the Council and repealing Regulation (EC) No 258/97 and Commission Regulation (EC) No 1852/2001 ( 1 ) , and in particular Article 12 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Regulation (EU) 2015/2283 provides that only novel foods authorised and included in the Union list may be placed on the market within the Union.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Pursuant to Article 8 of Regulation (EU) 2015/2283, Commission Implementing Regulation (EU) 2017/2470 <a>(<span>2</span>)</a> was adopted, which establishes a Union list of authorised novel foods.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Pursuant to Article 12 of Regulation (EU) 2015/2283, the Commission is to decide on the authorisation and on the placing on the Union market of a novel food and on the updating of the Union list.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Commission Implementing Decision (EU) 2017/450 <a>(<span>3</span>)</a> authorised, in accordance with Regulation (EC) No 258/97 of the European Parliament and of the Council <a>(<span>4</span>)</a>, the placing on the market of lactitol as a novel food to be used in capsule or tablet in food supplements intended for the adult population.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>On 22 March 2018, the company DuPont Nutrition Biosciences ApS made a request to the Commission to change the conditions of use of the novel food lactitol within the meaning of Article 10(1) of Regulation (EU) 2015/2283. The application requested to include powder as an allowed form of lactitol to be used in food supplements.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The Commission did not request an opinion from the European Food Safety Authority in accordance with Article 10(3) as the amendment of the conditions of use of the novel food lactitol by including powder, as an allowed form of lactitol to be used in food supplements is not liable to have an effect on human health.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The maximum level of lactitol authorised by Implementing Decision (EU) 2017/450 as a novel food to be used in capsule or tablet in food supplements is 20 g/day. The proposed use level of the novel food lactitol in powder form in the same food category corresponds to the maximum level that is currently authorized. Therefore, it is appropriate to amend the conditions of use of lactitol to authorise its use in powder form at the existing maximum authorised level.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>The information provided in the application gives sufficient grounds to establish that the application for changing of the conditions of use of the novel food lactitol by including powder, as an allowed form of lactitol to be used in food supplements, comply with Article 12(2) of Regulation (EU) 2015/2283.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>Directive 2002/46/EC of the European Parliament and of the Council <a>(<span>5</span>)</a> lays down requirements on food supplements. The additional form of lactitol to be used in food supplements should be authorised without prejudice to that Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
1. The entry in the Union list of authorised novel foods as provided for in Article 8 of Regulation (EU) 2015/2283 referring to the substance lactitol shall be amended as specified in the Annex to this Regulation.
2. The entry in the Union list referred to in paragraph 1 shall include the conditions of use and labelling requirements laid down in the Annex to this Regulation.
3. The authorisation provided for in this Article shall be without prejudice to the provisions of Directive 2002/46/EC.
Article 2
The Annex to Implementing Regulation (EU) 2017/2470 is amended in accordance with the Annex to this Regulation.
Article 3
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, 26 September 2018.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 327, 11.12.2015, p. 1 .
( 2 ) Commission Implementing Regulation (EU) 2017/2470 of 20 December 2017 establishing the Union list of novel foods in accordance with Regulation (EU) 2015/2283 of the European Parliament and of the Council on novel foods ( OJ L 351, 30.12.2017, p. 72 ).
( 3 ) Commission Implementing Decision (EU) 2017/450 of 13 March 2017 authorising the placing on the market of lactitol as a novel food ingredient under Regulation (EC) No 258/97 of the European Parliament and of the Council ( OJ L 69, 15.3.2017, p. 31 ).
( 4 ) Regulation (EC) No 258/97 of the European Parliament and of the Council of 27 January 1997 concerning novel foods and novel food ingredients ( OJ L 43, 14.2.1997, p. 1 ).
( 5 ) Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements ( OJ L 183, 12.7.2002, p. 51 ).
ANNEX
The entry for ‘Lactitol’ in Table 1 (Authorised novel foods) of the Annex to Implementing Regulation (EU) 2017/2470 is replaced by the following:
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Authorised novel food</p></td><td><p>Conditions under which the novel food may be used</p></td><td><p>Additional specific labelling requirements</p></td><td><p>Other requirements</p></td></tr><tr><td><p>‘Lactitol</p></td><td><p><span>Specified food category</span></p></td><td><p><span>Maximum levels</span></p></td><td><p>The designation of the novel food on the labelling of the food supplements containing it shall be “Lactitol”’</p></td><td><p> </p></td></tr><tr><td><p>Food Supplements as defined in Directive 2002/46/EC (capsules, tablets or powder) intended for the adult population</p></td><td><p>20 g/day</p></td></tr></tbody></table> | ENG | 32018R1293 |
<table><col/><col/><col/><col/><tbody><tr><td><p>26.6.2015   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 161/19</p></td></tr></tbody></table>
COUNCIL DECISION (CFSP) 2015/1008
of 25 June 2015
amending Decision 2010/413/CFSP concerning restrictive measures against Iran
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Article 29 thereof,
Having regard to Council Decision 2010/413/CFSP of 26 July 2010 concerning restrictive measures against Iran and repealing Common Position 2007/140/CFSP ( 1 ) , and in particular Article 23(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 26 July 2010, the Council adopted Decision 2010/413/CFSP.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>In accordance with Article 26(3) of Decision 2010/413/CFSP, the Council has reviewed the list of designated persons and entities set out in Annex II to that Decision.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>One person and eight entities should be removed from the list of persons and entities subject to restrictive measures, set out in Annex II to Decision 2010/413/CFSP.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In addition, the entries concerning six entities subject to restrictive measures, set out in Annex II to Decision 2010/413/CFSP, should be amended.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Decision 2010/413/CFSP should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
Annex II to Decision 2010/413/CFSP is amended in accordance with the Annex to this Decision.
Article 2
This Decision shall enter into force on the day following that of its publication in the Official Journal of the European Union .
Done at Brussels, 25 June 2015.
For the Council
The President
E. RINKĒVIČS
( 1 ) OJ L 195, 27.7.2010, p. 39 .
ANNEX
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>The entries relating to the persons and entities listed below are deleted from the list set out in Annex II to Decision 2010/413/CFSP.</p><table><col/><col/><tbody><tr><td><p>I.</p></td><td><p>Persons and entities involved in nuclear or ballistic missile activities and persons and entities providing support to the Government of Iran.</p><p>A.   Persons</p><table><col/><col/><col/><tbody><tr><td/><td><p>5.</p></td><td><p>Mahmood JANNATIAN</p></td></tr></tbody></table><p>B.   Entities</p><table><col/><col/><col/><tbody><tr><td/><td><p>160.</p></td><td><p>CF Sharp and Company Private Limited</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>III.</p></td><td><p>Islamic Republic of Iran Shipping Lines (IRISL)</p><p>B.   Entities</p><table><col/><col/><col/><tbody><tr><td/><td><p>60.</p></td><td><p>Bright-Nord GmbH und Co. KG</p></td></tr></tbody></table><table><col/><col/><col/><tbody><tr><td/><td><p>63.</p></td><td><p>Cosy-East GmbH und Co. KG</p></td></tr></tbody></table><table><col/><col/><col/><tbody><tr><td/><td><p>86.</p></td><td><p>Great-West GmbH und Co. KG</p></td></tr></tbody></table><table><col/><col/><col/><tbody><tr><td/><td><p>87.</p></td><td><p>Happy-Süd GmbH und Co. KG</p></td></tr></tbody></table><table><col/><col/><col/><tbody><tr><td/><td><p>127.</p></td><td><p>NHL Basic Ltd</p></td></tr></tbody></table><table><col/><col/><col/><tbody><tr><td/><td><p>128.</p></td><td><p>NHL Nordland GmbH</p></td></tr></tbody></table><table><col/><col/><col/><tbody><tr><td/><td><p>132.</p></td><td><p>Prosper Basic GmbH</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>The following entries replace the entries concerning the entities listed below, set out in Annex II to Decision 2010/413/CFSP.</p><table><col/><col/><tbody><tr><td><p>I.</p></td><td><p>Persons and entities involved in nuclear or ballistic missile activities and persons and entities providing support to the Government of Iran.</p><p>B.   Entities</p><table><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Name</p></td><td><p>Identifying information</p></td><td><p>Reasons</p></td><td><p>Date of listing</p></td></tr><tr><td><p>76.</p></td><td><p>Iran Marine Industrial Company (SADRA)</p></td><td><p>Sadra Building No 3, Shafagh St., Poonak Khavari Blvd., Shahrak Ghods, P.O. Box 14669-56491, Tehran, Iran</p></td><td><p>Effectively controlled by Sepanir Oil & Gas Energy Engineering Company, which is designated by the EU as an IRGC company. Provides support to the Government of Iran through its involvement in the Iranian energy sector including in the South Pars Gas field.</p></td><td><p>23.5.2011</p></td></tr><tr><td><p>77.</p></td><td><p>Shahid Beheshti University</p></td><td><p>Daneshju Blvd., Yaman St., Chamran Blvd., P.O. Box 19839-63113, Tehran, Iran</p></td><td><p>Shahid Beheshti University is a public entity which is under the supervision of the Ministry of Science, Research and Technology. Carries out scientific research relevant to the development of nuclear weapons.</p></td><td><p>23.5.2011</p></td></tr><tr><td><p>132.</p></td><td><p>Naftiran Intertrade Company (a.k.a. Naftiran Trade Company) (NICO)</p></td><td><p>5th Floor, Petropars Building, No 35 Farhang Boulevard, Snadat Abad Avenue, Tehran, Iran Tel. +98 21 22372486; +98 21 22374681; +98 21 22374678; Fax +98 21 22374678; +98 21 22372481 E-mail: info@naftiran.com</p></td><td><p>Subsidiary (100 %) of the National Iranian Oil Company (NIOC)</p></td><td><p>16.10.2012</p></td></tr><tr><td><p>154.</p></td><td><p>First Islamic Investment Bank</p></td><td><p>Branch: 19A-31-3A, Level 31 Business Suite, Wisma UOA, Jalan Pinang 50450, Kuala Lumpur; Kuala Lumpur; Wilayah Persekutuan; 50450 Tel. 603-21620361/2/3/4, +6087417049/417050, +622157948110</p><p>Branch: Unit 13 (C), Main Office Tower, Financial Park Labuan Complex, Jalan Merdeka, 87000 Federal Territory of Labuan, Malaysia; Labuan F.T; 87000</p><p>Investor Relations: Menara Prima 17th floor Jalan Lingkar, Mega Kuningan Blok 6.2 Jakarta 12950 — Indonesia; South Jakarta; Jakarta; 12950</p></td><td><p>First Islamic Investment Bank (FIIB) is providing financial and logistical support to the Government of Iran. FIIB was used by Babak Zanjani to channel a significant amount of Iranian oil-related payments on behalf of the Government of Iran.</p></td><td><p>22.12.2012</p></td></tr><tr><td><p>157.</p></td><td><p>HK Intertrade Company Ltd (HK Intertrade)</p></td><td><p>HK Intertrade Company, 21st Floor, Tai Yau Building, 181 Johnston Road, Wanchai, Hong Kong</p></td><td><p>HK Intertrade is fully owned and controlled by the National Iranian Oil Company, a designated and state-owned entity that provides support to the Government of Iran. In addition, HK Intertrade has provided logistical and financial support to the Government of Iran by facilitating the transfer of oil-related money on behalf of the Government of Iran.</p></td><td><p>22.12.2012</p></td></tr><tr><td><p>158.</p></td><td><p>Petro Suisse</p></td><td><p>Petro Suisse Avenue De la Tour- Halimand 6, 1009 Pully, Switzerland</p></td><td><p>Petro Suisse, a company engaged in the Iranian oil and gas sector, is 100 % owned by the NIOC (National Iranian Oil Company) which is a designated entity that provides financial support to the Government of Iran. Petro Suisse is also associated with Naftiran Intertrade Co (NICO) which is designated as a subsidiary (100 %) of the National Iranian Oil Company (NIOC).</p></td><td><p>22.12.2012</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table> | ENG | 32015D1008 |
<table><col/><col/><col/><col/><tbody><tr><td><p>7.6.2019   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 151/143</p></td></tr></tbody></table>
DIRECTIVE (EU) 2019/884 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 17 April 2019
amending Council Framework Decision 2009/315/JHA, as regards the exchange of information on third-country nationals and as regards the European Criminal Records Information System (ECRIS), and replacing Council Decision 2009/316/JHA
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 82(1), second subparagraph, point (d) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Acting in accordance with the ordinary legislative procedure ( 1 ) ,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>The Union has set itself the objective of offering its citizens an area of freedom, security and justice without internal frontiers, in which the free movement of persons is ensured. That objective should be achieved by means of, among others, appropriate measures to prevent and combat crime, including organised crime and terrorism.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>That objective requires that information on convictions handed down in the Member States be taken into account outside the convicting Member State in the course of new criminal proceedings, as laid down in Council Framework Decision 2008/675/JHA <a>(<span>2</span>)</a>, as well as in order to prevent new offences.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>That objective presupposes the exchange of information extracted from criminal records between the competent authorities of the Member States. Such an exchange of information is organised and facilitated by the rules set out in Council Framework Decision 2009/315/JHA <a>(<span>3</span>)</a> and by the European Criminal Records Information System (ECRIS), established in accordance with Council Decision 2009/316/JHA <a>(<span>4</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The existing ECRIS legal framework, however, does not sufficiently address the particularities of requests concerning third-country nationals. Although it is already possible to exchange information on third-country nationals through ECRIS, there is no common Union procedure or mechanism in place to do so efficiently, rapidly and accurately.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Within the Union, information on third-country nationals is not gathered as it is for nationals of Member States — in the Member States of nationality- but only stored in the Member States where the convictions have been handed down. A complete overview of the criminal history of a third-country national can therefore be ascertained only if such information is requested from all Member States.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Such ‘blanket requests’ impose a disproportionate administrative burden on all Member States, including those not holding information on the particular third-country national. In practice, that burden deters Member States from requesting information on third-country nationals from other Member States, which seriously hinders the exchange of information between them, limiting their access to criminal records information to information stored in their national register. As a consequence, the risk of information exchange between Member States being inefficient and incomplete is increased.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>In order to improve the situation, the Commission submitted a proposal, which led to the adoption of Regulation (EU) 2019/816 of the European Parliament and of the Council <a>(<span>5</span>)</a>, which establishes a centralised system at Union level containing the personal data of convicted third-country nationals allowing identification of the Member States holding information on their previous convictions (‘ECRIS-TCN’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>ECRIS-TCN will allow the central authority of a Member State to find out promptly and efficiently in which other Member States criminal records information on a third-country national is stored so that the existing ECRIS framework can be used to request the criminal records information from those Member States in accordance with Framework Decision 2009/315/JHA.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The exchange of information on criminal convictions is important in any strategy to combat crime and counter terrorism. It would contribute to the criminal justice response to radicalisation leading to terrorism and violent extremism if Member States used ECRIS to its full potential.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>In order to increase the utility of information on convictions and disqualifications arising from convictions for sexual offences against children, Directive 2011/93/EU of the European Parliament and of the Council <a>(<span>6</span>)</a> laid down the obligation for Member States to take the necessary measures to ensure that for the purpose of recruiting a person for a post involving direct and regular contact with children, information concerning the existence of criminal convictions for sexual offences against children entered in the criminal records, or of any disqualifications arising from those criminal convictions, be transmitted in accordance with the procedures set out in Framework Decision 2009/315/JHA. The aim of that mechanism is to ensure that a person convicted of a sexual offence against children is not able to conceal that conviction or disqualification with a view to performing a professional activity involving direct and regular contact with children in another Member State.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>This Directive aims to introduce the necessary modifications to Framework Decision 2009/315/JHA that will allow for an effective exchange of information on convictions of third-country nationals via ECRIS. It obliges Member States to take the necessary measures to ensure that convictions are accompanied by information on the nationality, or nationalities, of the convicted person, in so far as the Member States have such information at their disposal. It also introduces procedures for replying to requests for information, ensures that a criminal records extract requested by a third-country national is supplemented with information from other Member States, and provides for the technical changes necessary to make the information exchange system work.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>Directive (EU) 2016/680 of the European Parliament and of the Council <a>(<span>7</span>)</a> should apply to the processing of personal data by competent national authorities for the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, including safeguarding against and the prevention of threats to public security. Regulation (EU) 2016/679 of the European Parliament and of the Council <a>(<span>8</span>)</a> should apply to the processing of personal data by national authorities when such processing does not fall within the scope of Directive (EU) 2016/680.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>In order to ensure uniform conditions for the implementation of Framework Decision 2009/315/JHA, the principles of Decision 2009/316/JHA should be incorporated in that Framework Decision and implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and the Council <a>(<span>9</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>The common communication infrastructure used for the exchange of criminal records information should be the secured Trans European Services for Telematics between Administrations (sTESTA), any further development of it or any alternative secure network.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>Notwithstanding the possibility of using the Union’s financial programmes in accordance with the applicable rules, each Member State should bear its own costs arising from the implementation, administration, use and maintenance of its criminal records database, and from the implementation, administration, use and maintenance of the technical alterations needed to be able to use ECRIS.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>This Directive respects fundamental rights and freedoms enshrined, in particular, in the Charter of Fundamental Rights of the European Union, including the right to protection of personal data, the rights to judicial and administrative redress, the principle of equality before the law, the right to a fair trial, the presumption of innocence and the general prohibition of discrimination. This Directive should be implemented in accordance with those rights and principles.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>Since the objective of this Directive, namely to enable rapid and efficient exchange of accurate criminal records information on third-country nationals, cannot be sufficiently achieved by the Member States, but can rather, by putting in place common rules be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union (TEU). In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary to achieve that objective.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>In accordance with Articles 1 and 2 of Protocol No 22 on the position of Denmark, annexed to the TEU and to the Treaty on the Functioning of the European Union (TFEU), Denmark is not taking part in the adoption of this Directive and is not bound by it or subject to its application.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>In accordance with Articles 1 and 2 and Article 4a(1) of Protocol No 21 on the position of the United Kingdom and Ireland in respect of the area of freedom, security and justice, annexed to the TEU and to the TFEU, and without prejudice to Article 4 of that Protocol, Ireland is not taking part in the adoption of this Directive and is not bound by it or subject to its application.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>In accordance with Article 3 and Article 4a(1) of Protocol No 21, the United Kingdom has notified its wish to take part in the adoption and application of this Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>The European Data Protection Supervisor was consulted in accordance with Article 28(2) of Regulation (EC) No 45/2001 of the European Parliament and of the Council <a>(<span>10</span>)</a> and delivered an opinion on 13 April 2016 <a>(<span>11</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>Framework Decision 2009/315/JHA should therefore be amended accordingly,</p></td></tr></tbody></table>
HAVE ADOPTED THIS DIRECTIVE:
Article 1
Amendments to Framework Decision 2009/315/JHA
Framework Decision 2009/315/JHA is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 1 is replaced by the following:</p><div><p>‘Article 1</p><p>Subject matter</p><p>This Framework Decision:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>defines the conditions under which a convicting Member State shares information with other Member States on convictions;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>defines obligations for the convicting Member State and for the Member State of the convicted person’s nationality (the “Member State of the person’s nationality”), and specifies the methods to be followed when replying to a request for information extracted from criminal records;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>establishes a decentralised information technology system for the exchange of information on convictions based on the criminal records databases in each Member State, the European Criminal Records Information System (ECRIS).’;</p></td></tr></tbody></table></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>in Article 2, the following points are added:</p><table><col/><col/><tbody><tr><td><p>‘(d)</p></td><td><p>“convicting Member State” means the Member State where a conviction is handed down;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>“third-country national” means a person who is not a citizen of the Union within the meaning of Article 20(1) TFEU, or who is a stateless person or a person whose nationality is unknown;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>“fingerprint data” means the data relating to plain and rolled impressions of the fingerprints of each of a person’s fingers;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>“facial image” means a digital image of a person’s face;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>“ECRIS reference implementation” means the software developed by the Commission and made available to the Member States for the exchange of criminal records information through ECRIS.’;</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>in Article 4, paragraph 1 is replaced by the following:</p><div><p>‘1.   Each convicting Member State shall take all the necessary measures to ensure that convictions handed down within its territory are accompanied by information on the nationality or nationalities of the convicted person if the person is a national of another Member State or a third-country national. Where a convicted person is of unknown nationality or stateless, the criminal record shall reflect this.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Article 6 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>paragraph 3 is replaced by the following:</p><div><p>‘3.   Where a national of one Member State asks the central authority of another Member State for information on his or her own criminal record, that central authority shall submit a request to the central authority of the Member State of the person’s nationality for information and related data to be extracted from the criminal records and shall include such information and related data in the extract to be provided to the person concerned.’;</p></div></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the following paragraph is inserted:</p><div><p>‘3a.   Where a third-country national asks the central authority of a Member State for information on his or her own criminal record, that central authority shall submit a request only to those central authorities of the Member States which hold information on the criminal record of that person for information and related data to be extracted from the criminal records and shall include such information and related data in the extract to be provided to the person concerned.’;</p></div></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Article 7 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>paragraph 4 is replaced by the following:</p><div><p>‘4.   Where information extracted from the criminal records on convictions handed down against a national of a Member State is requested under Article 6 from the central authority of a Member State other than the Member State of the person’s nationality, the requested Member State shall transmit such information to the same extent as provided for in Article 13 of the European Convention on Mutual Assistance in Criminal Matters.’;</p></div></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the following paragraph is inserted:</p><div><p>‘4a.   Where information extracted from the criminal records on convictions handed down against a third-country national is requested under Article 6 for the purposes of criminal proceedings, the requested Member State shall transmit information on any conviction handed down in the requested Member State and entered in the criminal records and on any conviction handed down in third countries and subsequently transmitted to it and entered into the criminal records.</p><p>If such information is requested for any purpose other than that of criminal proceedings, paragraph 2 of this Article shall apply accordingly.’;</p></div></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>in Article 8, paragraph 2 is replaced by the following:</p><div><p>‘2.   Replies to the requests referred to in Article 6(2), (3) and (3a) shall be transmitted within twenty working days from the date the request was received.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Article 9 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>in paragraph 1, the words ‘Article 7(1) and (4)’ are replaced by ‘Article 7(1), (4) and (4a)’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in paragraph 2, the words ‘Article 7(2) and (4)’ are replaced by ‘Article 7(2), (4) and (4a)’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>in paragraph 3, the words ‘Article 7(1), (2) and (4)’ are replaced by ‘Article 7(1), (2), (4) and (4a)’;</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Article 11 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>in point (c) of the first subparagraph of paragraph 1, the following point is added:</p><table><col/><col/><tbody><tr><td><p>‘(iv)</p></td><td><p>facial image.’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>paragraphs 3 to 7 are replaced by the following:</p><div><p>‘3.   Central authorities of Member States shall transmit the following information electronically using ECRIS and a standardised format in accordance with the standards to be laid down in implementing acts:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>information referred to in Article 4;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>requests referred to in Article 6;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>replies referred to in Article 7; and</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>other relevant information.</p></td></tr></tbody></table></div><div><p>4.   If the mode of transmission referred to in paragraph 3 is not available, central authorities of Member States shall transmit all information referred to in paragraph 3 by any means capable of producing a written record under conditions allowing the central authority of the receiving Member State to establish the authenticity of the information, taking the security of transmission into consideration.</p><p>If the mode of transmission referred to in paragraph 3 is not available for an extended period of time, the Member State concerned shall inform the other Member States and the Commission.</p></div><div><p>5.   Each Member State shall carry out the technical alterations necessary for its use of the standardised format to electronically transmit all information as referred to in paragraph 3 to other Member States via ECRIS. Each Member State shall notify the Commission of the date from which it will be able to carry out such transmissions.’;</p></div></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>the following Articles are inserted:</p><div><p>‘Article 11a</p><p>European Criminal Records Information System (ECRIS)</p><div><p>1.   In order to exchange information extracted from criminal records in accordance with this Framework Decision electronically, a decentralised information technology system based on the criminal records databases in each Member State, the European Criminal Records Information System (ECRIS), is established. It is composed of the following elements:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>ECRIS reference implementation;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>a common communication infrastructure between central authorities that provides an encrypted network.</p></td></tr></tbody></table><p>To ensure the confidentiality and integrity of criminal records information transmitted to other Member States, appropriate technical and organisational measures shall be used, taking into account the state of the art, the cost of implementation and the risks posed by the processing of information.</p></div><div><p>2.   All criminal records data shall be stored solely in databases operated by the Member States.</p></div><div><p>3.   The central authorities of the Member States shall not have direct access to the criminal records databases of other Member States.</p></div><div><p>4.   The ECRIS reference implementation and databases storing, sending and receiving information extracted from criminal records shall operate under the responsibility of the Member State concerned. The European Union Agency for the Operational Management of Large-Scale IT Systems in the Area of Freedom, Security and Justice (eu-LISA) established by Regulation (EU) 2018/1726 of the European Parliament and of the Council<a> (<span>*1</span>)</a> shall support the Member States in accordance with its tasks as laid down in Regulation (EU) 2019/816 of the European Parliament and of the Council<a> (<span>*2</span>)</a>.</p></div><div><p>5.   The common communication infrastructure shall be operated under the responsibility of the Commission. It shall fulfil the necessary security requirements and fully meet the needs of ECRIS.</p></div><div><p>6.   eu-LISA shall provide, further develop and maintain the ECRIS reference implementation.</p></div><div><p>7.   Each Member State shall bear its own costs arising from the implementation, administration, use and maintenance of its criminal records database and the installation and use of the ECRIS reference implementation.</p><p>The Commission shall bear the costs arising from the implementation, administration, use, maintenance and future development of the common communication infrastructure.</p></div><div><p>8.   The Member States which use their national ECRIS implementation software in accordance with paragraphs 4 to 8 of Article 4 of Regulation (EU) 2019/816 may continue to use their national ECRIS implementation software instead of the ECRIS reference implementation, provided that they fulfil all the conditions set out in those paragraphs.</p></div></div><div><p>Article 11b</p><p>Implementing Acts</p><div><p>1.   The Commission shall lay down the following in implementing acts:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the standardised format referred to in Article 11(3), including as regards information on the offence giving rise to the conviction and information on the content of the conviction;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the rules concerning the technical implementation of ECRIS and the exchange of fingerprint data;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>any other technical means of organising and facilitating exchanges of information on convictions between central authorities of Member States, including:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>the means of facilitating the understanding and automatic translation of transmitted information;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>the means by which information may be exchanged electronically, particularly as regards the technical specifications to be used and, if need be, any applicable exchange procedures.</p></td></tr></tbody></table></td></tr></tbody></table></div><div><p>2.   The implementing acts referred to in paragraph 1 of this Article shall be adopted in accordance with the examination procedure referred to in Article 12a(2).</p></div></div><p><a>(<span>*1</span>)</a>  Regulation (EU) 2018/1726 of the European Parliament and of the Council of 14 November 2018 on the European Union Agency for the Operational Management of Large-Scale IT Systems in the Area of Freedom, Security and Justice (eu-LISA), and amending Regulation (EC) No 1987/2006 and Council Decision 2007/533/JHA and repealing Regulation (EU) No 1077/2011 (<a>OJ L 295, 21.11.2018, p. 99</a>)."</p><p><a>(<span>*2</span>)</a>  Regulation (EU) 2019/816 of the European Parliament and of the Council of 17 April 2019 establishing a centralised system for the identification of Member States holding conviction information on third-country nationals and stateless persons (ECRIS-TCN) to supplement the European Criminal Records Information System and amending Regulation (EU) 2018/1726 (<a>OJ L 135, 22.5.2019, p. 1</a>).’;"</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>the following Article is inserted:</p><div><p>‘Article 12a</p><p>Committee procedure</p><div><p>1.   The Commission shall be assisted by a committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.</p></div><div><p>2.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.</p><p>Where the committee delivers no opinion, the Commission shall not adopt the draft implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011 shall apply.’;</p></div></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>the following Article is inserted:</p><div><p>‘Article 13a</p><p>Reporting by the Commission and review</p><div><p>1.   By 29 June 2023, the Commission shall submit a report on the application of this Framework Decision to the European Parliament and to the Council. The report shall assess the extent to which the Member States have taken the necessary measures to comply with this Framework Decision, including its technical implementation.</p></div><div><p>2.   The report shall be accompanied, where appropriate, by relevant legislative proposals.</p></div><div><p>3.   The Commission shall regularly publish a report concerning the exchange of information extracted from the criminal record through ECRIS and concerning the use of ECRIS-TCN based in particular on the statistics provided by eu-LISA and the Member States in accordance with Regulation (EU) 2019/816. The report shall be published for the first time one year after the report referred to in paragraph 1 is submitted.</p></div><div><p>4.   The Commission report referred to in paragraph 3 shall cover in particular the level of exchange of information between Member States, including that relating to third-country nationals, as well as the purpose of requests and their respective number, including requests for purposes other than criminal proceedings, such as background checks and requests for information from the persons concerned on their own criminal record.’.</p></div></div></td></tr></tbody></table>
Article 2
Replacement of Decision 2009/316/JHA
Decision 2009/316/JHA is replaced with regard to the Member States bound by this Directive, without prejudice to the obligations of those Member States with regard to the date for implementation of that Decision.
Article 3
Transposition
1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 28 June 2022. They shall immediately communicate the text of those measures to the Commission.
When Member States adopt those measures, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. They shall also include a statement that references in existing laws, regulations and administrative provisions to the Decision replaced by this Directive shall be construed as references to this Directive. Member States shall determine how such reference is to be made and how that statement is to be formulated.
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.
3. Member States shall carry out the technical alterations referred to in Article 11(5) of Framework Decision 2009/315/JHA, as amended by this Directive, by 28 June 2022.
Article 4
Entry into force and application
This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union .
Article 2 shall apply from 28 June 2022.
Article 5
Addressees
This Directive is addressed to the Member States in accordance with the Treaties.
Done at Strasbourg, 17 April 2019.
For the European Parliament
The President
A. TAJANI
For the Council
The President
G. CIAMBA
<note>
( 1 ) Position of the European Parliament of 12 March 2019 (not yet published in the Official Journal) and decision of the Council of 9 April 2019.
( 2 ) Council Framework Decision 2008/675/JHA of 24 July 2008 on taking account of convictions in the Member States of the European Union in the course of new criminal proceedings ( OJ L 220, 15.8.2008, p. 32 ).
( 3 ) Council Framework Decision 2009/315/JHA of 26 February 2009 on the organisation and content of the exchange of information extracted from the criminal record between Member States ( OJ L 93, 7.4.2009, p. 23 ).
( 4 ) Council Decision 2009/316/JHA of 6 April 2009 on the establishment of the European Criminal Records Information System (ECRIS) in application of Article 11 of Framework Decision 2009/315/JHA ( OJ L 93, 7.4.2009, p. 33 ).
( 5 ) Regulation (EU) 2019/816 of the European Parliament and of the Council of 17 April 2019 establishing a centralised system for the identification of Member States holding conviction information on third-country nationals and stateless persons (ECRIS-TCN) to supplement the European Criminal Records Information System and amending Regulation (EU) 2018/1726 ( OJ L 135, 22.5.2019, p. 1 ).
( 6 ) Directive 2011/93/EU of the European Parliament and of the Council of 13 December 2011 on combating the sexual abuse and sexual exploitation of children and child pornography, and replacing Council Framework Decision 2004/68/JHA ( OJ L 335, 17.12.2011, p. 1 ).
( 7 ) Directive (EU) 2016/680 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 by competent authorities for the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, and on the free movement of such data, and repealing Council Framework Decision 2008/977/JHA ( OJ L 119, 4.5.2016, p. 89 ).
( 8 ) 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 (General Data Protection Regulation) ( OJ L 119, 4.5.2016, p. 1 ).
( 9 ) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers ( OJ L 55, 28.2.2011, p. 13 ).
( 10 ) 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 ).
( 11 ) OJ C 186, 25.5.2016, p. 7 .
</note> | ENG | 32019L0884 |
<table><col/><col/><col/><col/><tbody><tr><td><p>24.1.2022   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 36/53</p></td></tr></tbody></table>
Statement of revenue and expenditure of the European Public Prosecutor's Office (EPPO) for the financial year 2021 – amending budget No 3
(2022/C 36/09)
REVENUE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Budget 2021</p></td><td><p>Amending budget No 3</p></td><td><p>New amount</p></td></tr><tr><td><p><span>9</span></p></td><td><p><span>REVENUE</span></p></td></tr><tr><td><p>9 0</p></td><td><p>CONTRIBUTION FROM THE EUROPEAN UNION</p></td><td><p>37 952 790</p></td><td><p>–2 500 000</p></td><td><p>35 452 790</p></td></tr><tr><td><p>9 1</p></td><td><p>MISCELLANEOUS REVENUE</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p> </p></td><td><p><span>Title 9 — Total</span></p></td><td><p><span>37 952 790</span></p></td><td><p><span>–2 500 000</span></p></td><td><p><span>35 452 790</span></p></td></tr><tr/><tr/><tr><td><p> </p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>37 952 790</span></p></td><td><p><span>–2 500 000</span></p></td><td><p><span>35 452 790</span></p></td></tr></tbody></table>
EXPENDITURE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Budget 2021</p></td><td><p>Amending budget No 3</p></td><td><p>New amount</p></td></tr><tr><td><p><span>1</span></p></td><td><p><span>STAFF EXPENDITURE</span></p></td></tr><tr><td><p>1 1</p></td><td><p>STAFF IN ACTIVE EMPLOYMENT</p></td><td><p>12 230 000</p></td><td><p>220 000</p></td><td><p>12 450 000</p></td></tr><tr><td><p>1 2</p></td><td><p>MISCELLANEOUS EXPENDITURE ON STAFF RECRUITMENT AND TRANSFER</p></td><td><p>702 500</p></td><td><p>90 000</p></td><td><p>792 500</p></td></tr><tr><td><p>1 3</p></td><td><p>MISSION EXPENSES</p></td><td><p>16 000</p></td><td><p>3 000</p></td><td><p>19 000</p></td></tr><tr><td><p>1 4</p></td><td><p>SOCIO-MEDICAL INFRASTRUCTURE AND SOCIAL WELFARE</p></td><td><p>432 000</p></td><td><p>–42 702</p></td><td><p>389 298</p></td></tr><tr><td><p>1 5</p></td><td><p>TRAINING</p></td><td><p>98 700</p></td><td><p> </p></td><td><p>98 700</p></td></tr><tr><td><p>1 6</p></td><td><p>EXTERNAL SERVICES</p></td><td><p>1 180 000</p></td><td><p>– 147 027</p></td><td><p>1 032 973</p></td></tr><tr><td><p>1 7</p></td><td><p>Receptions, events and representation expenses</p></td><td><p>3 000</p></td><td><p> </p></td><td><p>3 000</p></td></tr><tr><td><p>1 8</p></td><td><p>Other staff related expenditure</p></td><td><p>217 000</p></td><td><p> </p></td><td><p>217 000</p></td></tr><tr><td><p> </p></td><td><p><span>Title 1 — Total</span></p></td><td><p><span>14 879 200</span></p></td><td><p><span>123 271</span></p></td><td><p><span>15 002 471</span></p></td></tr><tr><td><p><span>2</span></p></td><td><p><span>INFRASTRUCTURE AND OPERATING EXPENDITURE</span></p></td></tr><tr><td><p>2 1</p></td><td><p>RENTAL OF BUILDINGS AND ASSOCIATED COSTS</p></td><td><p>2 430 000</p></td><td><p>70 000</p></td><td><p>2 500 000</p></td></tr><tr><td><p>2 2</p></td><td><p>ICT AND DATA PROCESSING</p></td><td><p>1 880 000</p></td><td><p>– 400 777</p></td><td><p>1 479 223</p></td></tr><tr><td><p>2 3</p></td><td><p>MOVABLE PROPERTY AND ASSOCIATED COSTS</p></td><td><p>1 350 000</p></td><td><p>–48 590</p></td><td><p>1 301 410</p></td></tr><tr><td><p>2 4</p></td><td><p>CURRENT ADMINISTRATIVE EXPENDITURE</p></td><td><p>29 237</p></td><td><p>7 000</p></td><td><p>36 237</p></td></tr><tr><td><p>2 5</p></td><td><p>OTHER INFRASTRUCTURE AND OPERATING EXPENDITURE</p></td><td><p>50 000</p></td><td><p> </p></td><td><p>50 000</p></td></tr><tr><td><p> </p></td><td><p><span>Title 2 — Total</span></p></td><td><p><span>5 739 237</span></p></td><td><p><span>– 372 367</span></p></td><td><p><span>5 366 870</span></p></td></tr><tr><td><p><span>3</span></p></td><td><p><span>OPERATIONAL EXPENDITURE</span></p></td></tr><tr><td><p>3 1</p></td><td><p>TRANSLATION AND COMMUNICATION</p></td><td><p>2 875 000</p></td><td><p>–1 625 000</p></td><td><p>1 250 000</p></td></tr><tr><td><p>3 2</p></td><td><p>EDPS AND INVESTIGATION ACTIVITIES</p></td><td><p>6 024 063</p></td><td><p>–1 172 063</p></td><td><p>4 852 000</p></td></tr><tr><td><p>3 3</p></td><td><p>OPERATIONAL ICT TOOLS</p></td><td><p>5 075 000</p></td><td><p>450 000</p></td><td><p>5 525 000</p></td></tr><tr><td><p>3 4</p></td><td><p>Other costs related to operational activities</p></td><td><p>3 360 290</p></td><td><p>96 160</p></td><td><p>3 456 450</p></td></tr><tr><td><p> </p></td><td><p><span>Title 3 — Total</span></p></td><td><p><span>17 334 353</span></p></td><td><p><span>–2 250 903</span></p></td><td><p><span>15 083 450</span></p></td></tr><tr/><tr/><tr><td><p> </p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>37 952 790</span></p></td><td><p><span>–2 499 999</span></p></td><td><p><span>35 452 791</span></p></td></tr></tbody></table>
Establishment plan
<table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Function group and grade</p></td><td><p> </p></td></tr><tr><td><p>2021</p></td><td><p>2020</p></td></tr><tr><td><p>Authorized under the Union budget</p></td><td><p>Actually filled as at 31 December 2019</p></td><td><p>Authorized under the Union budget</p></td></tr><tr><td><p>Permanent posts</p></td><td><p>Temporary posts</p></td><td><p>Permanent posts</p></td><td><p>Temporary posts</p></td><td><p>Permanent posts</p></td><td><p>Temporary posts</p></td></tr><tr/><tr/><tr><td><p>AD 16</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AD 15</p></td><td><p>—</p></td><td><p>1</p></td><td><p>—</p></td><td><p>1</p></td><td><p>—</p></td><td><p>1</p></td></tr><tr><td><p>AD 14</p></td><td><p>—</p></td><td><p>1</p></td><td><p>1</p></td><td><p>—</p></td><td><p>—</p></td><td><p>1</p></td></tr><tr><td><p>AD 13</p></td><td><p>—</p></td><td><p>22</p></td><td><p>1</p></td><td><p>—</p></td><td><p>—</p></td><td><p>22</p></td></tr><tr><td><p>AD 12</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AD 11</p></td><td><p>—</p></td><td><p>1</p></td><td><p>—</p></td><td><p>1</p></td><td><p>—</p></td><td><p>1</p></td></tr><tr><td><p>AD 10</p></td><td><p>—</p></td><td><p>5</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>3</p></td></tr><tr><td><p>AD 9</p></td><td><p>—</p></td><td><p>5</p></td><td><p>1</p></td><td><p>—</p></td><td><p>—</p></td><td><p>3</p></td></tr><tr><td><p>AD 8</p></td><td><p>—</p></td><td><p>2</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>2</p></td></tr><tr><td><p>AD 7</p></td><td><p>—</p></td><td><p>12</p></td><td><p>—</p></td><td><p>—</p></td><td><p>2</p></td><td><p>7</p></td></tr><tr><td><p>AD 6</p></td><td><p>—</p></td><td><p>14</p></td><td><p>—</p></td><td><p>2</p></td><td><p>—</p></td><td><p>3</p></td></tr><tr><td><p>AD 5</p></td><td><p>—</p></td><td><p>5</p></td><td><p>—</p></td><td><p>1</p></td><td><p>—</p></td><td><p>1</p></td></tr><tr><td><p>Subtotal AD</p></td><td><p>—</p></td><td><p>68</p></td><td><p>3</p></td><td><p>5</p></td><td><p>2</p></td><td><p>44</p></td></tr><tr/><tr/><tr><td><p>AST 11</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 10</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 9</p></td><td><p>—</p></td><td><p>1</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 8</p></td><td><p>—</p></td><td><p>1</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 7</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 6</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 5</p></td><td><p>—</p></td><td><p>4</p></td><td><p>—</p></td><td><p>1</p></td><td><p>—</p></td><td><p>4</p></td></tr><tr><td><p>AST 4</p></td><td><p>—</p></td><td><p>5</p></td><td><p>—</p></td><td><p>—</p></td><td><p>2</p></td><td><p>—</p></td></tr><tr><td><p>AST 3</p></td><td><p>—</p></td><td><p>12</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>3</p></td></tr><tr><td><p>AST 2</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST 1</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>Subtotal AST</p></td><td><p>—</p></td><td><p>23</p></td><td><p>—</p></td><td><p>1</p></td><td><p>2</p></td><td><p>7</p></td></tr><tr/><tr/><tr><td><p>AST/SC 6</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST/SC 5</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST/SC 4</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST/SC 3</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>AST/SC 2</p></td><td><p>—</p></td><td><p>4</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>3</p></td></tr><tr><td><p>AST/SC 1</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td></tr><tr><td><p>Subtotal AST/SC</p></td><td><p>—</p></td><td><p>4</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><p>3</p></td></tr><tr/><tr/><tr><td><p><span>Total</span></p></td><td><p><span>—</span></p></td><td><p><span>95</span></p></td><td><p><span>3</span></p></td><td><p><span>6</span></p></td><td><p><span>4</span></p></td><td><p><span>54</span></p></td></tr><tr><td><p><span>Grand Total</span></p></td><td><p><span>95</span></p></td><td><p><span>9</span></p></td><td><p><span>58</span></p></td></tr></tbody></table>
Estimate of number of contract staff (expressed in full-time equivalents)
<table><col/><col/><tbody><tr><td><p>Contract staff posts</p></td><td><p>2021</p></td></tr><tr/><tr/><tr><td><p>FG IV</p></td><td><p>20</p></td></tr><tr><td><p>FG III</p></td><td><p>12</p></td></tr><tr><td><p>FG II</p></td><td><p>3</p></td></tr><tr><td><p>FG I</p></td><td><p> </p></td></tr><tr><td><p>Total</p></td><td><p>35</p></td></tr></tbody></table> | ENG | 32022B0124(09) |
<table><col/><col/><col/><tbody><tr><td><img/></td><td><p>Official Journal<br/>of the European Union</p></td><td><p>EN</p><p>Series L</p></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>2024/603</p></td><td><p>7.3.2024</p></td></tr></tbody></table>
COMMISSION RECOMMENDATION (EU) 2024/603
of 18 December 2023
on the draft updated integrated national energy and climate plan of Czechia covering the period 2021-2030 and on the consistency of Czechia’s measures with the Union’s climate-neutrality objective and with ensuring progress on adaptation
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 292 thereof,
Having regard to Regulation (EU) 2018/1999 of the European Parliament and of the Council of 11 December 2018 on the Governance of the Energy Union and Climate Action, amending Regulations (EC) No 663/2009 and (EC) No 715/2009 of the European Parliament and of the Council, Directives 94/22/EC, 98/70/EC, 2009/31/EC, 2009/73/EC, 2010/31/EU, 2012/27/EU and 2013/30/EU of the European Parliament and of the Council, Council Directives 2009/119/EC and (EU) 2015/652 and repealing Regulation (EU) No 525/2013 of the European Parliament and of the Council ( 1 ) , and in particular Article 14(6) and Article 9(2) thereof,
Having regard to Regulation (EU) 2021/1119 of the European Parliament and of the Council of 30 June 2021 establishing the framework for achieving climate neutrality and amending Regulations (EC) No 401/2009 and (EU) 2018/1999 ( 2 ) , and in particular Article 7(2) thereof,
Whereas:
Recommendations on Czechia’s draft updated integrated National Energy and Climate Plan (NECP) covering the period 2021-2030
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Czechia submitted its draft updated integrated national energy and climate plan on 23 October 2023.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Due to the late submission of Czechia of its draft updated national energy and climate plan, the European Commission has had limited time to draft its assessment in order to adopt this recommendation six months before the final updated national energy and climate plans are due, as required by Article 9(2) of Regulation (EU) 2018/1999.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Article 3 and Annex I to Regulation (EU) 2018/1999 (‘the Governance Regulation’) lay down the elements that are to be included in the updated integrated national energy and climate plans. In December 2022, the Commission adopted the Guidance to Member States on the process and the scope of preparing the draft and final updated national energy and climate plans <a>(<span>3</span>)</a>. The Guidance identified good practices and outlined the implications of recent policy, legal and geopolitical developments in energy and climate policies.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In connection with the REPowerEU plan <a>(<span>4</span>)</a>, and as part of the 2022 and 2023 European Semester cycles, the Commission has put a strong focus on Member States’ energy and climate related reform and investment needs to strengthen energy security and affordability by accelerating the green and fair transition. This is reflected in the 2022 and 2023 Country Reports for Czechia <a>(<span>5</span>)</a> and the Council Recommendations to Czechia <a>(<span>6</span>)</a>. Member States should take into account the latest country-specific recommendations in their final updated integrated national energy and climate plans.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The Commission’s recommendations with regard to the delivery of national targets under the Effort Sharing Regulation <a>(<span>7</span>)</a> (ESR) are based on the likelihood that the Member States will respect the 2030 targets, taking into account the rules for the use of flexibilities under the ESR.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The Commission’s recommendations regarding Carbon Capture, Utilisation and Storage (CCUS) aim at having an overview of the intended deployment of these technologies at national level, including information about annual volumes of CO<span>2</span> planned to be captured by 2030, split by source of CO<span>2</span> captured coming from installations covered by Directive 2003/87/EC of the European Parliament and of the Council <a>(<span>8</span>)</a> or from other sources, such as biogenic sources or direct air capture; about planned CO<span>2</span> transport infrastructure; and about potential domestic CO<span>2</span> storage capacity and injection volumes of CO<span>2</span> planned to be available in 2030.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The Commission’s recommendations regarding the performance under Regulation (EU) 2018/841 of the European Parliament and of the Council <a>(<span>9</span>)</a> (Land Use, Land Use Change and Forestry Regulation – ‘LULUCF Regulation’) address the delivery by the Member State on the ‘no debit’ rule for the period 2021-2025 (Period 1) and its national target for the period 2026-2030 (Period 2), taking into account the rules governing the use of flexibilities as set out in that Regulation. The Commission’s recommendations also take into account that in Period 1 any excess in emissions under the LULUCF Regulation will automatically be transferred to the ESR.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>For climate adaptation to properly support the achievement of energy and climate mitigation objectives, it is essential to identify the potential climate change hazards and analyse climate vulnerabilities and risks that may affect relevant areas, populations and sectors. The Commission’s recommendations on adaptation consider the extent to which Czechia integrated in its updated NECP adaptation goals that account for climate risks that could prevent Czechia from meeting the objectives and targets of the Energy Union. Without specific adaptation policies and measures, planned and implemented, the achievement of objectives in Energy Union dimensions is at risk. Water management in changing climatic conditions requires particular attention due to risks of electricity disruption as floods, heat and drought impact the energy production.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The Commission’s recommendations regarding renewable energy ambition are based on the formula set out in Annex II to Regulation (EU) 2018/1999, which is based on objective criteria, and on the main policies and measures missing in Czechia’s draft updated NECP to enable a timely and cost-effective achievement of Czechia’s national contribution to the Union’s binding renewable energy target of at least 42,5 % in 2030, with the collective endeavour to increase it to 45 % pursuant to Directive (EU) 2018/2001 of the European Parliament and of the Council <a>(<span>10</span>)</a> as regards the promotion of energy from renewable sources. The Commission’s recommendations are also based on Czechia’s contribution to the specific targets of Articles 15a, 22a, 23, 24 and 25 of that Directive and the related policies and measures to rapidly transpose it and implement it. The recommendations also reflect the importance of developing comprehensive long-term planning for the deployment of renewable energy, and in particular wind, to increase visibility for the European manufacturing industry and grid operators in line with the European Wind Power Package <a>(<span>11</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The Commission’s recommendations regarding the national contribution to energy efficiency are based on Article 4 of the Directive (EU) 2023/1791 of the European Parliament and of the Council <a>(<span>12</span>)</a> on energy efficiency; and the formula in Annex I to that Directive, and the related policies and measures to implement it.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The Commission’s recommendations pay particular attention to the targets, objectives and contributions and related policies and measures to deliver on the REPowerEU plan in order to rapidly phase out dependence from Russian fossil fuels. They take into account lessons learnt from the implementation of the Save gas for a Safe winter Package <a>(<span>13</span>)</a>. The recommendations reflect the imperative to strengthen the resilience of the energy system in light of the obligations stemming from Regulation (EU) 2019/941 of the European Parliament and of the Council <a>(<span>14</span>)</a> on risk preparedness in the electricity sector and Regulation (EU) 2017/1938 of the European Parliament and of the Council <a>(<span>15</span>)</a> on the security of gas supply, and in line with the Commission Recommendation on energy storage <a>(<span>16</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>The Commission’s recommendations take into account the need to accelerate the integration of the internal energy market to strengthen the role of flexibility and empower and protect consumers. The Commission’s recommendations also consider the importance of assessing the number of households in energy poverty in line with the requirements of Article 3 of Regulation (EU) 2018/1999, and the Commission Recommendation (EU) 2023/2407 <a>(<span>17</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>The Commission’s recommendations reflect the importance of ensuring sufficient investments in clean energy research and innovation to boost their development and manufacturing capacities, including appropriate policies and measures for energy intensive industries and other businesses; and the need to upskill workforce for a net-zero industry in order to consolidate a strong, competitive and clean economy within the Union.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>The Commission’s recommendations build on the commitments taken under the Paris Agreement to phase down the use of fossil fuels as well as on the importance of phasing out fossil fuel subsidies.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>The Commission’s recommendation on investment needs follows its assessment of whether the draft updated plan provides a general overview of investment needs to achieve the objectives, targets and contributions for all dimensions of the Energy Union; indicates the sources of financing, distinguishing private and public sources; and outlines investments consistent with Czechia’s Recovery and Resilience Plan, Czechia’s Territorial Just Transition Plans and the 2022-2023 country-specific recommendations issued under the European Semester, and includes a robust macroeconomic assessment of planned policies and measures. The NECP should ensure the transparency and predictability of national policies and measures, to support investment certainty.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>The Commission’s recommendations reflect the crucial importance of a wide regional consultation, and of ensuring early and inclusive consultation on the plan, including effective public participation with sufficient information and timeframe, in line with the Aarhus Convention <a>(<span>18</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>The Commission’s recommendations on a just transition reflect the assessment of whether Czechia’s plan identifies in sufficient depth the relevant social, employment and skills impacts of the climate and energy transition and outlines adequate accompanying policies and measures to promote a just transition, while contributing to the promotion of both human rights and gender equality.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>The Commission’s recommendations to Czechia are underpinned by the assessment of its draft updated NECP <a>(<span>19</span>)</a>, which is published alongside this Recommendation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>Czechia should take due account of the present recommendations when developing its final updated integrated NECP to be submitted by 30 June 2024.</p></td></tr></tbody></table>
Recommendations on the consistency with the Union’s climate-neutrality objective and with ensuring progress on adaptation
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>Pursuant to the Regulation (EU) 2021/1119 (the European Climate Law), the Commission is required to assess the consistency of national measures with the climate-neutrality objective and with ensuring progress on adaptation. The Commission assessed the consistency of Czechia’s measures with these objectives <a>(<span>20</span>)</a>. The below recommendations are based on that assessment. Czechia should take due account of the present recommendations and follow up on them in accordance with the European Climate Law.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>While the Union’s net greenhouse gas emissions (including from land use, land use change and forestry (LULUCF) and excluding international transport) show a steady downward trend overall, broadly in line with the linear trajectory achieving the Union’s 2030 climate target of -55 % and the Union’s 2050 climate-neutrality objective, the pace of emission reduction needs to accelerate and action by Member States is essential. Progress across Member States has been mixed with several sectoral challenges and weaknesses that need to be remedied without further delay. The assessment, based on the available information, shows that progress towards the Union’s climate-neutrality objective appears insufficient for Czechia. Reliable long-term strategies are the cornerstone for achieving the economic transformation needed to move towards the Union’s climate-neutrality objective.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>Effective adaptation at the necessary scale and across all exposed sectors requires a clearly mandated governance and coordination structure with high-level political support. This structure may include an interdepartmental taskforce or committee. Adaptation policies should focus on areas or sectors particularly vulnerable to climate change, or whose activities are key to the resilience of other sectors, or which have significant importance to the national economy or public health. Priority response is required on impacts and risks that are expected to affect critical infrastructure or systems with long life span, or are expected to affect systems irreversibly, taking into account interaction with socioeconomic development or other non-climatic drivers. Various EU funding instruments can be mobilised to fund adaptation. Climate resilience considerations should be put in the forefront when Member States design their national plans under the relevant EU funds. None of the spending should do harm to adaptation: that is, increase vulnerabilities either for the beneficiaries or for others. The investment needs of climate adaptation are increasing and will accelerate over the next decades. Improved funding should be accompanied by sufficient capacity and expertise necessary for administration as well as implementation to ensure quality of spending and absorption capacity and avoid maladaptation. In addition to public and private funding, innovative funding instruments could also be explored through cooperation with the private sector and financial institutions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>The most vulnerable communities are those with elevated likelihood of being impacted by climate change. Unequal exposure and vulnerability to climate impacts of different regions and socioeconomic groups worsens pre-existing inequalities and vulnerabilities. Just resilience should reduce the unequal burden of climate risk and ensure equity in the distribution of the benefits of adaptation. The systemic ability to adjust to climate change is a key feature to avoid or moderate potential damage, to take advantage of opportunities, and to cope with the consequences. Physical impacts of climate change are evolving at a faster pace than expected. Progress in adaptive capacity is needed at all levels of the government, and in the public and private sectors, and requires increased awareness on vulnerabilities and risks. Private stakeholders are agents of change by providing information, resources, capacities, and funding. The local level has competences which can impact climate resilience more broadly. The preparation and implementation of sub-national adaptation policies is of significant importance.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>Nature-based solutions offer efficient and cost-effective adaptation and mitigation options, if their deployment is incentivised through strategic frameworks, policies and funding. They can be implemented independently or integrated in other adaptation and mitigation measures, combined with more technological or infrastructure-based solutions. Implementation needs to consider the complexity of ecosystems and the projected effects of climate change, the local context, linked interests and values, and socioeconomic conditions,</p></td></tr></tbody></table>
HEREBY RECOMMENDS THAT CZECHIA TAKES ACTION TO:
CONCERNING THE DRAFT UPDATED NATIONAL ENERGY AND CLIMATE PLAN UNDER REGULATION (EU) 2018/1999
<table><col/><col/><col/><tbody><tr><td/><td><p>1.</p></td><td><span>Set out cost-efficient additional policies and measures, notably in the transport, and buildings sectors, and for non-CO<span>2</span> emissions, including methane, N<span>2</span>O and F-gases from industrial processes and product use, agriculture, and waste management, to bridge the projected gap of 7,3 percentage points to meet the national greenhouse gas target of -26 % in 2030 compared to 2005 levels under the ESR. Provide updated projections to show how the existing and planned policies will deliver on the target and if necessary, specify how flexibilities available under the ESR will be used to ensure compliance. Complement the information on the policies and measures. clearly spelling out their scope, timeline and, where possible, expected greenhouse gas reduction impact, including for measures in Union funding programmes such as the common agricultural policy.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>2.</p></td><td><span>Identify the amount of CO<span>2</span> emissions that could be captured annually by 2030, including the source.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>3.</p></td><td><span>Set out a concrete pathway towards reaching the national LULUCF target as defined in Regulation (EU) 2018/841. Include additional measures in the LULUCF sector, detailing their timing and scope, and quantifying their expected impacts to ensure that greenhouse gas removals are effectively aligned with the 2030 EU net removal target of -310 MtCO<span>2</span>eq and with the country specific removal target of -827 KtCO<span>2</span>eq defined in Regulation (EU) 2018/841. Provide clear information on how public funds (both Union funds, including the common agricultural policy, and State aid) and private financing through carbon farming schemes are consistently and effectively used to achieve the net removal national target. Provide information on the status and progress to be made in ensuring the enhancements to higher tier levels/geographically explicit datasets for monitoring, reporting and verification, in line with Part 3 of Annex V to Regulation (EU) 2018/1999.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>4.</p></td><td><span>Provide additional analysis on the relevant climate vulnerabilities and risks regarding the achievement of the national objectives, targets, and contributions and the policies and measures in the different dimensions of the Energy Union. Better outline and quantify the link to the specific Energy Union objectives and policies, that adaptation policies and measures should support. Set out additional adaptation policies and measures in sufficient detail to support Czechia’s achievement of national objectives, targets and contributions under the Energy Union.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>5.</p></td><td><span>Raise the ambition to a share of renewable energy sources of at least 33 % as a contribution to the Union’s binding renewable energy target for 2030 laid down in Article 3(1) of Directive (EU) 2018/2001, as amended in line with the formula in Annex II to Regulation (EU) 2018/1999. Include an indicative trajectory that reaches the reference points for 2025 and 2027 pursuant to Article 4 (a)(2) of Regulation (EU) 2018/1999.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>6.</p></td><td><span>Provide estimated trajectories and a long-term plan for the deployment of renewable energy technologies over the next 10 years, with an outlook to 2040. Include an indicative target for innovative renewable energy technologies by 2030 in line with Directive (EU) 2018/2001 as amended. Include specific targets to contribute to the indicative sub-targets in buildings and industry for 2030. Include the binding targets in heating and cooling for both 2021-2025 and 2026-2030 and an indicative target to achieve the top-ups of Annex IA of the Directive (EU) 2018/2001 as amended. Include an indicative target in district heating and cooling for the period 2021 to 2030. Include the sub-target for advanced biofuels and renewable fuels of non-biological origin (RFNBOs) in transport by 2030.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>7.</p></td><td><span>Include detailed and quantified policies and measures in a way that enables a timely and cost-effective achievement of its national contribution to the Union’s binding renewable energy target of at least 42,5 % in 2030, with the collective endeavour to increase it to 45 %. Describe in particular how it plans to accelerate permitting and detail the renewable technologies for which it plans to designate ‘renewables acceleration areas’ with faster and simpler procedures. Describe how it aims to accelerate the deployment of renewables via the uptake of renewable power purchase agreements, guarantees of origin and an enabling framework to promote self-consumption and energy communities. Provide further information on how it aims to accelerate the deployment of renewables and the phasing out of fossil fuels in the heating and cooling sector, and in district heating and cooling in line with the Directive (EU) 2018/2001 as amended. Include further detailed measures on an enabling framework for increasing integration between electricity and heating and cooling networks.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>8.</p></td><td><span>Include further measures to promote the sustainable production of biomethane, given Czechia’s sustainable biogas/biomethane potential and production, profile of natural gas consumption and existing infrastructure, digestate use and biogenic CO<span>2</span> applications.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>9.</p></td><td><span>Provide to the extent possible an expected timeline of the steps leading to the adoption of legislative and non-legislative policies and measures aimed at transposing and implementing the provisions of Directive (EU) 2018/2001 as amended, in particular for the measures mentioned in the previous points.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>10.</p></td><td><span>Include the amount of energy consumption reduction to be achieved by all public bodies disaggregated by sector and the total floor area of heated and/or cooled buildings owned by public bodies to be renovated yearly or corresponding yearly energy savings to be achieved.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>11.</p></td><td><span>Set out complete policies and measures to achieve the national contributions on energy efficiency and how the Energy Efficiency First principle will be implemented. Specify robust energy efficiency financing programmes and support schemes, able to mobilise private investments and additional co-financing. Provide information on energy savings measures to ensure the achievement of the required amount of cumulative end-use energy savings by 2030, including quantification of the measures targeting energy poverty.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>12.</p></td><td><span>Support the updated ambition for the decarbonisation of buildings by further information regarding policies, measures specifically addressing quantitative estimation of these policies and measures in terms of fundings, costs, and impacts in terms of energy savings.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>13.</p></td><td><span>Further explain how Czechia intends to continue encouraging gas demand reduction towards 2030. Strengthen resilience of the energy system, in particular by setting an objective for energy storage deployment and putting forward policies and measures to integrate the imperative of climate adaptation in the energy system. Specify appropriate measures for the diversification and long-term supply of nuclear materials, fuel, spare parts, and services for its VVER-440 units and for the planned new nuclear power units, and the long-term management of nuclear waste. Provide more details on announced plans to develop Small Modular Reactor (SMR) projects. Assess the adequacy of the oil infrastructure (refinery, oil stocks) with the expected decline in oil demand, the need to diversify from Russian oil and the move toward lower-carbon alternatives.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>14.</p></td><td><span>Put forward clear objectives and targets for demand response to improve the flexibility of the energy system underpinned by an assessment of the flexibility needs and describe specific measures to facilitate energy system integration in connection with Article 20a of Directive (EU) 2018/2001 as amended by Directive (EU) 2023/2413. Increase the level of consumer empowerment in the retail market by including more elements on energy communities, self-consumption, energy sharing or collective purchasing.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>15.</p></td><td><span>Further develop the approach to addressing energy poverty by including an assessment of the situation of current households affected and indicating a specific measurable reduction target as required by Regulation (EU) 2018/1999 taking account of Recommendation (EU) 2023/2407, and related policies and measures. Where possible, explain how the use of current affordability and energy efficiency measures already alleviate energy poverty, taking into account information on the financial resources and schemes dedicated to these measures.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>16.</p></td><td><span>Further clarify national objectives in research, innovation and competitiveness to deploy clean technologies, establishing a pathway for 2030 and 2050 with a view to support the decarbonisation of industry and promote the transition of businesses towards a net zero and circular economy. Put forward policies and measures to promote the development of net-zero projects including those relevant for the energy intensive industries. Describe a predictable and simplified regulatory framework for permitting procedures and how access to national funding will be simplified where needed. Provide detailed policies and measures for the development of clean energy-related skills, and to facilitate open trade for resilient and sustainable supply chains of key net-zero components and equipment.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>17.</p></td><td><span>Specify the reforms and measures to mobilise the private investments needed to achieve the energy and climate targets. Improve and extend the analysis of investment needs to include a comprehensive and consistent overview of the public and private investment needs in aggregate and by sector. Complement a top-down economy-wide approach with a bottom-up project specific assessment. Include a breakdown of total investment needs with additional information on the national, regional and Union funding sources as well as private financial sources to be mobilised. Add a short description of the type of financial support scheme chosen to implement the policies and measures, which are financed through the public budget, and the use of blended financial instruments making use of grants, loans, technical assistance and public guarantees, including role of the national promotional banks in the respective schemes and/or how private financing is mobilised. Consider the cost-effective generation of transfers to other Member States under the ESR as a funding source. Provide a robust assessment of the macroeconomic impact of the planned policies and measures.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>18.</p></td><td><span>Outline how the policies and measures included in the updated plan are consistent with Czechia’s national recovery and resilience plan, including the RepowerEU chapter.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>19.</p></td><td><span>Explain in more detail how and by when Czechia intends to phase out fossil fuel subsidies.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>20.</p></td><td><span>Provide detailed information on the social, employment and skills consequences, or any other distributional impacts, of the climate and energy transition, and on the planned objectives, policies and measures to support a just transition. Specify the form of support, the impact of the initiatives, the targeted groups and the resources dedicated, taking into account the Council Recommendation on ensuring a fair transition towards climate neutrality <a>(<span>21</span>)</a>. Include, to the extent possible, more elements to provide an adequate analytical basis for the preparation of a future Social Climate Plan, in accordance with Regulation (EU) 2023/955 of the European Parliament and of the Council <a>(<span>22</span>)</a>, including indications on how to assess the impacts on the most vulnerable of the emissions trading system for fuel combustion in buildings, road transport and additional sectors, and to identify potential beneficiaries and a relevant policy framework. Explain how the policy framework identified in the NECP will contribute to the preparation of Czechia’s Social Climate Plan and how the consistency between the two plans will be ensured.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>21.</p></td><td><span>Ensure inclusive public participation within a reasonable timeframe and broad participation of local authorities and civil society in the preparation of the plan. Provide a clear overview on how the consultation process will enable broad public participation from all relevant authorities, citizens, and stakeholders, including social partners, in the preparation of both the draft and final updated plan. Provide a summary of the views expressed by different actors, and a summary of how the plan integrates the views expressed during the consultations.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>22.</p></td><td><span>Intensify regional cooperation with neighbouring Member States and within established regional cooperation frameworks such as Visegrad Group. Since Czechia is not a member country of any Regional High-Level Groups established by the European Commission, consider joining the Central and South-Eastern Europe Energy Connectivity (CESEC) High-Level Group, in the light of its mandate to steer regional discussions and initiatives dedicated to hydrogen infrastructure development, deployment of renewable energy and related network enhancement as well as grid smartening in CEE and SEE regions. Describe how it plans to establish a framework for cooperation with other Member States by 2025, in line with Article 9 of the Directive (EU) 2023/2413. Pursue its efforts to sign the four required bilateral solidarity arrangements for the security of gas supply with its neighbours (Poland, Slovakia, Germany, Austria).</span></td></tr></tbody></table>
CONCERNING THE CONSISTENCY OF NATIONAL MEASURES WITH THE CLIMATE-NEUTRALITY OBJECTIVE AND WITH ENSURING PROGRESS ON ADAPTATION UNDER REGULATION (EU) 2021/1119
<table><col/><col/><col/><tbody><tr><td/><td><p>1.</p></td><td><span>Step up climate mitigation efforts, by making tangible progress on the existing and planned policies and consider additional, urgent measures to align the expected greenhouse gas emission reductions and projections with the climate-neutrality objective. In particular, effort should be directed towards reducing transport emissions and increasing removals in the LULUCF sector.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>2.</p></td><td><span>Update and increase the ambition and quality of the national long-term strategy, by clarifying Czechia’s long-term climate neutrality goal, and substantiating Czechia’s emission reductions and enhancement of removals targets in individual sectors with credible policies and measures.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>3.</p></td><td><span>Reinforce and clearly mandate a governance structure able to support strong planning deployment of solutions for adaptation across all sectors, population groups and administrative levels. Ensure that the adaptation priorities, strategies, policies, plans, and efforts are commensurate with the predicted future climate vulnerabilities and risks, based on the best available science and the climate prediction and early warning tools available. Put climate resilience considerations more to the forefront in the use of support from Union funding programmes, such as the common agricultural policy, cohesion policy funding and other relevant EU funds. The funds should be spent in such a way that they increase climate resilience and do not increase vulnerabilities (i.e., do no significant harm to adaptation). Ensure that public and private financing mechanisms for adaptation actions are in place and that the budgets are commensurate with the investment needs, in particular in the priority vulnerable sectors.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>4.</p></td><td><span>Engage stakeholders groups that are particularly vulnerable to the impacts of climate change in Czechia’s adaptation policy design and implementation. Document the processes and outcomes of relevant consultations. Improve coordination between different levels of governance (national/regional/local) to align planning tools and help coordinated interventions aimed at systemic transformation. Involve social partners and private sector stakeholders in policy design, implementation, and investments. Document the processes and outcomes of relevant consultations. Establish mechanisms to ensure that sub-national policies are prepared, and that they are regularly reviewed and updated.</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>5.</p></td><td><span>Promote nature-based solutions and ecosystem-based adaptation in national strategies, policies and plans and provide investments for their deployment.</span></td></tr></tbody></table>
Done at Brussels, 18 December 2023.
For the Commission
Kadri SIMSON
Member of the Commission
( 1 ) OJ L 328, 21.12.2018, p. 1 .
( 2 ) OJ L 243, 9.7.2021, p. 1 .
( 3 ) Commission Notice on the Guidance to Member States for the update of the 2021-2030 national energy and climate plans ( OJ C 495, 29.12.2022, p. 24 ).
( 4 ) COM(2022) 230 final.
( 5 ) SWD(2022) 605 final, SWD(2023) 603 final.
( 6 ) COM(2022) 605 Recommendation for a Council Recommendation; COM(2023) 603 final, Recommendation for a Council Recommendation.
( 7 ) Regulation (EU) 2018/842 of the European Parliament and of the Council of 30 May 2018 on binding annual greenhouse gas emission reductions by Member States from 2021 to 2030 contributing to climate action to meet commitments under the Paris Agreement and amending Regulation (EU) No 525/2013 ( OJ L 156, 19.6.2018, p. 26 ), as amended by Regulation (EU) 2023/857 of the European Parliament and of the Council of 19 April 2023 amending Regulation (EU) 2018/842 on binding annual greenhouse gas emission reductions by Member States from 2021 to 2030 contributing to climate action to meet commitments under the Paris Agreement, and Regulation (EU) 2018/1999 ( OJ L 111, 26.4.2023, p. 1 ).
( 8 ) Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC ( OJ L 275, 25.10.2003, p. 32 ).
( 9 ) Regulation (EU) 2018/841 of the European Parliament and of the Council of 30 May 2018 on the inclusion of greenhouse gas emissions and removals from land use, land use change and forestry in the 2030 climate and energy framework, and amending Regulation (EU) No 525/2013 and Decision No 529/2013/EU ( OJ L 156, 19.6.2018, p. 1 ), as amended by Regulation (EU) 2023/839 of the European Parliament and of the Council of 19 April 2023 amending Regulation (EU) 2018/841 as regards the scope, simplifying the reporting and compliance rules, and setting out the targets of the Member States for 2030, and Regulation (EU) 2018/1999 as regards improvement in monitoring, reporting, tracking of progress and review ( OJ L 107, 21.4.2023, p. 1 ).
( 10 ) Directive (EU) 2018/2001 of the European Parliament and of the Council of 11 December 2018 on the promotion of the use of energy from renewable sources ( OJ L 328, 21.12.2018, p. 82 ), as amended by Directive (EU) 2023/2413 of the European Parliament and of the Council of 18 October 2023 amending Directive (EU) 2018/2001, Regulation (EU) 2018/1999 and Directive 98/70/EC as regards the promotion of energy from renewable sources, and repealing Council Directive (EU) 2015/652 ( OJ L, 2023/2413, 31.10.2023, ELI: http://data.europa.eu/eli/dir/2023/2413/oj ).
( 11 ) Communication on European Wind Power Action Plan COM(2023) 669 final, 24.10.2023 and Communication on delivering EU offshore renewable energy ambition, COM(2023) 668 final.
( 12 ) Directive (EU) 2023/1791 of the European Parliament and of the Council of 13 September 2023 on energy efficiency and amending Regulation (EU) 2023/955 ( OJ L 231, 20.9.2023, p. 1 ).
( 13 ) Communication from the Commission to the European Parliament, the Council, the European economic and social committee, ‘Save gas for a safe winter’, COM(2022) 360 final.
( 14 ) Regulation (EU) 2019/941 of the European Parliament and of the Council of 5 June 2019 on risk preparedness in the electricity sector and repealing Directive 2005/89/EC ( OJ L 158, 14.6.2019, p. 1 ).
( 15 ) Regulation (EU) 2017/1938 of the European Parliament and of the Council of 25 October 2017 concerning measures to safeguard the security of gas supply and repealing Regulation (EU) No 994/2010 ( OJ L 280, 28.10.2017, p. 1 ).
( 16 ) Commission Recommendation of 14 March 2023 on Energy Storage – Underpinning a decarbonised and secure EU Energy system ( OJ C 103, 20.3.2023, p. 1 ).
( 17 ) Commission Recommendation (EU) 2023/2407 of 20 October 2023 on energy poverty ( OJ L, 2023/2407, 23.10.2023, ELI: http://data.europa.eu/eli/reco/2023/2407/oj ).
( 18 ) Convention on access to information, Public Participation in Decision-making and Access to Justice in Environmental Matters of 25 June 1998 (the ‘Aarhus convention’).
( 19 ) SWD(2023) 926.
( 20 ) EU Climate Action Progress Report 2023, COM(2023) 653 final, and Commission Staff Working Document Assessment of progress on climate adaptation in the individual Member States according to the European Climate Law, SWD(2023) 932.
( 21 ) Council Recommendation of 16 June 2022 on ensuring a fair transition towards climate neutrality ( OJ C 243, 27.6.2022, p. 35 ).
( 22 ) Regulation (EU) 2023/955 of the European Parliament and of the Council of 10 May 2023 establishing a Social Climate Fund and amending Regulation (EU) 2021/1060 ( OJ L 130, 16.5.2023, p. 1 ).
ELI: http://data.europa.eu/eli/reco/2024/603/oj
ISSN 1977-0677 (electronic edition) | ENG | 32024H0603 |
<table><col/><col/><col/><col/><tbody><tr><td><p>9.6.2021   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 203/14</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING DECISION (EU) 2021/927
of 31 May 2021
determining the uniform cross-sectoral correction factor for the adjustment of free allocations of emission allowances for the period 2021 to 2025
(notified under document C(2021) 3745)
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Commission Delegated Regulation (EU) 2019/331 ( 1 ) of 19 December 2018 determining transitional Union-wide rules for harmonised free allocation of emission allowances pursuant to Article 10a of Directive 2003/87/EC of the European Parliament and of the Council, and in particular Article 14(6) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Articles 10a(5), 10a(5a) and 10a(8) of Directive 2003/87/EC of the European Parliament and of the Council <a>(<span>2</span>)</a> provide for a maximum annual amount of allowances constituting the basis for calculating allowances allocated free of charge to installations not covered by Article 10a(3) of that Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The maximum amount of free allocation of allowances provided for by Article 10a(5) of Directive 2003/87/EC minus the amount referred to in Article 10a(8) and taking into account the available additional amount, where necessary, set by Article 10a(5a) of that Directive should not be exceeded in order to respect the auctioning share set out in Article 10 of Directive 2003/87/EC. In order to ensure that that maximum annual amount of allowances is not exceeded, an annual cross-sectoral correction factor should be applied, if necessary, reducing in a uniform manner the number of free allowances for each installation eligible for free allocation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Pursuant to Article 14(6) of Delegated Regulation (EU) 2019/331, the Commission is to determine the cross-sectoral correction factor for each year of the relevant allocation period once the preliminary annual amounts of free allowances for that period are notified.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The cross-sectoral correction factor applicable each year of the allocation period 2021 to 2025 to installations that are not identified as electricity generators and that are not new entrants should be determined based on the preliminary annual amount of emission allowances allocated free of charge over the allocation period, not including the free allowances allocated to the installations that are excluded by Member States from the emissions trading system within the Union (EU ETS), in accordance with Article 27 or 27a of Directive 2003/87/EC and including the free allowances allocated to installations that are included by Member States in accordance with Article 24 of that Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>For 2021, the Union-wide quantity of allowances referred to in Article 9 of Directive 2003/87/EC amounts to 1 571 583 007, as set out in Article 1 of Commission Decision (EU) 2020/1722 <a>(<span>3</span>)</a>. In accordance with Article 10(1), first and second subparagraphs, of Directive 2003/87/EC, the maximum (annual) amount provided for by Article 10a(5) was calculated as 43 % of 1 571 583 007, that is 675 780 693. From this amount of 675 780 693, 32 500 000 allowances should be deducted annually in accordance with Article 10a(8) of Directive 2003/87/EC, leading to a maximum amount of 643 280 693 for 2021. Pursuant to Article 10a(5a) of Directive 2003/87/EC, an additional amount of up to 3 % of the total quantity of allowances, amounting to 413 420 157 over the ten-year period 2021 to 2030, would be used to increase the maximum amount available if the preliminary annual amounts of free allowances per installation as submitted by the Member States and the EEA EFTA states, applying the relevant factor determined in Annex V to Delegated Regulation (EU) 2019/331, exceeded the maximum quantity referred to in Article 10a(5) of the Directive. The latter was however not the case. Therefore, the annual cross-sectoral correction factor should be 100 %.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Any unused allowances from the maximum amounts in the year 2021 should be made available in the subsequent year, namely 2022. That logic should continue to apply for subsequent years during the allocation period 2021 to 2025 referred to in Article 2, point 15 of Delegated Regulation (EU) 2019/331.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The maximum amounts provided for by Article 10a(5), 10a(5a) and 10a(8) of Directive 2003/87/EC, the harmonised allocation rules and the cross-sectoral correction factor are to be applied in the EEA EFTA States <a>(<span>4</span>)</a>. It is therefore necessary to take into account the preliminary annual amounts of emission allowances allocated free of charge over the period 2021 to 2025 based on the data accepted by the EFTA Surveillance Authority with regard to Iceland, Liechtenstein and Norway. The calculations referred to in recital 5 reflect this necessity,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
For each year in the allocation period 2021 to 2025, the uniform cross-sectoral correction factor for the adjustment of free allocations of emission allowances in accordance with Article 10a(5) and 10a(5a) of Directive 2003/87/EC shall be 100 %.
Article 2
This Decision is addressed to the Member States.
Done at Brussels, 31 May 2021.
For the Commission
Frans TIMMERMANS
Executive Vice-President
<note>
( 1 ) OJ L 59, 27.2.2019, p. 8 .
( 2 ) Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC ( OJ L 275, 25.10.2003, p. 32 ).
( 3 ) Commission Decision (EU) 2020/1722 of 16 November 2020 on the Union-wide quantity of allowances to be issued under the EU Emissions Trading System for 2021 ( OJ L 386, 18.11.2020, p. 26 ).
( 4 ) Decision of the EEA Joint Committee No 112/2020 of 14 July 2020 amending Annex XX (Environment) to the EEA Agreement (Not yet published in the Official Journal).
</note> | ENG | 32021D0927 |
<table><col/><col/><col/><col/><tbody><tr><td><p>5.7.2019   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 181/2</p></td></tr></tbody></table>
COMMISSION DELEGATED REGULATION (EU) 2019/1143
of 14 March 2019
amending Delegated Regulation (EU) 2015/2446 as regards the declaration of certain low-value consignments
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 of the Council of 9 October 2013 laying down the Union Customs Code ( 1 ) , and in particular Articles 7(a) and 160 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Pursuant to Regulation (EU) No 952/2013 (‘Code’), customs declarations may, in specific cases, be lodged using means other than electronic-data processing techniques.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Commission Delegated Regulation (EU) 2015/2446 <a>(<span>2</span>)</a> provides that goods with an intrinsic value not exceeding EUR 22 may temporarily be declared by simply presenting them to customs instead than by lodging a customs declaration. One of the reasons for this is that most goods with a value not exceeding EUR 22 may be granted an exemption from VAT by the Member States pursuant to Article 23 of Council Directive 2009/132/EC <a>(<span>3</span>)</a>. Those goods may also benefit from a relief from customs duty pursuant to Council Regulation (EC) No 1186/2009 <a>(<span>4</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Currently, the possibility to declare goods with a value not exceeding EUR 22 by presenting them to customs is limited to the period before Member States upgrade their National Import Systems referred to in the Annex to Commission Implementing Decision (EU) 2016/578 <a>(<span>5</span>)</a>. In addition, Council Directive (EU) 2017/2455 <a>(<span>6</span>)</a> abolishes the VAT exemption for goods with a value not exceeding EUR 22 with effect from 1 January 2021. As a result, in the Member States that upgrade their National Import Systems before 1 January 2021, the possibility of declaring those goods by presenting them to customs would be removed and a customs declaration would be required even if there is no obligation to collect VAT on those goods and a relief from customs duty applies. Delegated Regulation (EU) 2015/2446 should therefore be amended to ensure that the possibility to declare goods with an intrinsic value not exceeding EUR 22 by presenting them to customs is available until the EUR 22 threshold is abolished for VAT purposes.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Annex B to Delegated Regulation (EU) 2015/2446 defines the data requirements for customs declarations. The increase in e-commerce transactions has revealed that those data requirements are not adequate for declaring goods imported in consignments of an intrinsic value not exceeding EUR 150 or consignments not of a commercial nature sent by a private individual to another private individual (low-value consignments). First, part of the data required in Annex B is not necessary in that context because, pursuant to Articles 23 and 25 of Regulation (EC) No 1186/2009, most goods imported in low-value consignments are exempt from customs duties. Second, the customs declaration of those goods will be mostly needed to comply with the rules for VAT on goods imported in consignments with an intrinsic value not exceeding EUR 150 introduced by Directive (EU) 2017/2455, namely, for the VAT rules related to the special scheme for distance sales of goods imported from third countries or third territories set out in Section 4 of Chapter 6 of Title XII of Council Directive 2006/112/EC <a>(<span>7</span>)</a> or for levying VAT under the special arrangements for declaration and payment of import VAT in Chapter 7 of Title XII of the same Directive. Third, the high volume of low-value consignments makes it necessary to adapt to the maximum possible extent the dataset required for customs purposes to the electronic information sent by the operator at the place of dispatch of the goods (i.e. in a third country).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>It is therefore necessary to amend Delegated Regulation (EU) 2015/2446 to introduce the possibility to declare low-value consignments for customs purposes using a different dataset, one that contains less elements than a standard customs declaration dataset. That possibility should be available from the date of application of the measures for levying VAT on goods imported in consignments with an intrinsic value not exceeding EUR 150 set out in Directive (EU) 2017/2455.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>However, the possibility to declare low-value consignments using the reduced dataset should not be available for goods subject to prohibitions or restrictions. Those goods should continue to be declared using a standard customs declaration with all the relevant information. The reduced dataset should not be used either to declare goods that are exempt from VAT on importation pursuant to Article 143(1)(d) of Directive 2006/112/EC (customs procedure codes 42 and 63). The reduced dataset is conceived for the cases in which VAT has already been declared in accordance with the special scheme for distance sales of goods imported from third countries or third territories in accordance with Section 4 of Chapter 6 of Title XII of Directive 2006/112/EC and so there is no need to collect VAT at importation; the reduced dataset is also conceived for the cases in which the Member State of importation is also the Member State of consumption for VAT purposes and therefore the Member State levying VAT. By contrast, goods imported under customs procedure codes 42 and 63 are imported in a Member State different from the Member State that will levy VAT and the reduced dataset does not contain enough information to comply with all the VAT-related requirements applicable in those cases.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Delegated Regulation (EU) 2015/2446 should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Delegated Regulation (EU) 2015/2446 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 141(5) is replaced by the following:</p><div><p>‘5.   Until the date preceding the date set out in the fourth subparagraph of Article 4(1) of Council Directive (EU) 2017/2455<a> (<span>*1</span>)</a>, goods the intrinsic value of which does not exceed EUR 22 shall be deemed to be declared for release for free circulation by their presentation to customs pursuant to Article 139 of the Code, provided that the data required are accepted by the customs authorities.</p></div><p><a>(<span>*1</span>)</a>  Council Directive (EU) 2017/2455 of 5 December 2017 amending Directive 2006/112/EC and Directive 2009/132/EC as regards certain value added tax obligations for supplies of services and distance sales of goods (<a>OJ L 348, 29.12.2017, p. 7</a>).’;"</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>the following Article 143a is inserted:</p><div><p>‘Article 143a</p><p>Customs declaration for consignments of low value</p><p>(Article 6(2) of the Code)</p><div><p>(1)   From the date set out in the fourth subparagraph of Article 4(1) of Directive (EU) 2017/2455, a person may lodge a customs declaration for release for free circulation containing the specific dataset referred to in Annex B in respect of a consignment which benefits from a relief from import duty in accordance with Article 23(1) or Article 25(1) of Regulation (EC) No 1186/2009, under the condition that the goods in that consignment are not subject to prohibitions and restrictions.</p></div><div><p>(2)   By way of derogation from paragraph 1, the specific dataset for consignments of low value shall not be used for the following:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>release for free circulation of goods the importation of which is exempt from VAT in accordance with point (d) of Article 143(1) of Directive 2006/112/EC and, where applicable, moved under an excise duty suspension in accordance with Article 17 of Directive 2008/118/EC;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>re-import with release for free circulation of goods the importation of which is exempt from VAT in accordance with point (d) of Article 143(1) of Directive 2006/112/EC and, where applicable, moved under an excise duty suspension in accordance with Article 17 of Directive 2008/118/EC.’;</p></td></tr></tbody></table></div></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Annex B is amended as set out in the Annex to this Regulation.</p></td></tr></tbody></table>
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, 14 March 2019.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 269, 10.10.2013, p. 1 .
( 2 ) 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 ).
( 3 ) Council Directive 2009/132/EC of 19 October 2009 determining the scope of Article 143(b) and (c) of Directive 2006/112/EC as regards exemption from value added tax on the final importation of certain goods ( OJ L 292, 10.11.2009, p. 5 ).
( 4 ) Council Regulation (EC) No 1186/2009 of 16 November 2009 setting up a Community system of reliefs from customs duty ( OJ L 324, 10.12.2009, p. 23 ).
( 5 ) 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 ).
( 6 ) Council Directive (EU) 2017/2455 of 5 December 2017 amending Directive 2006/112/EC and Directive 2009/132/EC as regards certain value added tax obligations for supplies of services and distance sales of goods ( OJ L 348, 29.12.2017, p. 7 ).
( 7 ) Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax ( OJ L 347, 11.12.2006, p. 1 ).
ANNEX
Annex B to Delegated Regulation (EU) 2015/2446 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Title I is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>in Chapter 2, in Section 1, after the row relating to column H6, the following row is inserted:</p><table><col/><col/><col/><tbody><tr><td><p>‘H7</p></td><td><p>Customs declaration for release for free circulation in respect of a consignment which benefits from a relief from import duty in accordance with Article 23(1) or Article 25(1) of Regulation (EC) No 1186/2009</p></td><td><p>Articles 5(12), 162 and 201 of the Code’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in Chapter 3, Section 1 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>in Group 1, between columns H6 and I1, the following column is inserted:</p><table><col/><col/><col/><tbody><tr><td><p> </p></td><td><p> </p></td><td><p>‘H</p></td></tr><tr><td><p>D.E No</p></td><td><p>D.E. name</p></td><td><p>7</p></td></tr><tr><td><p><span>1/1</span></p></td><td><p>Declaration type</p></td><td><p> </p></td></tr><tr><td><p><span>1/2</span></p></td><td><p>Additional Declaration type</p></td><td><p> </p></td></tr><tr><td><p><span>1/3</span></p></td><td><p>Transit Declaration/Proof of customs status type</p></td><td><p> </p></td></tr><tr><td><p><span>1/4</span></p></td><td><p>Forms</p></td><td><p> </p></td></tr><tr><td><p><span>1/5</span></p></td><td><p>Loading lists</p></td><td><p> </p></td></tr><tr><td><p><span>1/6</span></p></td><td><p>Goods item number</p></td><td><p>A</p><p>X</p></td></tr><tr><td><p><span>1/7</span></p></td><td><p>Specific circumstance indicator</p></td><td><p> </p></td></tr><tr><td><p><span>1/8</span></p></td><td><p>Signature/Authentication</p></td><td><p> </p></td></tr><tr><td><p><span>1/9</span></p></td><td><p>Total number of items</p></td><td><p> </p></td></tr><tr><td><p><span>1/10</span></p></td><td><p>Procedure</p></td><td><p> </p></td></tr><tr><td><p><span>1/11</span></p></td><td><p>Additional procedure</p></td><td><p>A</p><p>X’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>in Group 2, between columns H6 and I1, the following column is inserted:</p><table><col/><col/><col/><tbody><tr><td><p> </p></td><td><p> </p></td><td><p>‘H</p></td></tr><tr><td><p>D.E No</p></td><td><p>D.E. name</p></td><td><p>7</p></td></tr><tr><td><p><span>2/1</span></p></td><td><p>Simplified declaration/Previous documents</p></td><td><p>A</p><p>[7]</p><p>XY</p></td></tr><tr><td><p><span>2/2</span></p></td><td><p>Additional information</p></td><td><p>C</p><p>XY</p></td></tr><tr><td><p><span>2/3</span></p></td><td><p>Documents produced, certificates and authorisations, additional references</p></td><td><p>A</p><p>[7]</p><p>X</p></td></tr><tr><td><p><span>2/4</span></p></td><td><p>Reference number/UCR</p></td><td><p>C</p><p>XY</p></td></tr><tr><td><p><span>2/5</span></p></td><td><p>LRN</p></td><td><p> </p></td></tr><tr><td><p><span>2/6</span></p></td><td><p>Deferred payment</p></td><td><p>B</p><p>[53]</p><p>Y</p></td></tr><tr><td><p><span>2/7</span></p></td><td><p>Identification of warehouse’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>in Group 3, between columns H6 and I1, the following column is inserted:</p><table><col/><col/><col/><tbody><tr><td><p> </p></td><td><p> </p></td><td><p>‘H</p></td></tr><tr><td><p>D.E No</p></td><td><p>D.E. name</p></td><td><p>7</p></td></tr><tr><td><p><span>3/1</span></p></td><td><p>Exporter</p></td><td><p>A</p><p>XY</p></td></tr><tr><td><p><span>3/2</span></p></td><td><p>Exporter identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/3</span></p></td><td><p>Consignor – Master level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/4</span></p></td><td><p>Consignor identification no – Master level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/5</span></p></td><td><p>Consignor – House level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/6</span></p></td><td><p>Consignor identification no – House level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/7</span></p></td><td><p>Consignor</p></td><td><p> </p></td></tr><tr><td><p><span>3/8</span></p></td><td><p>Consignor identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/9</span></p></td><td><p>Consignee</p></td><td><p> </p></td></tr><tr><td><p><span>3/10</span></p></td><td><p>Consignee identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/11</span></p></td><td><p>Consignee – Master level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/12</span></p></td><td><p>Consignee identification no – Master level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/13</span></p></td><td><p>Consignee – House level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/14</span></p></td><td><p>Consignee identification no – House level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/15</span></p></td><td><p>Importer</p></td><td><p>A</p><p>[12]</p><p>Y</p></td></tr><tr><td><p><span>3/16</span></p></td><td><p>Importer identification no</p></td><td><p>A</p><p>[14]</p><p>Y</p></td></tr><tr><td><p><span>3/17</span></p></td><td><p>Declarant</p></td><td><p>A</p><p>[12]</p><p>Y</p></td></tr><tr><td><p><span>3/18</span></p></td><td><p>Declarant identification no</p></td><td><p>A</p><p>Y</p></td></tr><tr><td><p><span>3/19</span></p></td><td><p>Representative</p></td><td><p>A</p><p>[12]</p><p>Y</p></td></tr><tr><td><p><span>3/20</span></p></td><td><p>Representative identification no</p></td><td><p>A</p><p>Y</p></td></tr><tr><td><p><span>3/21</span></p></td><td><p>Representative status code</p></td><td><p>A</p><p>Y</p></td></tr><tr><td><p><span>3/22</span></p></td><td><p>Holder of the transit procedure</p></td><td><p> </p></td></tr><tr><td><p><span>3/23</span></p></td><td><p>Holder of the transit procedure identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/24</span></p></td><td><p>Seller</p></td><td><p> </p></td></tr><tr><td><p><span>3/25</span></p></td><td><p>Seller identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/26</span></p></td><td><p>Buyer</p></td><td><p> </p></td></tr><tr><td><p><span>3/27</span></p></td><td><p>Buyer identification No</p></td><td><p> </p></td></tr><tr><td><p><span>3/28</span></p></td><td><p>Person notifying the arrival identification No</p></td><td><p> </p></td></tr><tr><td><p><span>3/29</span></p></td><td><p>Person notifying the diversion identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/30</span></p></td><td><p>Person presenting the goods to customs identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/31</span></p></td><td><p>Carrier</p></td><td><p> </p></td></tr><tr><td><p><span>3/32</span></p></td><td><p>Carrier identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/33</span></p></td><td><p>Notify party – Master level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/34</span></p></td><td><p>Notify party identification no – Master level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/35</span></p></td><td><p>Notify party – House level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/36</span></p></td><td><p>Notify party identification no – House level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>3/37</span></p></td><td><p>Additional supply chain actor(s) identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/38</span></p></td><td><p>Person submitting the additional ENS particulars identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/39</span></p></td><td><p>Holder of the authorisation identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/40</span></p></td><td><p>Additional fiscal references identification no</p></td><td><p>A</p><p>[54]</p><p>XY</p></td></tr><tr><td><p><span>3/41</span></p></td><td><p>Person presenting the goods to customs in case of entry in the declarant's records or pre-lodged customs declarations identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/42</span></p></td><td><p>Person lodging the customs goods manifest identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/43</span></p></td><td><p>Person requesting a proof of the customs status of Union goods identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/44</span></p></td><td><p>Person notifying the arrival of goods following movement under temporary storage identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/45</span></p></td><td><p>Person providing a guarantee identification no</p></td><td><p> </p></td></tr><tr><td><p><span>3/46</span></p></td><td><p>Person paying the customs duty identification no’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>in Group 3, in the row relating to data element 3/1, in the columns H1, H3, H4, H5, H6 and I1, the letter ‘B’ is replaced by ‘A[12]’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>in Group 3, in the row relating to data element 3/2, in the columns H1, H3, H4, H5, H6 and I1, the letter ‘B’ is replaced by ‘A[14]’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>in Group 4, between columns H6 and I1, the following column is inserted:</p><table><col/><col/><col/><tbody><tr><td><p> </p></td><td><p> </p></td><td><p>‘H</p></td></tr><tr><td><p>D.E No</p></td><td><p>D.E. name</p></td><td><p>7</p></td></tr><tr><td><p><span>4/1</span></p></td><td><p>Delivery terms</p></td><td><p> </p></td></tr><tr><td><p><span>4/2</span></p></td><td><p>Transport charges method of payment</p></td><td><p> </p></td></tr><tr><td><p><span>4/3</span></p></td><td><p>Calculation of taxes – Tax type</p></td><td><p> </p></td></tr><tr><td><p><span>4/4</span></p></td><td><p>Calculation of taxes – Tax base</p></td><td><p> </p></td></tr><tr><td><p><span>4/5</span></p></td><td><p>Calculation of taxes – Tax rate</p></td><td><p> </p></td></tr><tr><td><p><span>4/6</span></p></td><td><p>Calculation of taxes – Payable tax amount</p></td><td><p> </p></td></tr><tr><td><p><span>4/7</span></p></td><td><p>Calculation of taxes – Total</p></td><td><p> </p></td></tr><tr><td><p><span>4/8</span></p></td><td><p>Calculation of taxes – Method of payment</p></td><td><p>B</p><p>[53]</p><p>X</p></td></tr><tr><td><p><span>4/9</span></p></td><td><p>Additions and deductions</p></td><td><p> </p></td></tr><tr><td><p><span>4/10</span></p></td><td><p>Invoice currency</p></td><td><p> </p></td></tr><tr><td><p><span>4/11</span></p></td><td><p>Total amount invoiced</p></td><td><p> </p></td></tr><tr><td><p><span>4/12</span></p></td><td><p>Internal currency unit</p></td><td><p> </p></td></tr><tr><td><p><span>4/13</span></p></td><td><p>Valuation indicators</p></td><td><p> </p></td></tr><tr><td><p><span>4/14</span></p></td><td><p>Item price/amount</p></td><td><p> </p></td></tr><tr><td><p><span>4/15</span></p></td><td><p>Exchange rate</p></td><td><p> </p></td></tr><tr><td><p><span>4/16</span></p></td><td><p>Valuation method</p></td><td><p> </p></td></tr><tr><td><p><span>4/17</span></p></td><td><p>Preference</p></td><td><p> </p></td></tr><tr><td><p><span>4/18</span></p></td><td><p>Value</p></td><td><p>A</p><p>X</p></td></tr><tr><td><p><span>4/19</span></p></td><td><p>Transport costs to the final destination</p></td><td><p>A</p><p>XY’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>in Group 4, in the row relating to data element 4/18, in the column ‘D.E. name’, the words ‘Postal value’ are replaced by the word ‘Value’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>in Group 4, in the row relating to data element 4/19, in the column ‘D.E. name’, the words ‘Postal charges’ are replaced by the words ‘Transport costs to the final destination’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>in Group 6, between columns H6 and I1, the following column is inserted:</p><table><col/><col/><col/><tbody><tr><td><p> </p></td><td><p> </p></td><td><p>‘H</p></td></tr><tr><td><p>D.E No</p></td><td><p>D.E. name</p></td><td><p>7</p></td></tr><tr><td><p><span>6/1</span></p></td><td><p>Net mass (kg)</p></td><td><p> </p></td></tr><tr><td><p><span>6/2</span></p></td><td><p>Supplementary units</p></td><td><p>A</p><p>[55]</p><p>X</p></td></tr><tr><td><p><span>6/3</span></p></td><td><p>Gross mass (kg) – Master level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>6/4</span></p></td><td><p>Gross mass (kg) – House level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>6/5</span></p></td><td><p>Gross mass (kg)</p></td><td><p>A</p><p>XY</p></td></tr><tr><td><p><span>6/6</span></p></td><td><p>Description of goods – Master level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>6/7</span></p></td><td><p>Description of goods – House level transport contract</p></td><td><p> </p></td></tr><tr><td><p><span>6/8</span></p></td><td><p>Description of goods</p></td><td><p>A</p><p>X</p></td></tr><tr><td><p><span>6/9</span></p></td><td><p>Type of packages</p></td><td><p> </p></td></tr><tr><td><p><span>6/10</span></p></td><td><p>Number of packages</p></td><td><p>A</p><p>[52]</p><p>X</p></td></tr><tr><td><p><span>6/11</span></p></td><td><p>Shipping marks</p></td><td><p> </p></td></tr><tr><td><p><span>6/12</span></p></td><td><p>UN Dangerous Goods code</p></td><td><p> </p></td></tr><tr><td><p><span>6/13</span></p></td><td><p>CUS code</p></td><td><p> </p></td></tr><tr><td><p><span>6/14</span></p></td><td><p>Commodity code – Combined Nomenclature code</p></td><td><p>A</p><p>X</p></td></tr><tr><td><p><span>6/15</span></p></td><td><p>Commodity code – TARIC code</p></td><td><p> </p></td></tr><tr><td><p><span>6/16</span></p></td><td><p>Commodity code – TARIC additional code(s)</p></td><td><p> </p></td></tr><tr><td><p><span>6/17</span></p></td><td><p>Commodity code – National additional code(s)</p></td><td><p> </p></td></tr><tr><td><p><span>6/18</span></p></td><td><p>Total packages</p></td><td><p> </p></td></tr><tr><td><p><span>6/19</span></p></td><td><p>Type of goods’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>in Chapter 3, in Section 2, the following notes are added:</p><table><col/><col/><tbody><tr><td><p>Note number</p></td><td><p>Note description</p></td></tr><tr><td><p>‘[52]</p></td><td><p>This information is not required for postal consignments.</p></td></tr><tr><td><p>[53]</p></td><td><p>This information is not required:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>when the goods are declared for release for free circulation under the special scheme for distance sales of goods imported from third countries and territories set out in Title XII Chapter 6 Section 4 of Directive 2006/112/EC; or</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>when the goods are of a non-commercial character sent from a third country by private persons to other private persons in a Member State and exempt from VAT pursuant to Article 1 of Council Directive 2006/79/EC<a> (<span>*1</span>)</a>.</p></td></tr></tbody></table></td></tr><tr><td><p>[54]</p></td><td><p>This information is only required when the goods are declared for release for free circulation under the special scheme for distance sales of goods imported from third countries and territories set out in Title XII Chapter 6 Section 4 of Directive 2006/112/EC.</p></td></tr><tr><td><p>[55]</p></td><td><p>This information is only required if the declaration concerns goods referred to in Article 27 of Regulation (EC) No 1186/2009.</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Title II is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>in the notes to data element 1/6 (‘Goods item number’), the text ‘<span>Data requirements table columns A1 to A3, B1 to B4, C1, D1, D2, E1, E2, F1a to F1d, F2a to F2c, F3a, F4a, F4b, F4d, F5, G4, G5, H1 to H6 and I1:</span>’ are replaced by the words ‘<span>Data requirements table columns A1 to A3, B1 to B4, C1, D1, D2, E1, E2, F1a to F1d, F2a to F2c, F3a, F4a, F4b, F4d, F5, G4, G5, H1 to H7 and I1:</span>’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in the notes to data element 2/1 (‘Simplified declaration/Previous documents’), the following text is added:</p><p> ‘<span>Data requirements table column H7:</span></p><p>If the entry summary declaration and the customs declaration are lodged separately, using the relevant Union code, enter the MRN of the entry summary declaration or any other previous document.’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>in the notes to data element 2/2 (‘Additional information’), the following text is added:</p><p> ‘<span>Data requirements table column H7:</span></p><p>Any information provided by the declarant that may deem useful for the release for free circulation of the item concerned.’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>in the notes to data element 2/4 (‘Reference number/UCR’), the following text is added:</p><p> ‘<span>Data requirements table column H7:</span></p><p>This entry may be used for the indication of the transaction identifier, if the goods are declared for release for free circulation under the special scheme for distance sales of goods imported from third countries and territories set out in Title XII Chapter 6 Section 4 of Directive 2006/112/EC.’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the notes to data element 3/1 (‘Exporter’) are amended as follows:</p><table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>the words ‘<span>All relevant data requirements table columns used:</span>’ are replaced by the words ‘<span>Data requirements table columns B1 to B4, C1 and E1:</span>’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>the following text is added:</p><p> ‘<span>Data requirements table columns H6 and H7:</span></p><p>Enter the full name and address of the person consigning the goods as stipulated in the transport contract by the party ordering the transport.’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>in the notes to data element 3/17 (‘Declarant’), the words ‘Data Requirements table columns H1 to H6 and I1’ are replaced by the words ‘Data requirements table columns H1 to H7 and I1:’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>in the notes to data element 3/18 (‘Declarant identification No’), the words ‘<span>Data requirements table columns B1 to B4, C1, G4, H1 to H5 and I1:</span>’ are replaced by the words ‘<span>Data requirements table columns B1 to B4, C1, G4, H1 to H7 and I1:</span>’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>in the notes to data element 3/40 (‘Additional fiscal references identification No’), the following text is added:</p><p> ‘When the goods are declared for release for free circulation under the special scheme for distance sales of goods imported from third countries and territories set out in Title XII Chapter 6 Section 4 of Directive 2006/112/EC the special VAT number attributed for the use of this scheme shall be provided.’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>the notes to data element 4/18 (‘Postal value’) are amended as follows:</p><table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>the words ‘Postal Value’ are replaced by ‘Value’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>the words ‘All relevant data requirements table columns used:’ are replaced by the words ‘Data requirements table column H6:’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>the following text is added:</p><p> ‘<span>Data requirements table column H7:</span></p><p>Intrinsic value of the goods per item in the invoice currency.’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(j)</p></td><td><p>the notes to data element 4/19 (‘Postal charges’) are amended as follows:</p><table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>the words ‘<span>Postal charges</span>’ are replaced by the words ‘<span>Transport costs to the final destination</span>’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>the words ‘<span>All relevant data requirements table columns used:</span>’ are replaced by the words ‘<span>Data requirements table column H6:</span>’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>the following text is added:</p><p> ‘<span>Data requirements table column H7:</span></p><p>Transport costs up to the place of final destination in the invoice currency.’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(k)</p></td><td><p>in the notes to data element 6/8 (‘Description of goods’), the words ‘<span>Data Requirements table columns D3, G4, G5 and H6:</span>’ are replaced by the words ‘<span>Data requirements table columns D3, G4, G5, H6 and H7:</span>’;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(l)</p></td><td><p>in the notes relating to data element 6/14 (‘Commodity code – Combined Nomenclature code’), the following text is added:</p><p> ‘<span>Data requirements table column H7:</span></p><p>Enter the six-digit Harmonised System nomenclature code of the goods declared.’.</p></td></tr></tbody></table></td></tr></tbody></table>
<note>
( *1 ) Council Directive 2006/79/EC of 5 October 2006 on the exemption from taxes of imports of small consignments of goods of a non-commercial character from third countries ( OJ L 286, 17.10.2006, p. 15-18 ).’;
</note> | ENG | 32019R1143 |
<table><col/><col/><col/><col/><tbody><tr><td><p>7.10.2019   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 256/8</p></td></tr></tbody></table>
COUNCIL IMPLEMENTING DECISION (EU) 2019/1671
of 4 October 2019
on the appointment of the Vice-Chair of the Supervisory Board of the European Central Bank
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EU) No 1024/2013 of 15 October 2013 conferring specific tasks on the European Central Bank concerning policies relating to the prudential supervision of credit institutions ( 1 ) , and in particular Article 26(3) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 15 October 2013 the Council adopted Regulation (EU) No 1024/2013, conferring specific tasks on the European Central Bank (ECB) concerning policies relating to the prudential supervision of credit institutions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The planning and execution of the tasks conferred on the ECB should be fully undertaken by its Supervisory Board, which is composed of the Chair, the Vice-Chair and four representatives of the ECB, as well as one representative of the national competent authority in each participating Member State.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The Supervisory Board is an essential body in the exercise of supervisory tasks by the ECB. Regulation (EU) No 1024/2013 therefore conferred upon the Council the power to appoint the Chair and the Vice-Chair of the Supervisory Board.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>On 11 February 2014 the Council appointed the first Vice-Chair of the Supervisory Board by means of Implementing Decision 2014/77/EU <a>(<span>2</span>)</a>. The term of office of the first Vice-Chair of the Supervisory Board ended on 11 February 2019.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>In accordance with Article 26(3) of Regulation (EU) No 1024/2013, the ECB, after hearing the Supervisory Board, is to submit to the European Parliament a proposal for the appointment of the Vice-Chair of the Supervisory Board, who is to be chosen from among the members of the Executive Board of the ECB. The ECB submitted such a proposal on 9 April 2019, and the European Parliament approved it on 17 September 2019,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
Mr Yves MERSCH is hereby appointed as Vice-Chair of the Supervisory Board of the European Central Bank from 7 October 2019 until 14 December 2020.
Article 2
This Decision shall enter into force on the date of its publication in the Official Journal of the European Union .
Done at Luxembourg, 4 October 2019.
For the Council
The President
K. MIKKONEN
<note>
( 1 ) OJ L 287, 29.10.2013, p. 63 .
( 2 ) Council Implementing Decision 2014/77/EU of 11 February 2014 implementing Regulation (EU) No 1024/2013 conferring specific tasks on the European Central Bank concerning policies relating to the prudential supervision of credit institutions ( OJ L 41, 12.2.2014, p. 19 ).
</note> | ENG | 32019D1671 |
<table><col/><col/><col/><col/><tbody><tr><td><p>30.4.2020   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 138/8</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING DECISION (EU) 2020/588
of 22 April 2020
concerning exemptions from the extended anti-dumping duty on certain bicycle parts originating in the People’s Republic of China pursuant to Regulation (EC) No 88/97
(notified under document C(2020) 2382)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2016/1036 of the European Parliament and of the Council of 8 June 2016 on protection against dumped imports from countries not members of the European Union ( 1 ) , and in particular Article 13(4) thereof,
Having regard to Council Regulation (EC) No 71/97 of 10 January 1997 extending the definitive anti-dumping duty imposed by Regulation (EEC) No 2474/93 on bicycles originating in the People’s Republic of China to imports of certain bicycle parts from the People’s Republic of China, and levying the extended duty on such imports registered under Regulation (EC) No 703/96 ( 2 ) and in particular Article 3 thereof,
Having regard to Commission Implementing Regulation (EU) 2020/45 of 20 January 2020 amending Implementing Regulation (EU) 2019/1379 as regards the extension of the anti-dumping duty imposed on imports of bicycles originating in the People’s Republic of China to imports of certain bicycle parts originating in the People’s Republic of China by Council Regulation (EC) No 71/97 ( 3 ) ,
Having regard to Commission Regulation (EC) No 88/97 of 20 January 1997 on the authorisation of the exemption of imports of certain bicycle parts originating in the People’s Republic of China from the extension by Council Regulation (EC) No 71/97 of the anti-dumping duty imposed by Council Regulation (EEC) No 2474/93 ( 4 ) , and in particular Articles 4 to 7 thereof,
After informing the Member States,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>An anti-dumping duty applies on imports into the Union of essential bicycle parts originating in the People’s Republic of China (‘China’) (‘the extended duty’) as a result of the extension of the anti-dumping duty imposed on imports of bicycles originating in China by Regulation (EC) No 71/97.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Under Article 3 of Regulation (EC) No 71/97 the Commission is empowered to adopt the necessary measures to authorise the exemption of imports of essential bicycle parts which do not circumvent the anti-dumping duty.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Those implementing measures are set forth in Regulation (EC) No 88/97 establishing the specific exemption system.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>On that basis the Commission has exempted a number of bicycle assemblers from the extended duty (‘the exempted parties’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>As provided for in Article 16(2) of Regulation (EC) No 88/97, the Commission has published in the<span>Official Journal of the European Union</span> subsequent lists of the exempted parties <a>(<span>5</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The most recent Commission Implementing Decision (EU) 2019/1087 <a>(<span>6</span>)</a> concerning exemptions under Regulation (EC) No 88/97 was adopted on 19 June 2019.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>For the purposes of this Decision, the definitions set out in Article 1 of Regulation (EC) No 88/97 apply.</p></td></tr></tbody></table>
1. REQUESTS FOR EXEMPTION
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Between 19 December 2016 and 17 October 2019, the Commission received from the parties listed in Tables 1 and 3 requests for exemption with the information required to determine whether these requests were admissible in accordance with Article 4(1) of Regulation (EC) No 88/97.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The parties requesting exemption were given an opportunity to comment on the Commission’s conclusions concerning the admissibility of their requests.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>In accordance with Article 5(1) of Regulation (EC) No 88/97, pending a decision on the merits of requests from the parties requesting exemption, the payment of the extended duty in respect of any imports of essential bicycle parts declared for free circulation by these parties listed in Tables 1 and 3 below was suspended as from the day on which the Commission received their respective requests.</p></td></tr></tbody></table>
2. AUTHORISATION Of EXEMPTION
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The examination of the merits of the requests from the parties listed in Table 1 has been concluded.</p><p><span>Table 1</span></p><table><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Name</p></td><td><p>Address</p></td></tr><tr><td><p>C307</p></td><td><p>Merida Polska Sp. Z o.o.</p></td><td><p>ul. Marii Skłodowskiej-Curie 35,</p><p>PL-41-800 Zabrze, Poland</p></td></tr><tr><td><p>C311</p></td><td><p>Juan Luna Cabrera</p></td><td><p>Calle Alhama 64,</p><p>ES-14900 Lucena (Cordoba), Spain</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>The Commission established during its examination that the value of the parts originating in China constituted less than 60 % of the total value of the parts of all the bicycles assembled by both parties. This was also the case for the majority of the assembled bicycles by both parties.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>Consequently, the Commission concluded that the respective assembly operations of Merida Polska Sp. Z o.o. and of Juan Luna Cabrera fall outside the scope of Article 13(2) of Regulation (EU) 2016/1036.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>For that reason, and in accordance with Article 7(1) of Regulation (EC) No 88/97, the parties listed in Table 1 fulfil the conditions for exemption from the extended duty.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>In accordance with Article 7(2) of Regulation (EC) No 88/97, the exemptions should take effect as from the date of receipt of the requests. The customs debts in respect of the extended duty from the parties requesting exemption should therefore be considered void from the same date.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>The parties were informed of the Commission’s conclusions on the merits of their requests and were given an opportunity to comment thereon.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>Since the exemptions apply only to the parties specifically referred to in Table 1, the exempted parties should notify the Commission <a>(<span>7</span>)</a> without delay of any changes to these (for instance, following a change in the name, legal form or address or following the setting up of new assembly entities).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>In case of change in reference, the exempted parties should provide all relevant information, in particular on any modification in its activities linked to assembly operations. Where appropriate, the Commission will update the references accordingly.</p></td></tr></tbody></table>
3. UPDATE OF REFERENCES TO EXEMPTED OR SUSPENDED PARTIES
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>The exempted or suspended parties listed in Table 2 notified the Commission, between 2 May 2019 and 20 February 2020, of changes in their references (names, legal forms and addresses). The Commission, after having examined the information submitted, concluded that those changes do not affect the assembly operations with regard to the conditions of exemption or suspension set forth in Regulation (EC) No 88/97.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>While the exemption or the suspension of these parties from the extended duty authorised in accordance with Article 7(1) of Regulation (EC) No 88/97 remains unaffected, the references to these parties should be updated.</p><p><span>Table 2</span></p><table><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Former reference</p></td><td><p>Change</p></td></tr><tr><td><p>A163</p></td><td><p>Speedcross di Torretta Luigi & C. s.n.c.</p><p>Corso Italia 20,</p><p>IT-20020 Vanzaghello (MI), Italy</p></td><td><p>The name and legal form of the company have been changed to:</p><p>Speedcross s.r.l.</p></td></tr><tr><td><p>A557</p></td><td><p>Jozef Kender-Kenzel</p><p>Piesková 437/9A,</p><p>946 52 Imel, Slovakia</p></td><td><p>The name, legal form and address of the company have been changed to:</p><p>KENZEL s.r.o.</p><p>Novozámocká 182, 94701 Hurbanovo, Slovakia</p></td></tr><tr><td><p>8612</p></td><td><p>Tecno Bike S.r.l.</p><p>Via del Lavoro 22,</p><p>IT-61030 Canavaccio, Urbino (PS), Italy</p></td><td><p>The address of the company has been changed to:</p><p>Via del Lavoro 22,</p><p>IT-61029 Canavaccio di Urbino (PU), Italy</p></td></tr><tr><td><p>8979</p></td><td><p>W.S.B. Hi-Tech Bicycle Europe B.V.</p><p>De Hemmen 91, NL-9206AG Drachten, The Netherlands</p></td><td><p>The address of the company has been changed to:</p><p>De Roef 15, NL-9206AK Drachten, The Netherlands</p></td></tr></tbody></table></td></tr></tbody></table>
4. SUSPENSION OF PAYMENTS OF THE DUTIES FOR PARTIES UNDER EXAMINATION
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>The examination of the merits of the requests from the parties listed in Table 3 is ongoing. Pending a decision on the merits of their requests, the payment of the extended duty by these parties is suspended.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>Since the suspensions apply only to the parties specifically referred to in Table 3, these parties should notify the Commission <a>(<span>8</span>)</a> without delay of any changes to these (for instance following a change in the name, legal form or address or following the setting up of new assembly entities).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>In case of change in reference, the party should provide all relevant information, in particular on any modification in its activities linked to assembly operations. Where appropriate, the Commission will update the references to such party.</p><p><span>Table 3</span></p><table><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Name</p></td><td><p>Address</p></td></tr><tr><td><p>C202</p></td><td><p>Vanmoof B.V.</p></td><td><p>Mauritskade 55,</p><p>NL-1092 AD Amsterdam, The Netherlands</p></td></tr><tr><td><p>C207</p></td><td><p>Kenstone Metal Company GmbH</p></td><td><p>Am Maikamp 8-12,</p><p>DE-32107 Bad Salzuflen, Germany</p></td></tr><tr><td><p>C481</p></td><td><p>FJ Bikes Europe Unipessoal, Lda</p></td><td><p>Praça do Município 8, Sala 1D,</p><p>PT-3750 111 Águeda, Portugal</p></td></tr><tr><td><p>C492</p></td><td><p>MOTOKIT Veiculos e Accesórios S.A.</p></td><td><p>Rua Padre Vicente Maria da Rocha 448, 1° Esq., PT-3840-453 Vagos, Portugal</p></td></tr><tr><td><p>C499</p></td><td><p>Frog Bikes Manufacturing Ltd</p></td><td><p>Unit A, Mamhilad Park Estate,</p><p>GB-Pontypool, Torfaen, NP4 0HZ, United Kingdom</p></td></tr><tr><td><p>C527</p></td><td><p>FIRMA ADAM Adam Ziętek</p></td><td><p>Muchy 56</p><p>PL-63-524 Czajków, Poland</p></td></tr><tr><td><p>C529</p></td><td><p>Rowerland Piotr Tokarz</p></td><td><p>ul. Klubowa 23,</p><p>PL-32-600 Broszkowice, Poland</p></td></tr></tbody></table></td></tr></tbody></table>
5. SUSPENSION OF PAYMENTS OF THE DUTIES FOR PARTIES UNDER EXAMINATION LIFTED
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>The suspension of payment of the duties for the parties under examination should be lifted for the party listed in Table 4.</p><p><span>Table 4</span></p><table><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Name</p></td><td><p>Address</p></td></tr><tr><td><p>C489</p></td><td><p>P.P.H. ARTPOL Artur Kopeć</p></td><td><p>ul. Aniołowska 14,</p><p>PL-42-202 Częstochowa, Poland</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>On 3 July 2019 the Commission received from that party a request to withdraw the application for an exemption while the examination of its merits was ongoing and the payment of the extended duty was suspended.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>The Commission accepted the withdrawal and consequently the suspension of the payment of the extended duty should be lifted. The extended duty should be collected as from the date of receipt of the request for exemption submitted by that party, namely the date on which the suspension took effect, that is 25 October 2018.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>The party was informed of the Commission’s conclusions and was given an opportunity to comment thereon. No comments were submitted.</p></td></tr></tbody></table>
6. AUTHORISATION OF EXEMPTION REVOKED
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>The exempted parties listed in Table 5 notified the Commission, between 30 June 2019 and 3 February 2020, of the following: closing down of its activities (Bicicletas Monty S.A.), and the renunciation of the exemption from the payment of extended duty (Gor Kolesa, proizvodnja koles, d.o.o).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>Consequently, in accordance with the principle of good administration, the authorisation of exemption from the payment of the extended duty for both exempted parties listed in Table 5 should be revoked,</p><p><span>Table 5</span></p><table><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Name</p></td><td><p>Address</p></td></tr><tr><td><p>A165</p></td><td><p>Bicicletas Monty S.A.</p></td><td><p>Calle El Plà 106,</p><p>ES-08980 Sant Feliu de Llobregat, Spain</p></td></tr><tr><td><p>C209</p></td><td><p>Gor Kolesa, proizvodnja koles, d.o.o.</p></td><td><p>Primorska cesta 6b,</p><p>SI-3325 Šoštanj, Slovenia</p></td></tr></tbody></table></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
The parties listed in the Table in this Article are hereby exempted from the extension by Regulation (EC) No 71/97 of the definitive anti-dumping duty on bicycles originating in the People’s Republic of China imposed by Council Regulation (EEC) No 2474/93 ( 9 ) to imports of certain bicycle parts from the People’s Republic of China.
In accordance with Article 7(2) of Regulation (EC) No 88/97 the exemptions shall take effect as from the dates of receipt of the parties’ requests. Those dates are provided for in the Table column headed ‘Date of effect’.
The exemptions shall apply only to the parties specifically referred to in the Table in this Article.
The exempted parties shall notify the Commission without delay of any change to their names and addresses, providing all relevant information, in particular on any modification in the party’s activities linked to assembly operations with regard to the conditions of exemption.
Exempted parties
<table><col/><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Name</p></td><td><p>Address</p></td><td><p>Date of effect</p></td></tr><tr><td><p>C307</p></td><td><p>Merida Polska Sp. Z o.o.</p></td><td><p>ul. Marii Skłodowskiej-Curie 35,</p><p>PL-41-800 Zabrze, Poland</p></td><td><p>14.6.2017</p></td></tr><tr><td><p>C311</p></td><td><p>Juan Luna Cabrera</p></td><td><p>C/Alhama 64,</p><p>ES-14900 Lucena (Cordoba), Spain</p></td><td><p>4.10.2017</p></td></tr></tbody></table>
Article 2
Updated references to the exempted or suspended parties listed in the Table in this Article are provided for in the column headed ‘New reference’. Those updates shall take effect as from the dates provided for in the Table column headed ‘Date of effect’.
The corresponding TARIC additional codes previously attributed to those exempted or suspended parties as provided for in the Table column headed ‘TARIC additional code’ remain unchanged.
Exempted/suspended parties for which the reference shall be updateds
<table><col/><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Former reference</p></td><td><p>New reference</p></td><td><p>Date of effect</p></td></tr><tr><td><p>A163</p></td><td><p>Speedcross di Torretta Luigi & C. s.n.c.</p><p>Corso Italia 20,</p><p>IT -20020 Vanzaghello (MI), Italy</p></td><td><p>Speedcross s.r.l.</p><p>Corso Italia 20,</p><p>IT -20020 Vanzaghello (MI), Italy</p></td><td><p>2.5.2019</p></td></tr><tr><td><p>A557</p></td><td><p>Jozef Kender-Kenzel</p><p>Piesková 437/9A,</p><p>946 52 Imel, Slovakia</p></td><td><p>KENZEL s.r.o.</p><p>Novozámocká 182,</p><p>947 01 Hurbanovo, Slovakia</p></td><td><p>1.6.2019</p></td></tr><tr><td><p>8612</p></td><td><p>Tecno Bike S.r.l.</p><p>Via del Lavoro 22,</p><p>IT-61030 Canavaccio, Urbino (PS), Italy</p></td><td><p>Tecno Bike S.r.l.</p><p>Via del Lavoro 22,</p><p>IT-61029 Canavaccio di Urbino (PU), Italy</p></td><td><p>20.2.2020</p></td></tr><tr><td><p>8979</p></td><td><p>W.S.B. Hi-Tech Bicycle Europe B.V.</p><p>De Hemmen 91, NL-9206AG Drachten, The Netherlands</p></td><td><p>W.S.B. Hi-Tech Bicycle Europe B.V.</p><p>De Roef 15, NL-9206AK Drachten, The Netherlands</p></td><td><p>12.3.2020</p></td></tr></tbody></table>
Article 3
The parties listed in the Table in this Article are under examination in accordance with Article 6 of Regulation (EC) No 88/97.
The suspensions of payment of the extended anti-dumping duty in accordance with Article 5 of Regulation (EC) No 88/97 shall be effective as from the dates of receipt of the parties’ respective supension requests. Those dates are provided for in the Table column headed ‘Date of effect’.
Those suspensions of payments shall apply only to the parties under examination specifically referred to in the Table in this Article.
The parties under examination shall notify the Commission without delay of any changes in their assembly operations linked to the conditions of suspension and provide the Commission with all relevant information as evidence. These changes include but are not limited to, any changes of the parties’ names, activities, legal forms, addresses.
Parties under examination
<table><col/><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Name</p></td><td><p>Address</p></td><td><p>Date of effect</p></td></tr><tr><td><p>C202</p></td><td><p>Vanmoof B.V.</p></td><td><p>Mauritskade 55,</p><p>NL-1092 AD Amsterdam, the Netherlands</p></td><td><p>19.12.2016</p></td></tr><tr><td><p>C207</p></td><td><p>Kenstone Metal Company GmbH</p></td><td><p>Am Maikamp 8-12,</p><p>DE-32107 Bad Salzuflen, Germany</p></td><td><p>20.3.2017</p></td></tr><tr><td><p>C481</p></td><td><p>FJ Bikes Europe Unipessoal, Lda</p></td><td><p>Praça do Município 8, Sala 1D,</p><p>PT-3750 111 Águeda, Portugal</p></td><td><p>8.5.2018</p></td></tr><tr><td><p>C492</p></td><td><p>MOTOKIT Veiculos e Accesórios S.A.</p></td><td><p>Rua Padre Vicente Maria da Rocha 448, 1° Esq., PT-3840-453 Vagos, Portugal</p></td><td><p>29.11.2018</p></td></tr><tr><td><p>C499</p></td><td><p>Frog Bikes Manufacturing Ltd</p></td><td><p>Unit A, Mamhilad Park Estate,</p><p>GB-Pontypool, Torfaen, NP4 0HZ, United Kingdom</p></td><td><p>7.1.2019</p></td></tr><tr><td><p>C527</p></td><td><p>FIRMA ADAM Adam Ziętek</p></td><td><p>Muchy 56,</p><p>PL-63-524 Czajków, Poland</p></td><td><p>29.8.2019</p></td></tr><tr><td><p>C529</p></td><td><p>Rowerland Piotr Tokarz</p></td><td><p>ul. Klubowa 23,</p><p>PL-32-600 Broszkowice, Poland</p></td><td><p>17.10.2019</p></td></tr></tbody></table>
Article 4
The suspension of the payment of the extended anti-dumping duty pursuant to Article 5 of Regulation (EC) No 88/97 is hereby lifted for the parties listed in the Table in this Article.
The extended duty should be collected as from the date on which the suspension took effect. That date is provided for in the Table column headed ‘Date of effect’.
Party for which the suspension is lifted
<table><col/><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Name</p></td><td><p>Address</p></td><td><p>Date of effect</p></td></tr><tr><td><p>C489</p></td><td><p>P.P.H. ARTPOL Artur Kopeć</p></td><td><p>ul. Aniołowska 14,</p><p>PL-42-202 Częstochowa, Poland</p></td><td><p>25.10.2018</p></td></tr></tbody></table>
Article 5
The authorisation of the exemption of payment of the extended anti-dumping duty is hereby revoked for the parties listed in the Table in this Article.
The extended duty should be collected as from the date on which the revocation of the authorisation took effect. This date is provided for in the Table column headed ‘Date of effect’.
Parties for which the exemption is revoked
<table><col/><col/><col/><col/><tbody><tr><td><p>TARIC additional code</p></td><td><p>Name</p></td><td><p>Address</p></td><td><p>Date of effect</p></td></tr><tr><td><p>A165</p></td><td><p>Bicicletas Monty S.A.</p></td><td><p>Calle El Plà 106,</p><p>ES-08980 Sant Feliu de Llobregat, Spain</p></td><td><p>30.6.2019</p></td></tr><tr><td><p>C209</p></td><td><p>Gor Kolesa, proizvodnja koles, d.o.o.</p></td><td><p>Primorska cesta 6b,</p><p>SI-3325 Šoštanj, Slovenia</p></td><td><p>3.2.2020</p></td></tr></tbody></table>
Article 6
This Decision is addressed to the Member States and to the parties listed in Articles 1 to 5 and published in the Official Journal of the European Union .
Done at Brussels, 22 April 2020.
For the Commission
Phil HOGAN
Member of the Commission
<note>
( 1 ) OJ L 176, 30.6.2016, p. 21 .
( 2 ) OJ L 16, 18.1.1997, p. 55 .
( 3 ) OJ L 16, 21.1.2020, p. 7 .
( 4 ) OJ L 17, 21.1.1997, p. 17 .
( 5 ) OJ C 45, 13.2.1997, p. 3 , OJ C 112, 10.4.1997, p. 9 , OJ C 220, 19.7.1997, p. 6 , OJ L 193, 22.7.1997, p. 32 , OJ L 334, 5.12.1997, p. 37 , OJ C 378, 13.12.1997, p. 2 , OJ C 217, 11.7.1998, p. 9 , OJ C 37, 11.2.1999, p. 3 , OJ C 186, 2.7.1999, p. 6 , OJ C 216, 28.7.2000, p. 8 , OJ C 170, 14.6.2001, p. 5 , OJ C 103, 30.4.2002, p. 2 , OJ C 35, 14.2.2003, p. 3 , OJ C 43, 22.2.2003, p. 5 , OJ C 54, 2.3.2004, p. 2 , OJ L 343, 19.11.2004, p. 23 , OJ C 299, 4.12.2004, p. 4 , OJ L 17, 21.1.2006, p. 16 , OJ L 313, 14.11.2006, p. 5 , OJ L 81, 20.3.2008, p. 73 , OJ C 310, 5.12.2008, p. 19 , OJ L 19, 23.1.2009, p. 62 , OJ L 314, 1.12.2009, p. 106 , OJ L 136, 24.5.2011, p. 99 , OJ L 343, 23.12.2011, p. 86 , OJ L 119, 23.4.2014, p. 67 , OJ L 132, 29.5.2015, p. 32 , OJ L 331, 17.12.2015, p. 30 , OJ L 47, 24.2.2017, p. 13 , OJ L 79, 22.3.2018, p. 31 , OJ L 171, 26.6.2019, p. 117 .
( 6 ) Commission Implementing Decision (EU) 2019/1087 of 19 June 2019 concerning exemptions from the extended anti-dumping duty on certain bicycle parts originating in the People’s Republic of China pursuant to Regulation (EC) No 88/97 ( OJ L 171, 26.6.2019, p. 117 ).
( 7 ) The parties are advised to use the following email address: TRADE-BICYCLE-PARTS@ec.europa.eu
( 8 ) The parties are advised to use the following email address: TRADE-BICYCLE-PARTS@ec.europa.eu
( 9 ) Council Regulation (EEC) No 2474/93 of 8 September 1993 imposing a definitive anti-dumping duty on imports into the Community of bicycles originating in the People’s Republic of China and collecting definitively the provisional anti-dumping duty ( OJ L 228, 9.9.1993, p. 1 ).
</note> | ENG | 32020D0588 |
<table><col/><col/><col/><col/><tbody><tr><td><p>2.3.2023   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 65/16</p></td></tr></tbody></table>
COMMISSION REGULATION (EU) 2023/447
of 1 March 2023
amending Annex II to Regulation (EC) No 1333/2008 of the European Parliament and of the Council and the Annex to Commission Regulation (EU) No 231/2012 as regards the use of glucosylated steviol glycosides as sweetener
(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 1333/2008 of the European Parliament and of the Council of 16 December 2008 on food additives ( 1 ) , and in particular Article 10(3) and Article 14 thereof,
Having regard to Regulation (EC) No 1331/2008 of the European Parliament and of the Council of 16 December 2008 establishing a common authorisation procedure for food additives, food enzymes and food flavourings ( 2 ) , and in particular Article 7(5) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Annex II to Regulation (EC) No 1333/2008 lays down a Union list of food additives approved for use in foods and their conditions of use.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Commission Regulation (EU) No 231/2012 <a>(<span>3</span>)</a> lays down specifications for food additives listed in Annexes II and III to Regulation (EC) No 1333/2008.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Those lists may be updated in accordance with the common procedure referred to in Article 3(1) of Regulation (EC) No 1331/2008, either on the initiative of the Commission or following an application.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In January 2019, an application was submitted for the authorisation of glucosylated steviol glycosides as a new food additive for use as a sweetener. The application was made available to the Member States pursuant to Article 4 of Regulation (EC) No 1331/2008.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Glucosylated steviol glycosides are produced via enzymatic bioconversion using a cyclomaltodextrin glucanotransferase that catalyses the transfer of glucose from starch to mixtures enriched in one or more individual steviol glycosides from purified Stevia Rebaudiana leaf extracts. They consist of a mixture of glucosylated steviol glycosides, containing 1–20 additional glucose units bound to the parent steviol glycosides. They have an improved sweetness profile as compared to the other authorised sweeteners including steviol glycosides from Stevia (E 960a).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The European Food Safety Authority (‘the Authority’) evaluated the safety of glucosylated steviol glycosides and expressed its opinion on 15 December 2021 <a>(<span>4</span>)</a>. The Authority considered that the metabolism of glucosylated steviol glycosides is sufficiently similar to the already authorised steviol glycosides, and thus the toxicological data previously assessed by the Authority for steviol glycosides (E 960a) were considered to support their safety as a food additive. The enzyme cyclomaltodextrin glucanotransferase (EC 2.4.1.19) derived from a non-genetically modified strain of<span>Anoxybacillus caldiproteolyticus</span> and intended to be used in the manufacture of modified steviol glycosides does not give rise to safety concerns under the intended conditions of use based on the data provided to the Authority <a>(<span>5</span>)</a>. The Authority concluded that there is no safety concern for the use of glucosylated steviol glycosides as a food additive for the same proposed uses and use levels as steviol glycosides (E 960a–960c) used as sweeteners.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Therefore, it is appropriate to authorise the food additive ‘glucosylated steviol glycosides’ (E 960d) as a sweetener in the food categories where steviol glycosides (E 960a–960c) are currently authorised and at the same the maximum levels.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>The specifications for the food additive glucosylated steviol glycosides should be included in Regulation (EU) No 231/2012 as it is included in the Union list of food additives laid down in Annex II to Regulation (EC) No 1333/2008 for the first time.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>Regulations (EC) No 1333/2008 and (EU) No 231/2012 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on the on Plants, Animals, Food and Feed,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The Annex II to Regulation (EC) No 1333/2008 is amended in accordance with Annex I to this Regulation.
Article 2
The Annex to Regulation (EU) No 231/2012 is amended in accordance with Annex II to this Regulation.
Article 3
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, 1 March 2023.
For the Commission
The President
Ursula VON DER LEYEN
( 1 ) OJ L 354, 31.12.2008, p. 16 .
( 2 ) OJ L 354, 31.12.2008, p. 1 .
( 3 ) Commission Regulation (EU) No 231/2012 of 9 March 2012 laying down specifications for food additives listed in Annexes II and III to Regulation (EC) No 1333/2008 of the European Parliament and of the Council ( OJ L 83, 22.3.2012, p. 1 ).
( 4 ) EFSA Journal 2022;20(2):7066.
( 5 ) EFSA Journal 2022;20(1):7004.
ANNEX I
Annex II to Regulation (EC) No 1333/2008 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>In Part B, 2. Sweeteners, the following entry is inserted after the entry for E 960c:</p><table><col/><col/><tbody><tr><td><p>‘E 960d</p></td><td><p>Glucosylated steviol glycosides’;</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>In Part C, (5) Other additives that may be regulated combined, point (v) is replaced by the following:</p><table><col/><col/><tbody><tr><td><p>‘(v)</p></td><td><p>E 960a – 960d: Steviol glycosides</p><table><col/><col/><tbody><tr><td><p>E-number</p></td><td><p>Name</p></td></tr><tr><td><p>E 960a</p></td><td><p>Steviol glycosides from Stevia</p></td></tr><tr><td><p>E 960c</p></td><td><p>Enzymatically produced steviol glycosides</p></td></tr><tr><td><p>E 960d</p></td><td><p>Glucosylated steviol glycosides’;</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>Part E is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>In category 01.4 (Flavoured fermented milk products including heat-treated products), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>100</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced products or with no added sugar’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>In category 03 (Edible ices), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>200</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced products or with no added sugar’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>In category 04.2.2 (Fruit and vegetables in vinegar, oil, or brine), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>100</p></td><td><p>(1) (60)</p></td><td><p>only sweet-sour preserves of fruit and vegetables’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In category 04.2.4.1 (Fruit and vegetable preparations excluding compote), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>200</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>In category 04.2.5.1 (Extra jam and extra jelly as defined by Directive 2001/113/EC), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>200</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced jams jellies and marmalades’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>In category 04.2.5.2 (Jam, jellies and marmalades and sweetened chestnut purée as defined by Directive 2001/113/EC), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>200</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced jams jellies and marmalades’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>In category 04.2.5.3 (Other similar fruit or vegetable spreads), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>200</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced fruit or vegetable spreads and dried-fruit-based sandwich spreads, energy-reduced or with no added sugar’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>In category 05.1 (Cocoa and Chocolate products as covered by Directive 2000/36/EC), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>270</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced or with no added sugars’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>In category 05.2 (Other confectionery including breath freshening microsweets), the entries for E 960a – 960c (Steviol glycosides) are replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>270</p></td><td><p>(1) (60)</p></td><td><p>only cocoa or dried fruit based, energy reduced or with no added sugar</p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>330</p></td><td><p>(1) (60)</p></td><td><p>only cocoa, milk, dried fruit or fat based sandwich spreads, energy-reduced or with no added sugar</p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>350</p></td><td><p>(1) (60)</p></td><td><p>only confectionery with no added sugars</p><p>only energy-reduced hard confectionery (candies and lollies)</p><p>only energy-reduced soft confectionery (chewy candies, fruit gums and foam sugar products/marshmallows)</p><p>only energy-reduced liquorice</p><p>only energy-reduced nougat</p><p>only energy-reduced marzipan</p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>2 000</p></td><td><p>(1) (60)</p></td><td><p>only breath-freshening micro-sweets, energy-reduced or with no added sugars</p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>670</p></td><td><p>(1) (60)</p></td><td><p>only strongly flavoured freshening throat pastilles, energy-reduced or with no added sugars’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>In category 05.3 (Chewing gum), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>3300</p></td><td><p>(1) (60)</p></td><td><p>only with no added sugar’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>In category 05.4 (Decorations, coatings and fillings, except fruit-based fillings covered by category 4.2.4), the entries for E 960a – 960c (Steviol glycosides) are replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>330</p></td><td><p>(1) (60)</p></td><td><p>only confectionary with no added sugar</p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>270</p></td><td><p>(1) (60)</p></td><td><p>only cocoa or dried fruit based, energy reduced or with no added sugar’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>In category 06.3 (Breakfast cereals), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>330</p></td><td><p>(1) (60)</p></td><td><p>only breakfast cereals with a fibre content of more than 15 %, and containing at least 20 % bran, energy reduced or with no added sugar’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>In category 07.2 (Fine bakery wares), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>330</p></td><td><p>(1) (60)</p></td><td><p>only essoblaten – wafer paper’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>In category 09.2 (Processed fish and fishery products including molluscs and crustaceans), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>200</p></td><td><p>(1) (60)</p></td><td><p>only sweet-sour preserves and semi preserves of fish and marinades of fish, crustaceans and molluscs’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>In category 11.4.1 (Table-top sweeteners in liquid form), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p><span>quantum satis</span></p></td><td><p>(1) (60)’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>In category 11.4.2 (Table-top sweeteners in powder form), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p><span>quantum satis</span></p></td><td><p>(1) (60)’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>In category 11.4.3 (Table-top sweeteners in tablets), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p><span>quantum satis</span></p></td><td><p>(1) (60)’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>In category 12.4 (Mustard), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>120</p></td><td><p>(1) (60)’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>In category 12.5 (Soups and broths), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>40</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced soups’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>In category 12.6 (Sauces), the entries for E 960a – 960c (Steviol glycosides) are replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>120</p></td><td><p>(1) (60)</p></td><td><p>except soy-bean sauce (fermented and non-fermented)</p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>175</p></td><td><p>(1) (60)</p></td><td><p>Only soy-bean sauce (fermented and non-fermented)’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>In category 13.2 (Dietary foods for special medical purposes defined in Directive 1999/21/EC (excluding products from food category 13.1.5)), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>330</p></td><td><p>(1) (60)’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>In category 13.3 (Dietary foods for weight control diets intended to replace total daily food intake or an individual meal (the whole or part of the total daily diet), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>270</p></td><td><p>(1) (60)’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>In category 14.1.3 (Fruit nectars as defined by Directive 2001/112/EC and vegetable nectars and similar products), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>100</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced or with no added sugar’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>In category 14.1.4 (Flavoured drinks), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>80</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced or with no added sugar’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>In category 14.1.5.2 (Other), the entries for E 960a – 960c (Steviol glycosides) are replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>30</p></td><td><p>(1) (60) (93)</p></td><td><p>only coffee, tea and herbal infusion beverages, energy-reduced or with no added sugars</p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>30</p></td><td><p>(1) (60) (93)</p></td><td><p>only flavoured instant coffee and instant cappuccino products, energy-reduced or with no added sugars</p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>20</p></td><td><p>(1) (60) (93)</p></td><td><p>only malt-based and chocolate/cappuccino flavoured drinks, energy-reduced or with no added sugars’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>In category 14.2.1 (Beer and malt beverages), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>70</p></td><td><p>(1) (60)</p></td><td><p>only alcohol-free beer or with an alcohol content not exceeding 1,2 % vol.; ‘Bière de table/Tafelbier/Table beer’ (original wort content less than 6 %) except for ‘Obergäriges Einfachbier’; beers with a minimum acidity of 30 milli-equivalents expressed as NaOH; Brown beers of the ‘oud bruin’ type’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>In category 14.2.8 (Other alcoholic drinks including mixtures of alcoholic drinks with non-alcoholic drinks and spirits with less than 15 % of alcohol), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>150</p></td><td><p>(1)(60)’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>In category 15.1 (Potato-, cereal-, flour- or starch-based snacks), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>20</p></td><td><p>(1) (60)’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>In category 15.2 (Processed nuts), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>20</p></td><td><p>(1) (60)’;</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>In category 16 (Desserts excluding products covered in categories 1, 3 and 4), the entry for E 960a – 960c (Steviol glycosides) is replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>100</p></td><td><p>(1) (60)</p></td><td><p>only energy-reduced or with no added sugar’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>In category 17.1 (Food supplements supplied in a solid form, excluding food supplements for infants and young children), the entries for E 960a – 960c (Steviol glycosides) are replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>670</p></td><td><p>(1) (60)</p></td><td><p> </p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>1800</p></td><td><p>(1) (60)</p></td><td><p>only food supplements in chewable form’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>In category 17.2 (Food supplements supplied in a liquid form, excluding food supplements for infants and young children), the entries for E 960a – 960c (Steviol glycosides) are replaced by the following:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>200</p></td><td><p>(1) (60)</p></td><td><p> </p></td></tr><tr><td><p> </p></td><td><p>E 960a – 960d</p></td><td><p>Steviol glycosides</p></td><td><p>1800</p></td><td><p>(1) (60)</p></td><td><p>only food supplements in syrup form’.</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
ANNEX II
In the Annex to Regulation (EU) No 231/2012 the following entry is inserted after the entry for food additive E 960c(iv):
‘E 960d GLUCOSYLATED STEVIOL GLYCOSIDES
<table><col/><col/><col/><col/><tbody><tr><td><p><span>Synonyms</span></p></td><td><p> </p></td></tr><tr><td><p><span>Definition</span></p></td><td><p>Mixture of larger glycosides of steviol derived by glucosylation of steviol glycosides extracted from leaves of<span>Stevia rebaudiana</span> Bertoni plant. The mixture is composed of glucosylated steviol glycosides and residual parent steviol glycosides from Stevia leaf. Glucosylated steviol glycosides are produced by treating the steviol glycosides, extracted from Stevia leaf, and starch suitable for human consumption with Cyclomaltodextrin glucanotransferase (EC 2.4.1.19) derived from a non-GMO strain of<span>Anoxybacillus caldiproteolyticus St-88</span>. The enzyme transfers glucose units from the starch to the steviol glycosides. The resulting material is heated and treated with activated carbon to remove the enzyme, then passed through adsorption/desorption resin to remove residual hydrolysed starch (dextrin), followed by purification and preparation of the final product using processes that may include decolourisation, concentration and spray drying.</p></td></tr><tr><td><p>Chemical name</p></td><td><p>Steviolbioside: 13-[(2-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl)oxy]kaur-16-en-18-oic acid</p><p>Rubusoside: 13-β-D-glucopyranosyloxykaur-16-en-18-oic acid, β-D-glucopyranosyl ester</p><p>Dulcoside A: 13-[(2-<span>O</span>-α–L-rhamnopyranosyl-β–D-glucopyranosyl)oxy]kaur-16-en-18-oic acid, β-D-glucopyranosyl ester</p><p>Stevioside: 13-[(2-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl)oxy]kaur-16-en-18-oic acid, β-D-glucopyranosyl ester</p><p>Rebaudioside A: 13-[(2-<span>O</span>-β-D-glucopyranosyl-3-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl)oxy]kaur-16-en-18-oic acid, β-D- glucopyranosyl ester</p><p>Rebaudioside B: 13-[(2-<span>O</span>-β–D-glucopyranosyl-3-<span>O</span>-β–D-glucopyranosyl-β-D-glucopyranosyl)oxy]kaur-16-en-18-oic acid</p><p>Rebaudioside C: 13-[(2-<span>O</span>-α–L-rhamnopyranosyl-3-<span>O</span>-β–D-glucopyranosyl-β-D-glucopyranosyl)oxy]kaur-16-en-18-oic acid, β-D-glucopyranosyl ester</p><p>Rebaudioside D: 13-[(2-<span>O</span>-β-D-glucopyranosyl-3-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl)oxy]kaur-16-en-18-oic acid, 2-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl ester</p><p>Rebaudioside E: 13-[(2-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl)oxy]kaur-16-en-18-oic acid, 2-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl ester</p><p>Rebaudioside F: 13-[(2-<span>O</span>-β-D-xylofurananosyl-3-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl)oxy]kaur-16-en-18-oic acid, β-D-glucopyranosyl ester</p><p>Rebaudioside M: 13-[(2-<span>O</span>-β-D-glucopyranosyl-3-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl)oxy]kaur-16-en-18-oic acid, 2-<span>O</span>-β-D-glucopyranosyl-3-<span>O</span>-β-D-glucopyranosyl-β-D-glucopyranosyl ester</p><p>And their glucosylated derivatives (1-20 added glucose units)</p></td></tr><tr><td><p>Molecular formula</p></td><td><p><span>Trivial name</span></p></td><td><p><span>Formula</span></p></td><td><p><span>Conversion factor</span></p></td></tr><tr><td><p> </p></td><td><p>n-Glucosylated Steviolbioside</p></td><td><p>C<span>(32+n*6)</span>H<span>(50+n*10)</span>O<span>(13+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Rubusoside</p></td><td><p>C<span>(32+n*6)</span>H<span>(50+n*10)</span>O<span>(13+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Dulcoside A</p></td><td><p>C<span>(38+n*6)</span>H<span>(60+n*10)</span>O<span>(17+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Stevioside</p></td><td><p>C<span>(38+n*6)</span>H<span>(60+n*10)</span>O<span>(18+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Rebaudioside A</p></td><td><p>C<span>(44+n*6)</span>H<span>(70+n*10)</span>O<span>(23+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Rebaudioside B</p></td><td><p>C<span>(38+n*6)</span>H<span>(60+n*10)</span>O<span>(18+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Rebaudioside C</p></td><td><p>C<span>(44+n*6)</span>H<span>(70+n*10)</span>O<span>(22+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Rebaudioside D</p></td><td><p>C<span>(50+n*6)</span>H<span>(80+n*10)</span>O<span>(28+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Rebaudioside E</p></td><td><p>C<span>(44+n*6)</span>H<span>(70+n*10)</span>O<span>(23+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Rebaudioside F</p></td><td><p>C<span>(43+n*6)</span>H<span>(68+n*10)</span>O<span>(22+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n-Glucosylated Rebaudioside M</p></td><td><p>C<span>(56+n*6)</span>H<span>(90+n*10)</span>O<span>(33+n*5)</span></p></td><td><p> </p></td></tr><tr><td><p>n: number of glucose units enzymatically added to the parent steviol glycoside (n = 1-20)</p><p>Typical conversion factor for glucosylated steviol glycosides mixtures = 0,20 (on the dried, dextrin-free, basis)</p></td></tr><tr><td><p> </p></td><td><p>Steviol</p></td><td><p>C<span>20</span>H<span>30</span>O<span>3</span></p></td><td><p>1,00</p></td></tr><tr><td><p> </p></td><td><p>Steviolbioside</p></td><td><p>C<span>32</span>H<span>50</span>O<span>13</span></p></td><td><p>0,50</p></td></tr><tr><td><p>Rubusoside</p></td><td><p>C<span>32</span>H<span>50</span>O<span>13</span></p></td><td><p>0,50</p></td></tr><tr><td><p>Dulcoside A</p></td><td><p>C<span>38</span>H<span>60</span>O<span>17</span></p></td><td><p>0,40</p></td></tr><tr><td><p>Stevioside</p></td><td><p>C<span>38</span>H<span>60</span>O<span>18</span></p></td><td><p>0,40</p></td></tr><tr><td><p>Rebaudioside A</p></td><td><p>C<span>44</span>H<span>70</span>O<span>23</span></p></td><td><p>0,33</p></td></tr><tr><td><p>Rebaudioside B</p></td><td><p>C<span>38</span>H<span>60</span>O<span>18</span></p></td><td><p>0,40</p></td></tr><tr><td><p>Rebaudioside C</p></td><td><p>C<span>44</span>H<span>70</span>O<span>22</span></p></td><td><p>0,34</p></td></tr><tr><td><p>Rebaudioside D</p></td><td><p>C<span>50</span>H<span>80</span>O<span>28</span></p></td><td><p>0,29</p></td></tr><tr><td><p>Rebaudioside E</p></td><td><p>C<span>44</span>H<span>70</span>O<span>23</span></p></td><td><p>0,33</p></td></tr><tr><td><p>Rebaudioside F</p></td><td><p>C<span>43</span>H<span>68</span>O<span>22</span></p></td><td><p>0,34</p></td></tr><tr><td><p>Rebaudioside M</p></td><td><p>C<span>56</span>H<span>90</span>O<span>33</span></p></td><td><p>0,25</p></td></tr><tr><td><p>Molecular weight and CAS No</p></td><td><p><span>Trivial name</span></p></td><td><p><span>CAS Number</span></p></td><td><p><span>Molecular weight (g/mol)</span></p></td></tr><tr><td><p>n-Glucosylated Steviolbioside</p></td><td><p>Not available</p></td><td><p>642,73+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Rubusoside</p></td><td><p>Not available</p></td><td><p>642,73+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Dulcoside A</p></td><td><p>Not available</p></td><td><p>788,87+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Stevioside</p></td><td><p>Not available</p></td><td><p>804,88+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Rebaudioside A</p></td><td><p>Not available</p></td><td><p>967,01+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Rebaudioside B</p></td><td><p>Not available</p></td><td><p>804,88+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Rebaudioside C</p></td><td><p>Not available</p></td><td><p>951,02+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Rebaudioside D</p></td><td><p>Not available</p></td><td><p>1129,15+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Rebaudioside E</p></td><td><p>Not available</p></td><td><p>967,01+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Rebaudioside F</p></td><td><p>Not available</p></td><td><p>936,99+n*162,15</p></td></tr><tr><td><p>n-Glucosylated Rebaudioside M</p></td><td><p>Not available</p></td><td><p>1291,30+n*162,15</p></td></tr><tr><td><p>Steviol</p></td><td><p> </p></td><td><p>318,46</p></td></tr><tr><td><p>Steviolbioside</p></td><td><p>41093-60-1</p></td><td><p>642,73</p></td></tr><tr><td><p>Rubusoside</p></td><td><p>64849-39-4</p></td><td><p>642,73</p></td></tr><tr><td><p>Dulcoside A</p></td><td><p>64432-06-0</p></td><td><p>788,87</p></td></tr><tr><td><p>Stevioside</p></td><td><p>57817-89-7</p></td><td><p>804,88</p></td></tr><tr><td><p>Rebaudioside A</p></td><td><p>58543-16-1</p></td><td><p>967,01</p></td></tr><tr><td><p>Rebaudioside B</p></td><td><p>58543-17-2</p></td><td><p>804,88</p></td></tr><tr><td><p>Rebaudioside C</p></td><td><p>63550-99-2</p></td><td><p>951,02</p></td></tr><tr><td><p>Rebaudioside D</p></td><td><p>63279-13-0</p></td><td><p>1 129,15</p></td></tr><tr><td><p>Rebaudioside E</p></td><td><p>63279-14-1</p></td><td><p>967,01</p></td></tr><tr><td><p>Rebaudioside F</p></td><td><p>438045-89-7</p></td><td><p>936,99</p></td></tr><tr><td><p>Rebaudioside M</p></td><td><p>1220616-44-3</p></td><td><p>1 291,30</p></td></tr><tr><td><p>Assay</p></td><td><p>Not less than 95 % of total steviol glycosides, comprised of above mentioned steviol glycosides along with their glucosylated derivatives (1-20 added glucose units), on the dried, dextrin-free, basis.</p></td></tr><tr><td><p><span>Description</span></p></td><td><p>White to light yellow powder, approximately between 100 and 200 times sweeter than sucrose (at 5 % sucrose equivalency).</p></td></tr><tr><td><p><span>Identification</span></p></td></tr><tr><td><p>Solubility</p></td><td><p>Soluble in water</p></td></tr><tr><td><p>pH</p></td><td><p>Between 4,5 and 7,0 (1 in 100 solution)</p></td></tr><tr><td><p><span>Purity</span></p></td></tr><tr><td><p>Total ash</p></td><td><p>Not more than 1 %</p></td></tr><tr><td><p>Loss on drying</p></td><td><p>Not more than 6 % (105 °C, 2 h)</p></td></tr><tr><td><p>Residual solvent</p></td><td><p>Not more than 200 mg/kg methanol</p><p>Not more than 3 000  mg/kg ethanol</p></td></tr><tr><td><p>Arsenic</p></td><td><p>Not more than 0,015 mg/kg</p></td></tr><tr><td><p>Lead</p></td><td><p>Not more than 0,1 mg/kg</p></td></tr><tr><td><p>Cadmium</p></td><td><p>Not more than 0,1 mg/kg</p></td></tr><tr><td><p>Mercury</p></td><td><p>Not more than 0,1 mg/kg</p></td></tr><tr><td><p>Microbiological criteria</p></td></tr><tr><td><p>Total (aerobic) plate count</p></td><td><p>Not more than 1 000 CFU/g</p></td></tr><tr><td><p>Yeast and moulds</p></td><td><p>Not more than 200 CFU/g</p></td></tr><tr><td><p><span>E. coli</span></p></td><td><p>Negative in 1 g</p></td></tr><tr><td><p><span>Salmonella</span></p></td><td><p>Negative in 25 g’.</p></td></tr></tbody></table> | ENG | 32023R0447 |
<table><tr><td><p><span><img/></span></p></td><td><p><span>EUROPEAN COMMISSION</span></p></td></tr></table>
Brussels, 15.2.2018
C( 2018 ) 1052 final
To t he notifying party
Subject : Case M. 8748 - DR OETKER / BAKE & CO Commission decision pursuant to Article 6(1)(b) of Council Regulation (EC) No 139/2004 1 and Article 57 of the Agreement on the European Economic Area 2
Dear Sir or Madam,
1. On 22 January 2018 , the European Commission received notification of a proposed conc entration pursuant to Article 4 of the Merger Regulation by which the undertaking Dr. August Oetker KG ( Germany) , through its wholly-owned direct subsidiary Columbus Container Services BVBA (Belgium), acquires within the meaning of Article 3(1)(b) of the Merger Regulation control of the whole of the undertaking Bake & Co NV (Belgium) by way of purchase of shares . 3
2. The business activities of the undertakings concerned are:
- for Dr. Oetker: the manufacture and distribution of food products (frozen pizza, baking ingredients and decorations, powder dessert mixes, powder baking mixes, chilled dessert products, convenience products for bakeries, and confectioneries), sparkling wine, wine, spirits, beer and non-alcoholic beverages, hotels, specialty phosphates, logistical services, financial services, data centre and hosting services,
- for Bake & Co: the manufacture and distribution of frozen bakery products sold as ‘bake-off’ products to retail and food service customers. Its main products are bread, rolls, baguettes, viennoiserie, and savoury snacks.
3. After examination of the notification, the European Commission has concluded that the notified operation falls within the scope of the Merger Regulation and of paragraph 5(c ) of the Commission Notice on a simplified procedure for treatment of certain concentrations under Council Regulation (EC) No 139/2004 . 4
4. For the reasons set out in the Notice on a simplified procedure, the European Commission has decided not to oppose the notified operation and to declare it compatible with the internal market and with the EEA Agreement. This decision is adopted in application of Article 6(1)(b) of the Merger Regulation and Article 57 of the EEA Agreement .
For the Commission (signed)
Johannes LAITENBERGER Director - General
<note>
(1) OJ L 24, 29.1.2004, p. 1 ( the ' Merger Regulation ' ). With effect from 1 December 2009, the Treaty on the Functioning of the European Union ( ' TFEU ' ) has introduced certain changes, such as the replacement of ' Community ' by ' Union ' and ' common market ' by ' internal market ' . The terminology of the TFEU will be used throughout this decision.
(2) OJ L 1, 3.1.1994, p. 3 ( the ' EEA Agreement ' ).
(3) Publication in the Official Journal of the European Union No C 033 , 30 . 01 . 2018 , p. 20 .
(4) OJ C 366, 14.12.2013, p. 5 .
</note> | ENG | 32018M8748 |
<table><col/><col/><col/><col/><tbody><tr><td><p>17.12.2014   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 360/58</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING DECISION
of 15 December 2014
correcting the Annex to Implementing Decision 2014/154/EU authorising the placing on the market of (6S)-5-methyltetrahydrofolic acid, glucosamine salt as a novel food ingredient under Regulation (EC) No 258/97 of the European Parliament and of the Council
(notified under document C(2014) 9452)
(Only the Italian text is authentic)
(2014/916/EU)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 258/97 of the European Parliament and of the Council of 27 January 1997 concerning novel foods and novel food ingredients ( 1 ) , and in particular Article 7 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Commission Implementing Decision 2014/154/EU <a>(<span>2</span>)</a> authorises the placing on the market of (6S)-5-methyltetrahydrofolic acid, glucosamine salt as a novel food ingredient.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The Annex to Implementing Decision 2014/154/EU lays down the specification for (6S)-5-methyltetrahydrofolic acid, glucosamine salt. The Annex contains an error in the specifications. That error should be corrected.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Implementing Decision 2014/154/EU should therefore be corrected accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The measures provided for in this Decision are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
In the specifications concerning purity of the Annex to Implementing Decision 2014/154/EU, the entry as regards glucosamine assay is replaced by the following:
<table><col/><col/><tbody><tr><td><p>‘Glucosamine assay</p></td><td><p>34-46 % in dry basis’</p></td></tr></tbody></table>
. Article 2
This Decision is addressed to Gnosis SpA, Via Lavoratori Autobianchi 1, 20832 Desio (MB), Italy.
Done at Brussels, 15 December 2014.
For the Commission
Vytenis ANDRIUKAITIS
Member of the Commission
<note>
( 1 ) OJ L 43, 14.2.1997, p. 1 .
( 2 ) Commission Implementing Decision 2014/154/EU of 19 March 2014 authorising the placing on the market of (6S)-5-methyltetrahydrofolic acid, glucosamine salt as a novel food ingredient under Regulation (EC) No 258/97 of the European Parliament and of the Council (OJ L 85, 21.3..2014, p. 10).
</note> | ENG | 32014D0916 |
<table><col/><col/><col/><col/><tbody><tr><td><p>3.10.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 248/1</p></td></tr></tbody></table>
DECISION (EU) 2018/1309 OF THE EUROPEAN PARLIAMENT
of 18 April 2018
on discharge in respect of the implementation of the general budget of the European Union for the financial year 2016, Section I — European Parliament
THE EUROPEAN PARLIAMENT,
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the general budget of the European Union for the financial year 2016 <a>(<span>1</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the consolidated annual accounts of the European Union for the financial year 2016 (COM(2017) 365 — C8-0248/2017) <a>(<span>2</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the report on budgetary and financial management for the financial year 2016, Section I — European Parliament <a>(<span>3</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Internal Auditor’s annual report for the financial year 2016,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Court of Auditors’ annual report on the implementation of the budget for the financial year 2016, together with the institutions’ replies <a>(<span>4</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the statement of assurance <a>(<span>5</span>)</a> as to the reliability of the accounts and the legality and regularity of the underlying transactions provided by the Court of Auditors for the financial year 2016, pursuant to Article 287 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Article 314(10) and Article 318 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002 <a>(<span>6</span>)</a>, and in particular Articles 164, 165 and 166 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Bureau decision of 16 June 2014 on the Internal Rules on the implementation of the European Parliament’s budget <a>(<span>7</span>)</a>, and in particular Article 22 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Rule 94 and Rule 98(3) of, and Annex IV to, its Rules of Procedure,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the report of the Committee on Budgetary Control (A8-0105/2018),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>A.</p></td><td><p>whereas the President adopted Parliament's accounts for the financial year 2016 on 28 June 2017;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>B.</p></td><td><p>whereas the Secretary-General, as principal authorising officer by delegation, certified, on 10 July 2017, his reasonable assurance that the resources assigned for Parliament's budget have been used for their intended purpose, in accordance with the principles of sound financial management and that the control procedures established give the necessary guarantees concerning the legality and regularity of the underlying transactions;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>C.</p></td><td><p>whereas Article 166(1) of Regulation (EU, Euratom) No 966/2012 requires each Union institution to take all appropriate steps to act on the observations accompanying the Parliament’s discharge decision;</p></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>1.</p></td><td><span>Grants its President discharge in respect of the implementation of the budget of the European Parliament for the financial year 2016;</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>2.</p></td><td><span>Sets out its observations in the resolution below;</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>3.</p></td><td><span>Instructs its President to forward this decision and the resolution forming an integral part of it to the Council, the Commission and the Court of Auditors, and to arrange for their publication in the<span>Official Journal of the European Union</span> (L series).</span></td></tr></tbody></table>
The President
Antonio TAJANI
The Secretary-General
Klaus WELLE
<note>
( 1 ) OJ L 48, 24.2.2016 .
( 2 ) OJ C 323, 28.9.2017, p. 1 .
( 3 ) OJ C 266, 11.8.2017, p. 1 .
( 4 ) OJ C 322, 28.9.2017, p. 1 .
( 5 ) OJ C 322, 28.9.2017, p. 10 .
( 6 ) OJ L 298, 26.10.2012, p. 1 .
( 7 ) PE 422.541/Bur.
</note> | ENG | 32018B1309 |
<table><col/><col/><col/><col/><tbody><tr><td><p>25.1.2014   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 22/1</p></td></tr></tbody></table>
COMMISSION REGULATION (EU) No 61/2014
of 24 January 2014
amending Annexes II and III to Regulation (EC) No 396/2005 of the European Parliament and of the Council as regards maximum residue levels for cyromazine, fenpropidin, formetanate, oxamyl and tebuconazole in or on certain products
(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 396/2005 of the European Parliament and of the Council of 23 February 2005 on maximum residue levels of pesticides in or on food and feed of plant and animal origin and amending Council Directive 91/414/EEC ( 1 ) , and in particular Article 14(1)(a) and Article 49(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>For cyromazine and oxamyl, maximum residue levels (MRLs) were set in Annex II and Part B of Annex III to Regulation (EC) No 396/2005. For fenpropidin, formetanate and tebuconazole, MRLs were set in Part A of Annex III to that Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>For cyromazine, the European Food Safety Authority, hereinafter ‘the Authority’, submitted a reasoned opinion on the existing MRLs in accordance with Article 12(1) of Regulation (EC) No 396/2005<a> (<span>2</span>)</a>. The Authority recommended lowering the MRLs for tomatoes and aubergines. For other products it recommended raising the MRLs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The Authority concluded that concerning the MRLs for cyromazine in lamb’s lettuce, lettuce, rocket, rucola, beans (fresh with pods), peas (fresh with pods) and celery some information was not available and that further consideration by risk managers was required. As there is no risk for consumers, MRLs for those products should be set in Annex II to Regulation (EC) No 396/2005 at the existing level or the level identified by the Authority. Those MRLs will be reviewed; the review will take into account the information available within two years from the publication of this Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The Authority concluded that concerning the MRLs for cyromazine in fresh herbs no information was available and that further consideration by risk managers was required. Taking into account additional information on the good agricultural practices provided by the Netherlands and as there is no risk for consumers, MRLs for those products should be set in Annex II to Regulation (EC) No 396/2005 at the existing level. Those MRLs will be reviewed; the review will take into account the information available within two years from the publication of this Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The Authority indicated that the evaluated use for cyromazine in escarole may raise concerns of consumer protection. The MRL for that product should be set at the specific limit of determination or at the default MRL as set out in Article 18(1)(b) of Regulation (EC) No 396/2005.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Cyromazine is a pharmacologically active substance in veterinary medicine. As regards ovine products, MRLs for those products should be set at the same level as provided for in Commission Regulation (EU) No 37/2010<a> (<span>3</span>)</a> because exposure from use in veterinary medicinal products is expected to be higher than from use in plant protection products.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>For fenpropidin, the Authority submitted a reasoned opinion on the existing MRLs in accordance with Article 12(1) of Regulation (EC) No 396/2005<a> (<span>4</span>)</a>. It proposed to change the residue definition. It recommended lowering the MRLs for bananas, oats, rye, wheat and sugar beet root. For other products it recommended raising or keeping the existing MRLs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>For formetanate, the Authority submitted a reasoned opinion on the existing MRLs in accordance with Article 12(2) of Regulation (EC) No 396/2005 in conjunction with Article 12(1) thereof<a> (<span>5</span>)</a>. It recommended keeping the existing MRL for tomatoes.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The Authority concluded that concerning the MRLs for formetanate in melons and watermelons some information was not available and that further consideration by risk managers was required. As there is no risk for consumers, MRLs for those products should be set in Annex II to Regulation (EC) No 396/2005 at the existing level or the level identified by the Authority.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The Authority concluded that concerning the MRLs for formetanate in table and wine grapes, strawberries, peppers, cucumbers, beans with pods, leek and courgettes no information was available and that further consideration by risk managers was required. MRLs for those products should be set at the specific limit of determination or at the default MRL as set out in Article 18(1)(b) of Regulation (EC) No 396/2005.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The Authority indicated that the existing MRL for formetanate in courgettes may raise concerns of consumer protection.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>In the context of a procedure for the authorisation of the use of a plant protection product containing the active substance formetanate on apricots, peaches/nectarines, table and wine grapes, strawberries, peppers, cucumbers, melons, pumpkins, watermelons, lettuce and escarole, an application was made in accordance with Article 6(1) of Regulation (EC) No 396/2005 for the modification of the existing MRLs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>In accordance with Article 8 of Regulation (EC) No 396/2005 this application was evaluated by the Member State concerned and the evaluation report was forwarded to the Commission.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>The Authority assessed the application and the evaluation report, examining in particular the risks to the consumer and, where relevant, to animals and gave a reasoned opinion on the proposed MRLs<a> (<span>6</span>)</a>. It forwarded this opinion to the Commission and the Member States and made it available to the public.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>The Authority concluded in its reasoned opinion that, as regards the use of formetanate on apricots, the submitted data are not sufficient to set a new MRL. It indicated that the proposed MRLs for strawberries, peppers, cucumbers and courgettes may raise concerns of consumer protection. MRLs for those products should be set at the specific limit of determination or at the default MRL as set out in Article 18(1)(b) of Regulation (EC) No 396/2005.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>As regards all other uses, the Authority concluded that all requirements with respect to data were met and that the modifications to the MRLs requested by the applicants were acceptable with regard to consumer safety on the basis of a consumer exposure assessment for 27 specific European consumer groups. It took into account the most recent information on the toxicological properties of formetanate. Neither the lifetime exposure to this substance via consumption of all food products that may contain it, nor the short-term exposure due to high consumption of the relevant crops and products showed that there is a risk that the acceptable daily intake (ADI) or the acute reference dose (ARfD) is exceeded.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>For oxamyl, the Authority submitted a reasoned opinion on the existing MRLs in accordance with Article 12(2) of Regulation (EC) No 396/2005 in conjunction with Article 12(1) thereof<a> (<span>7</span>)</a>. It recommended keeping the existing MRLs for certain products.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>The Authority concluded that concerning the MRLs for oxamyl in oranges, mandarins, bananas, tomatoes, aubergines, cucumbers, gherkins and courgettes some information was not available and that further consideration by risk managers was required. As there is no risk for consumers, MRLs for those products should be set in Annex II to Regulation (EC) No 396/2005 at the existing level or the level identified by the Authority. Those MRLs will be reviewed; the review will take into account the information available within two years from the publication of this Regulation. Concerning the MRLs for oranges, mandarins and potatoes, the Authority concluded that further consideration of the risk assessment values by risk managers was required, taking into account the specific limit of determination in the residue trials.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>The Authority indicated that the evaluated new uses for oxamyl in peppers, melons and watermelons as well as the existing MRL for peppers may raise concerns of consumer protection. MRLs for those products should be set at the specific limit of determination or at the default MRL as set out in Article 18(1)(b) of Regulation (EC) No 396/2005.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>For tebuconazole, the Authority submitted a reasoned opinion on the existing MRLs in accordance with Article 12(1) of Regulation (EC) No 396/2005<a> (<span>8</span>)</a>. It proposed to change the residue definition. It recommended lowering the MRLs for apples, pears, apricots, peaches, table grapes, strawberries, blackberries, raspberries, blueberries, cranberries, currants, gooseberries, elderberries, carrots, parsnips, parsley roots, garlic, tomatoes, cucumber, pumpkins, watermelons, broccoli, cauliflower, head cabbage, asparagus, leek, soya bean, rye grain, wheat grain and ruminant milk. For other products it recommended raising or keeping the existing MRLs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>The Authority concluded that concerning the MRLs for tebuconazole in cherries, wine grapes, dewberries, salsify, aubergines, melons, celery, peanuts, rice grain, hops, spices (seeds) and caraway some information was not available and that further consideration by risk managers was required. As there is no risk for consumers, MRLs for those products should be set in Annex II to Regulation (EC) No 396/2005 at the existing level or the level identified by the Authority. Those MRLs will be reviewed; the review will take into account the information available within two years from the publication of this Regulation. As regards caraway, it is appropriate to take into account additional information on the good agricultural practice provided by Austria and to set the MRL for that product at the same level as for the group of spices — seeds.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>The Authority concluded that concerning the MRLs for tebuconazole in kohlrabi, beans (fresh, with and without pods), peas (fresh, with pods), sunflower seed and sugar beet root no information was available and that further consideration by risk managers was required. MRLs for kohlrabi, sunflower seed and sugar beet root should be set at the specific limit of determination or at the default MRL as set out in Article 18(1)(b) of Regulation (EC) No 396/2005. Taking into account comments by trading partners of the Union and as there is no risk for consumers, MRLs for beans (fresh, with and without pods) and peas (fresh, with pods) should be set in Annex II to Regulation (EC) No 396/2005 at the existing level. The MRLs for beans (fresh, with and without pods) and peas (fresh, with pods) will be reviewed; the review will take into account the information available within two years from the publication of this Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>The Authority indicated that the evaluated use for tebuconazole in Chinese cabbage as well as the existing MRLs for apples, pears, cherries, peaches, table and wine grapes, and Chinese cabbage may raise concerns of consumer protection. The MRL for Chinese cabbage should be set at the specific limit of determination or at the default MRL as set out in Article 18(1)(b) of Regulation (EC) No 396/2005.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>As regards tebuconazole in citrus fruit except oranges, lettuce and other salad plants, chives, parsley and dry pulses, the Authority submitted opinions concerning MRLs for those products<a> (<span>9</span>)</a><a> (<span>10</span>)</a>. As those opinions contain additional information previously not available to the Authority, it is appropriate to take them into account.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>As regards tebuconazole in plums, garlic, onions, sweet corn, globe artichokes, dry beans, peanuts, soya bean, cotton seed, hops and mammalian edible offal, the Codex Alimentarius Commission (CAC)<a> (<span>11</span>)</a> adopted Codex MRLs (CXLs) for tebuconazole. As these CXLs are supported by an updated assessment of the Authority, it is appropriate to take them into account, with the exception of those CXLs which are not safe for consumers in the Union and for which the Union presented a reservation to the CAC<a> (<span>12</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>As regards products for which neither relevant authorisations or import tolerances were reported at Union level nor Codex MRLs were available, the Authority concluded that further consideration by risk managers was required. Taking into account the current scientific and technical knowledge, MRLs for those products should be set at the specific limit of determination or at the default MRL as set out in Article 18(1)(b) of Regulation (EC) No 396/2005.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>Based on the reasoned opinions of the Authority and taking into account the factors relevant to the matter under consideration, the appropriate modifications to the MRLs fulfil the requirements of Article 14(2) of Regulation (EC) No 396/2005.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>Regulation (EC) No 396/2005 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>A reasonable period should be allowed to elapse before the modified MRLs become applicable in order to permit Member States, third countries and food business operators to prepare themselves to meet the new requirements which will result from the modification of the MRLs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>In order to allow for the normal marketing, processing and consumption of products, this Regulation should provide for a transitional arrangement for products which have been lawfully produced before the modification of the MRLs and for which information shows that a high level of consumer protection is maintained.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>Through the World Trade Organisation, the trading partners of the Union were consulted on the new MRLs and their comments have been taken into account.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on the Food Chain and Animal Health,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Annexes II and III to Regulation (EC) No 396/2005 are amended in accordance with the Annex to this Regulation.
Article 2
As regards the active substances in and on products, as set out in the following list, Regulation (EC) No 396/2005 as it stood before being amended by this Regulation shall continue to apply to products which were lawfully produced before 14 August 2014:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>cyromazine and fenpropidin: all products;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>formetanate: all products except table and wine grapes, tomatoes, aubergines, courgettes, melons, pumpkins and watermelons;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>oxamyl: all products except peppers;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>tebuconazole: wine and all other products except apples, pears, cherries, peaches, table and wine grapes, and Chinese cabbage.</p></td></tr></tbody></table>
Article 3
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union .
However, it shall apply from 14 August 2014 except for formetanate in table and wine grapes, tomatoes, aubergines, melons, pumpkins and watermelons, for which it shall apply from the date of entry into force.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 24 January 2014.
For the Commission
The President
José Manuel BARROSO
( 1 ) OJ L 70, 16.3.2005, p. 1 .
( 2 ) European Food Safety Authority; Review of the existing maximum residue levels (MRLs) for cyromazine according to Article 12 of Regulation (EC) No 396/2005. EFSA Journal 2011;9(7):2326. [52 pp.]
( 3 ) Commission Regulation (EU) No 37/2010 of 22 December 2009 on pharmacologically active substances and their classification regarding maximum residue limits in foodstuffs of animal origin ( OJ L 15, 20.1.2010, p. 1 ).
( 4 ) European Food Safety Authority; Review of the existing maximum residue levels (MRLs) for fenpropidin according to Article 12 of Regulation (EC) No 396/2005. EFSA Journal 2011;9(8):2333. [42 pp.]
( 5 ) European Food Safety Authority; Review of the existing maximum residue levels (MRLs) for formetanate according to Article 12 of Regulation (EC) No 396/2005. EFSA Journal 2010;8(10):1832. [30 pp.]
( 6 ) European Food Safety Authority; Reasoned opinion on the modification of the existing MRL for formetanate in various crops. EFSA Journal 2012;10(8):2866. [35 pp.]
( 7 ) European Food Safety Authority; Review of the existing maximum residue levels (MRLs) for oxamyl according to Article 12 of Regulation (EC) No 396/2005. EFSA Journal 2010;8(10):1830. [34 pp.]
( 8 ) European Food Safety Authority; Review of the existing maximum residue levels (MRLs) for tebuconazole according to Article 12 of Regulation (EC) No 396/2005. EFSA Journal 2011;9(8):2339. [96 pp.]
( 9 ) European Food Safety Authority; Modification of the existing MRLs for tebuconazole in pulses. EFSA Journal 2011;9(6):2282. [30 pp.]
( 10 ) European Food Safety Authority; Reasoned opinion on the modification of the existing MRLs for tebuconazole in citrus (except oranges), lettuce and other salad plants, parsley and chives. EFSA Journal 2012;10(9):2898. [37 pp.]
( 11 ) Codex Committee on Pesticide Residues reports available on:
http://www.codexalimentarius.org/download/report/777/REP12_PRe.pdf
Joint FAO/WHO food standards programme Codex Alimentarius Commission. Appendix II and III. Thirty-Fifth Session. Rome, Italy, 2 - 7 July 2012.
( 12 ) Scientific support for preparing an EU position in the 44th Session of the Codex Committee on Pesticide Residues (CCPR). EFSA Journal 2012;10(7):2859. [155 pp.]
ANNEX
Annexes II and III to Regulation (EC) No 396/2005 are amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Annex II is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the columns for cyromazine and oxamyl are replaced by the following:</p><p>‘<span>Pesticide residues and maximum residue levels (mg/kg)</span></p><table><col/><col/><col/><col/><tbody><tr><td><p>Code number</p></td><td><p>Groups and examples of individual products to which the MRLs apply<a> (<span>1</span>)</a></p></td><td><p>Cyromazine</p></td><td><p>Oxamyl</p></td></tr><tr><td><p>(1)</p></td><td><p>(2)</p></td><td><p>(3)</p></td><td><p>(4)</p></td></tr><tr><td><p>0100000</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><span>FRUIT FRESH OR FROZEN NUTS</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0110000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Citrus fruit</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0110010</p></td><td><p>Grapefruit (Shaddocks, pomelos, sweeties, tangelo (except mineola), ugli and other hybrids)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0110020</p></td><td><p>Oranges (Bergamot, bitter orange, chinotto and other hybrids)</p></td><td><p> </p></td><td><p><span>(+)</span></p></td></tr><tr><td><p>0110030</p></td><td><p>Lemons (Citron, lemon, Buddha’s hand (<span>Citrus medica</span> var.<span>sarcodactylis</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0110040</p></td><td><p>Limes</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0110050</p></td><td><p>Mandarins (Clementine, tangerine, mineola and other hybrids tangor (<span>Citrus reticulata</span> x<span>sinensis</span>))</p></td><td><p> </p></td><td><p><span>(+)</span></p></td></tr><tr><td><p>0110990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Tree nuts</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120010</p></td><td><p>Almonds</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120020</p></td><td><p>Brazil nuts</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120030</p></td><td><p>Cashew nuts</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120040</p></td><td><p>Chestnuts</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120050</p></td><td><p>Coconuts</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120060</p></td><td><p>Hazelnuts (Filbert)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120070</p></td><td><p>Macadamia</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120080</p></td><td><p>Pecans</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120090</p></td><td><p>Pine nuts</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120100</p></td><td><p>Pistachios</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120110</p></td><td><p>Walnuts</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0130000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Pome fruit</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0130010</p></td><td><p>Apples (Crab apple)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0130020</p></td><td><p>Pears (Oriental pear)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0130030</p></td><td><p>Quinces</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0130040</p></td><td><p>Medlar</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0130050</p></td><td><p>Loquat</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0130990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0140000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Stone fruit</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0140010</p></td><td><p>Apricots</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0140020</p></td><td><p>Cherries (Sweet cherries, sour cherries)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0140030</p></td><td><p>Peaches (Nectarines and similar hybrids)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0140040</p></td><td><p>Plums (Damson, greengage, mirabelle, sloe, red date/Chinese date/Chinese jujube (<span>Ziziphus zizyphus</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0140990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0150000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Berries & small fruit</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0151000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Table and wine grapes</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0151010</p></td><td><p>Table grapes</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0151020</p></td><td><p>Wine grapes</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0152000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Strawberries</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0153000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Cane fruit</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0153010</p></td><td><p>Blackberries</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0153020</p></td><td><p>Dewberries (Loganberries, tayberries, boysenberries, cloudberries and other<span>Rubus</span> hybrids)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0153030</p></td><td><p>Raspberries (Wineberries, arctic bramble/raspberry, (<span>Rubus arcticus</span>), nectar raspberries (<span>Rubus arcticus</span> x<span>Rubus idaeus</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0153990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Other small fruit & berries</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154010</p></td><td><p>Blueberries (Bilberries)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154020</p></td><td><p>Cranberries (Cowberries/red bilberries (<span>V. vitis-idaea</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154030</p></td><td><p>Currants (red, black and white)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154040</p></td><td><p>Gooseberries (Including hybrids with other Ribes species)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154050</p></td><td><p>Rose hips</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154060</p></td><td><p>Mulberries (<span>Arbutus berry</span>)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154070</p></td><td><p>Azarole (mediteranean medlar) (Kiwiberry (<span>Actinidia arguta</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154080</p></td><td><p>Elderberries (Black chokeberry/appleberry, mountain ash, buckthorn/sea sallowthorn, hawthorn, serviceberries, and other treeberries)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0160000</p></td><td><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><span>Miscellaneous fruit</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Edible peel</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161010</p></td><td><p>Dates</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161020</p></td><td><p>Figs</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161030</p></td><td><p>Table olives</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161040</p></td><td><p>Kumquats (Marumi kumquats, nagami kumquats, limequats (<span>Citrus aurantifolia</span> x<span>Fortunella</span> spp.))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161050</p></td><td><p>Carambola (Bilimbi)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161060</p></td><td><p>Persimmon</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161070</p></td><td><p>Jambolan (java plum) (Java apple/water apple, pomerac, rose apple, Brazilean cherry, Surinam cherry/grumichama (<span>Eugenia uniflora</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0162000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Inedible peel, small</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0162010</p></td><td><p>Kiwi</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0162020</p></td><td><p>Lychee (Litchi) (Pulasan, rambutan/hairy litchi, longan, mangosteen, langsat, salak)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0162030</p></td><td><p>Passion fruit</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0162040</p></td><td><p>Prickly pear (cactus fruit)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0162050</p></td><td><p>Star apple</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0162060</p></td><td><p>American persimmon (Virginia kaki) (Black sapote, white sapote, green sapote, canistel/yellow sapote, mammey sapote)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0162990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Inedible peel, large</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163010</p></td><td><p>Avocados</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163020</p></td><td><p>Bananas (Dwarf banana, plantain, apple banana)</p></td><td><p> </p></td><td><p><span>(+)</span></p></td></tr><tr><td><p>0163030</p></td><td><p>Mangoes</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163040</p></td><td><p>Papaya</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163050</p></td><td><p>Pomegranate</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163060</p></td><td><p>Cherimoya (Custard apple, sugar apple/sweetsop, ilama (<span>Annona diversifolia</span>) and other medium sized<span>Annonaceae</span> fruits)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163070</p></td><td><p>Guava (Red pitaya/dragon fruit (<span>Hylocereus undatus</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163080</p></td><td><p>Pineapples</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163090</p></td><td><p>Bread fruit (Jackfruit)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163100</p></td><td><p>Durian</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163110</p></td><td><p>Soursop (guanabana)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0200000</p></td><td><table><col/><col/><tbody><tr><td><p>2.</p></td><td><span>VEGETABLES FRESH OR FROZEN</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0210000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Root and tuber vegetables</span></td></tr></tbody></table></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0211000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Potatoes</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Tropical root and tuber vegetables</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212010</p></td><td><p>Cassava (Dasheen, eddoe/Japanese taro, tannia)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212020</p></td><td><p>Sweet potatoes</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212030</p></td><td><p>Yams (Potato bean/yam bean, Mexican yam bean)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212040</p></td><td><p>Arrowroot</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Other root and tuber vegetables except sugar beet</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213010</p></td><td><p>Beetroot</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213020</p></td><td><p>Carrots</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213030</p></td><td><p>Celeriac</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213040</p></td><td><p>Horseradish (Angelica roots, lovage roots, gentiana roots)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213050</p></td><td><p>Jerusalem artichokes (Crosne)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213060</p></td><td><p>Parsnips</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213070</p></td><td><p>Parsley root</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213080</p></td><td><p>Radishes (Black radish, Japanese radish, small radish and similar varieties, tiger nut (<span>Cyperus esculentus</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213090</p></td><td><p>Salsify (Scorzonera, Spanish salsify/Spanish oysterplant, edible burdock)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213100</p></td><td><p>Swedes</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213110</p></td><td><p>Turnips</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0220000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Bulb vegetables</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0220010</p></td><td><p>Garlic</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0220020</p></td><td><p>Onions (Other bulb onions, silverskin onions)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0220030</p></td><td><p>Shallots</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0220040</p></td><td><p>Spring onions and welsh onions (Other green onions and similar varieties)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0220990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0230000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Fruiting vegetables</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0231000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Solanacea</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0231010</p></td><td><p>Tomatoes (Cherry tomatoes,<span>Physalis</span> spp., gojiberry, wolfberry (<span>Lycium barbarum</span> and<span>L. chinense</span>), tree tomato)</p></td><td><p><span>0,6</span></p></td><td><p><span>0,01<a> (<span>2</span>)</a> (+)</span></p></td></tr><tr><td><p>0231020</p></td><td><p>Peppers (Chilli peppers)</p></td><td><p><span>1,5</span></p></td><td><p><span>0,01</span><a> (<span>2</span>)</a></p></td></tr><tr><td><p>0231030</p></td><td><p>Aubergines (egg plants) (Pepino, antroewa/white eggplant (<span>S. macrocarpon</span>))</p></td><td><p><span>0,6</span></p></td><td><p><span>0,02 (+)</span></p></td></tr><tr><td><p>0231040</p></td><td><p>Okra (lady’s fingers)</p></td><td><p><span>0,05</span><a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0231990</p></td><td><p>Others</p></td><td><p><span>0,05</span><a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0232000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Cucurbits — edible peel</span></td></tr></tbody></table></td><td><p><span>2</span></p></td><td><p><span>0,01<a> (<span>2</span>)</a> (+)</span></p></td></tr><tr><td><p>0232010</p></td><td><p>Cucumbers</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0232020</p></td><td><p>Gherkins</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0232030</p></td><td><p>Courgettes (Summer squash, marrow (patisson), lauki (<span>Lagenaria siceraria</span>), chayote, sopropo/bitter melon, snake gourd, angled luffa/teroi)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0232990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0233000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Cucurbits-inedible peel</span></td></tr></tbody></table></td><td><p><span>0,4</span></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0233010</p></td><td><p>Melons (Kiwano)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0233020</p></td><td><p>Pumpkins (Winter squash, marrow (late variety))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0233030</p></td><td><p>Watermelons</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0233990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0234000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Sweet corn (Baby corn)</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0239000</p></td><td><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><span>Other fruiting vegetables</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0240000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Brassica vegetables</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0241000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Flowering brassica</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0241010</p></td><td><p>Broccoli (Calabrese, Broccoli raab, Chinese broccoli)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0241020</p></td><td><p>Cauliflower</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0241990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0242000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Head brassica</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0242010</p></td><td><p>Brussels sprouts</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0242020</p></td><td><p>Head cabbage (Pointed head cabbage, red cabbage, savoy cabbage, white cabbage)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0242990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0243000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Leafy brassica</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0243010</p></td><td><p>Chinese cabbage (Indian or Chinese) mustard, pak choi, Chinese flat cabbage/ai goo choi), choi sum, Peking cabbage/pe-tsai)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0243020</p></td><td><p>Kale (Borecole/curly kale, collards, Portuguese Kale, Portuguese cabbage, cow cabbage)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0243990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0244000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Kohlrabi</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0250000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Leaf vegetables & fresh herbs</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Lettuce and other salad plants including Brassicacea</span></td></tr></tbody></table></td><td><p> </p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0251010</p></td><td><p>Lamb’s lettuce (Italian corn salad)</p></td><td><p><span>15 (+)</span></p></td><td><p> </p></td></tr><tr><td><p>0251020</p></td><td><p>Lettuce (Head lettuce, lollo rosso (cutting lettuce), iceberg lettuce, romaine (cos) lettuce)</p></td><td><p><span>3 (+)</span></p></td><td><p> </p></td></tr><tr><td><p>0251030</p></td><td><p>Scarole (broad-leaf endive) (Wild chicory, red-leaved chicory, radicchio, curly leaf endive, sugar loaf (<span>C. endivia</span> var.<span>crispum/C. intybus</span> var.<span>foliosum</span>), dandelion greens)</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0251040</p></td><td><p>Cress (Mung bean sprouts, alfalfa sprouts)</p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0251050</p></td><td><p>Land cress</p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0251060</p></td><td><p>Rocket, Rucola (Wild rocket (<span>Diplotaxis</span> spp.))</p></td><td><p><span>3 (+)</span></p></td><td><p> </p></td></tr><tr><td><p>0251070</p></td><td><p>Red mustard</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0251080</p></td><td><p>Leaves and sprouts of<span>Brassica</span> spp, including turnip greens (Mizuna, leaves of peas and radish and other babyleaf crops, including brassica crops (crops harvested up to 8 true leaf stage), kohlrabi leaves)</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0251990</p></td><td><p>Others</p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0252000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Spinach & similar (leaves)</span></td></tr></tbody></table></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0252010</p></td><td><p>Spinach (New Zealand spinach, amaranthus spinach (pak-khom, tampara), tajer leaves, bitterblad/bitawiri)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0252020</p></td><td><p>Purslane (Winter purslane/miner’s lettuce, garden purslane, common purslane, sorrel, glassworth, agretti (<span>Salsola soda</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0252030</p></td><td><p>Beet leaves (chard) (Leaves of beetroot)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0252990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0253000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Vine leaves (grape leaves) (Malabar nightshade, banana leaves, climbing wattle (Acacia pennata))</span></td></tr></tbody></table></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0254000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Water cress (Morning glory/Chinese convolvulus/water convolvulus/water spinach/kangkung (Ipomea aquatica), water clover, water mimosa)</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0255000</p></td><td><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><span>Witloof</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0256000</p></td><td><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><span>Herbs</span></td></tr></tbody></table></td><td><p><span>15 (+)</span></p></td><td><p><span>0,02<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0256010</p></td><td><p>Chervil</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256020</p></td><td><p>Chives</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256030</p></td><td><p>Celery leaves (Fennel leaves, coriander leaves, dill leaves, caraway leaves, lovage, angelica, sweet cisely and other<span>Apiacea</span> leaves, culantro/stinking/long coriander/stink weed (<span>Eryngium foetidum</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256040</p></td><td><p>Parsley (leaves of root parsley)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256050</p></td><td><p>Sage (Winter savory, summer savory,<span>Borago officinalis</span> leaves)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256060</p></td><td><p>Rosemary</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256070</p></td><td><p>Thyme (Marjoram, oregano)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256080</p></td><td><p>Basil (Balm leaves, mint, peppermint, holy basil, sweet basil, hairy basil, edible flowers (marigold flower and others), pennywort, wild betel leaf, curry leaves)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256090</p></td><td><p>Bay leaves (laurel) (Lemon grass)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256100</p></td><td><p>Tarragon (Hyssop)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0256990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0260000</p></td><td><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><span>Legume vegetables (fresh)</span></td></tr></tbody></table></td><td><p> </p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0260010</p></td><td><p>Beans (with pods) (Green bean/French beans/snap beans, scarlet runner bean, slicing bean, yard long beans, guar beans, soya beans)</p></td><td><p><span>5 (+)</span></p></td><td><p> </p></td></tr><tr><td><p>0260020</p></td><td><p>Beans (without pods) (Broad beans, flageolets, jack bean, lima bean, cowpea)</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0260030</p></td><td><p>Peas (with pods) (Mangetout/sugar peas/snow peas)</p></td><td><p><span>5 (+)</span></p></td><td><p> </p></td></tr><tr><td><p>0260040</p></td><td><p>Peas (without pods) (Garden pea, green pea, chickpea)</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0260050</p></td><td><p>Lentils</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0260990</p></td><td><p>Others</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0270000</p></td><td><table><col/><col/><tbody><tr><td><p>(vii)</p></td><td><span>Stem vegetables (fresh)</span></td></tr></tbody></table></td><td><p> </p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0270010</p></td><td><p>Asparagus</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0270020</p></td><td><p>Cardoons (<span>Borago officinalis</span> stems)</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0270030</p></td><td><p>Celery</p></td><td><p><span>3 (+)</span></p></td><td><p> </p></td></tr><tr><td><p>0270040</p></td><td><p>Fennel</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0270050</p></td><td><p>Globe artichokes (Banana flower)</p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0270060</p></td><td><p>Leek</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0270070</p></td><td><p>Rhubarb</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0270080</p></td><td><p>Bamboo shoots</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0270090</p></td><td><p>Palm hearts</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0270990</p></td><td><p>Others</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0280000</p></td><td><table><col/><col/><tbody><tr><td><p>(viii)</p></td><td><span>Fungi</span></td></tr></tbody></table></td><td><p> </p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0280010</p></td><td><p>Cultivated fungi (Common mushroom, oyster mushroom, shiitake, fungus mycelium (vegetative parts))</p></td><td><p><span>10</span></p></td><td><p> </p></td></tr><tr><td><p>0280020</p></td><td><p>Wild fungi (Chanterelle, truffle, morel, cep)</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0280990</p></td><td><p>Others</p></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0290000</p></td><td><table><col/><col/><tbody><tr><td><p>(ix)</p></td><td><span>Sea weeds</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0300000</p></td><td><table><col/><col/><tbody><tr><td><p>3.</p></td><td><span>PULSES, DRY</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0300010</p></td><td><p>Beans (Broad beans, navy beans, flageolets, jack beans, lima beans, field beans, cowpeas)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0300020</p></td><td><p>Lentils</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0300030</p></td><td><p>Peas (Chickpeas, field peas, chickling vetch)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0300040</p></td><td><p>Lupins</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0300990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0400000</p></td><td><table><col/><col/><tbody><tr><td><p>4.</p></td><td><span>OILSEEDS AND OILFRUITS</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0401000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Oilseeds</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401010</p></td><td><p>Linseed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401020</p></td><td><p>Peanuts</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401030</p></td><td><p>Poppy seed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401040</p></td><td><p>Sesame seed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401050</p></td><td><p>Sunflower seed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401060</p></td><td><p>Rape seed (Bird rapeseed, turnip rape)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401070</p></td><td><p>Soya bean</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401080</p></td><td><p>Mustard seed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401090</p></td><td><p>Cotton seed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401100</p></td><td><p>Pumpkin seeds (Other seeds of<span>Cucurbitaceae</span>)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401110</p></td><td><p>Safflower</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401120</p></td><td><p>Borage (Purple viper’s bugloss/Canary flower (<span>Echium plantagineum</span>), Corn Gromwell (<span>Buglossoides arvensis</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401130</p></td><td><p>Gold of pleasure</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401140</p></td><td><p>Hempseed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401150</p></td><td><p>Castor bean</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0402000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Oilfruits</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0402010</p></td><td><p>Olives for oil production</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0402020</p></td><td><p>Palm nuts (palmoil kernels)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0402030</p></td><td><p>Palmfruit</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0402040</p></td><td><p>Kapok</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0402990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500000</p></td><td><table><col/><col/><tbody><tr><td><p>5.</p></td><td><span>CEREALS</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0500010</p></td><td><p>Barley</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500020</p></td><td><p>Buckwheat (<span>Amaranthus, quinoa</span>)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500030</p></td><td><p>Maize</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500040</p></td><td><p>Millet (Foxtail millet, teff, finger millet, pearl millet)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500050</p></td><td><p>Oats</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500060</p></td><td><p>Rice (Indian/wild rice (<span>Zizania aquatica</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500070</p></td><td><p>Rye</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500080</p></td><td><p>Sorghum</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500090</p></td><td><p>Wheat (Spelt, triticale)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0500990</p></td><td><p>Others (Canary grass seeds (<span>Phalaris canariensis</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0600000</p></td><td><table><col/><col/><tbody><tr><td><p>6.</p></td><td><span>TEA, COFFEE, HERBAL INFUSIONS AND COCOA</span></td></tr></tbody></table></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0610000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Tea</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0620000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Coffee beans</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0630000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Herbal infusions (dried)</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Flowers</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631010</p></td><td><p>Camomille flowers</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631020</p></td><td><p>Hybiscus flowers</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631030</p></td><td><p>Rose petals</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631040</p></td><td><p>Jasmine flowers (Elderflowers (<span>Sambucus nigra</span>))</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631050</p></td><td><p>Lime (linden)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Leaves</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632010</p></td><td><p>Strawberry leaves</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632020</p></td><td><p>Rooibos leaves (Ginkgo leaves)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632030</p></td><td><p>Maté</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0633000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Roots</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0633010</p></td><td><p>Valerian root</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0633020</p></td><td><p>Ginseng root</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0633990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0639000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Other herbal infusions</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0640000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Cocoabeans (fermented or dried)</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0650000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Carob (st johns bread)</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0700000</p></td><td><table><col/><col/><tbody><tr><td><p>7.</p></td><td><span>HOPS (dried)</span></td></tr></tbody></table></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0800000</p></td><td><table><col/><col/><tbody><tr><td><p>8.</p></td><td><span>SPICES</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Seeds</span></td></tr></tbody></table></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0810010</p></td><td><p>Anise</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810020</p></td><td><p>Black caraway</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810030</p></td><td><p>Celery seed (Lovage seed)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810040</p></td><td><p>Coriander seed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810050</p></td><td><p>Cumin seed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810060</p></td><td><p>Dill seed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810070</p></td><td><p>Fennel seed</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810080</p></td><td><p>Fenugreek</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810090</p></td><td><p>Nutmeg</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Fruits and berries</span></td></tr></tbody></table></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0820010</p></td><td><p>Allspice</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820020</p></td><td><p>Sichuan pepper (Anise pepper, Japan pepper)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820030</p></td><td><p>Caraway</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820040</p></td><td><p>Cardamom</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820050</p></td><td><p>Juniper berries</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820060</p></td><td><p>Pepper, black, green and white (Long pepper, pink pepper)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820070</p></td><td><p>Vanilla pods</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820080</p></td><td><p>Tamarind</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0830000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Bark</span></td></tr></tbody></table></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0830010</p></td><td><p>Cinnamon (Cassia)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0830990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0840000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Roots or rhizome</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0840010</p></td><td><p>Liquorice</p></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0840020</p></td><td><p>Ginger</p></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0840030</p></td><td><p>Turmeric (Curcuma)</p></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0840040</p></td><td><p>Horseradish</p></td><td><p><span>(+)</span></p></td><td><p><span>(+)</span></p></td></tr><tr><td><p>0840990</p></td><td><p>Others</p></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0850000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Buds</span></td></tr></tbody></table></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0850010</p></td><td><p>Cloves</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0850020</p></td><td><p>Capers</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0850990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0860000</p></td><td><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><span>Flower stigma</span></td></tr></tbody></table></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0860010</p></td><td><p>Saffron</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0860990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0870000</p></td><td><table><col/><col/><tbody><tr><td><p>(vii)</p></td><td><span>Aril</span></td></tr></tbody></table></td><td><p><span>0,1<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>0870010</p></td><td><p>Mace</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0870990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0900000</p></td><td><table><col/><col/><tbody><tr><td><p>9.</p></td><td><span>SUGAR PLANTS</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>2</span>)</a></p></td><td><p>0,01<a> (<span>2</span>)</a></p></td></tr><tr><td><p>0900010</p></td><td><p>Sugar beet (root)</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0900020</p></td><td><p>Sugar cane</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0900030</p></td><td><p>Chicory roots</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0900990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1000000</p></td><td><table><col/><col/><tbody><tr><td><p>10.</p></td><td><span>PRODUCTS OF ANIMAL ORIGIN-TERRESTRIAL ANIMALS</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1010000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Tissue</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>1011000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Swine</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>1011010</p></td><td><p>Muscle</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1011020</p></td><td><p>Fat</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1011030</p></td><td><p>Liver</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1011040</p></td><td><p>Kidney</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1011050</p></td><td><p>Edible offal</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1011990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1012000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Bovine</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>1012010</p></td><td><p>Muscle</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1012020</p></td><td><p>Fat</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1012030</p></td><td><p>Liver</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1012040</p></td><td><p>Kidney</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1012050</p></td><td><p>Edible offal</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1012990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1013000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Sheep</span></td></tr></tbody></table></td><td><p><span>0,3 (+)</span></p></td><td><p> </p></td></tr><tr><td><p>1013010</p></td><td><p>Muscle</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1013020</p></td><td><p>Fat</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1013030</p></td><td><p>Liver</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1013040</p></td><td><p>Kidney</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1013050</p></td><td><p>Edible offal</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1013990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1014000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Goat</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>1014010</p></td><td><p>Muscle</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1014020</p></td><td><p>Fat</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1014030</p></td><td><p>Liver</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1014040</p></td><td><p>Kidney</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1014050</p></td><td><p>Edible offal</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1014990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1015000</p></td><td><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><span>Horses, asses, mules or hinnies</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>1015010</p></td><td><p>Muscle</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1015020</p></td><td><p>Fat</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1015030</p></td><td><p>Liver</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1015040</p></td><td><p>Kidney</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1015050</p></td><td><p>Edible offal</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1015990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016000</p></td><td><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><span>Poultry -chicken, geese, duck, turkey and Guinea fowl-, ostrich, pigeon</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>1016010</p></td><td><p>Muscle</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016020</p></td><td><p>Fat</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016030</p></td><td><p>Liver</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016040</p></td><td><p>Kidney</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016050</p></td><td><p>Edible offal</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1017000</p></td><td><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><span>Other farm animals (Rabbit, kangaroo, deer)</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>1017010</p></td><td><p>Muscle</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1017020</p></td><td><p>Fat</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1017030</p></td><td><p>Liver</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1017040</p></td><td><p>Kidney</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1017050</p></td><td><p>Edible offal</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1017990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1020000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Milk</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>1020010</p></td><td><p>Cattle</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1020020</p></td><td><p>Sheep</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1020030</p></td><td><p>Goat</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1020040</p></td><td><p>Horse</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1020990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Bird eggs</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>1030010</p></td><td><p>Chicken</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030020</p></td><td><p>Duck</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030030</p></td><td><p>Goose</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030040</p></td><td><p>Quail</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1040000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Honey (Royal jelly, pollen, honey comb with honey (comb honey))</span></td></tr></tbody></table></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td><td><p><span>0,05<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>1050000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Amphibians and reptiles (Frog legs, crocodiles)</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>1060000</p></td><td><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><span>Snails</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><p>1070000</p></td><td><table><col/><col/><tbody><tr><td><p>(vii)</p></td><td><span>Other terrestrial animal products (Wild game)</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td><td><p><span>0,01<a> (<span>2</span>)</a></span></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on residue trials and melamine formation as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0251010</span></p></td><td><p><span>Lamb’s lettuce (Italian corn salad)</span></p></td></tr><tr><td><p><span>0251020</span></p></td><td><p><span>Lettuce (Head lettuce, lollo rosso (cutting lettuce), iceberg lettuce, romaine (cos) lettuce)</span></p></td></tr><tr><td><p><span>0251060</span></p></td><td><p><span>Rocket, Rucola (Wild rocket (<span>Diplotaxis</span> spp.))</span></p></td></tr><tr><td><p><span>0256000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>(f)</span></p></td><td><span>Herbs</span></td></tr></tbody></table></td></tr><tr><td><p><span>0256010</span></p></td><td><p><span>Chervil</span></p></td></tr><tr><td><p><span>0256020</span></p></td><td><p><span>Chives</span></p></td></tr><tr><td><p><span>0256030</span></p></td><td><p><span>Celery leaves (Fennel leaves, coriander leaves, dill leaves, caraway leaves, lovage, angelica, sweet cisely and other<span>Apiacea</span> leaves, culantro/stinking/long coriander/stink weed (<span>Eryngium foetidum</span>))</span></p></td></tr><tr><td><p><span>0256040</span></p></td><td><p><span>Parsley (leaves of root parsley)</span></p></td></tr><tr><td><p><span>0256050</span></p></td><td><p><span>Sage (Winter savory, summer savory,<span>Borago officinalis</span> leaves)</span></p></td></tr><tr><td><p><span>0256060</span></p></td><td><p><span>Rosemary</span></p></td></tr><tr><td><p><span>0256070</span></p></td><td><p><span>Thyme (Marjoram, oregano)</span></p></td></tr><tr><td><p><span>0256080</span></p></td><td><p><span>Basil (Balm leaves, mint, peppermint, holy basil, sweet basil, hairy basil, edible flowers (marigold flower and others), pennywort, wild betel leaf, curry leaves)</span></p></td></tr><tr><td><p><span>0256090</span></p></td><td><p><span>Bay leaves (laurel) (Lemon grass)</span></p></td></tr><tr><td><p><span>0256100</span></p></td><td><p><span>Tarragon (Hyssop)</span></p></td></tr><tr><td><p><span>0256990</span></p></td><td><p><span>Others</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on crop metabolism as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0260010</span></p></td><td><p><span>Beans (with pods) (Green bean/French beans/snap beans, scarlet runner bean, slicing bean, yard long beans, guar beans, soya beans)</span></p></td></tr><tr><td><p><span>0260030</span></p></td><td><p><span>Peas (with pods) (Mangetout/sugar peas/snow peas)</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on residue trials and melamine formation as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0270030</span></p></td><td><p><span>Celery</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>veterinary medicinal MRL</p><table><col/><col/><tbody><tr><td><p><span>1013000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>(c)</span></p></td><td><span>Sheep</span></td></tr></tbody></table></td></tr><tr><td><p><span>1013010</span></p></td><td><p><span>Muscle</span></p></td></tr><tr><td><p><span>1013020</span></p></td><td><p><span>Fat</span></p></td></tr><tr><td><p><span>1013030</span></p></td><td><p><span>Liver</span></p></td></tr><tr><td><p><span>1013040</span></p></td><td><p><span>Kidney</span></p></td></tr><tr><td><p><span>1013050</span></p></td><td><p><span>Edible offal</span></p></td></tr><tr><td><p><span>1013990</span></p></td><td><p><span>Others</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on storage stability, crop metabolism and residue trials as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0110020</span></p></td><td><p><span>Oranges (Bergamot, bitter orange, chinotto and other hybrids)</span></p></td></tr><tr><td><p><span>0110050</span></p></td><td><p><span>Mandarins (Clementine, tangerine, mineola and other hybrids tangor (<span>Citrus reticulata</span> x<span>sinensis</span>))</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on crop metabolism as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0163020</span></p></td><td><p><span>Bananas (Dwarf banana, plantain, apple banana)</span></p></td></tr><tr><td><p><span>0231010</span></p></td><td><p><span>Tomatoes (Cherry tomatoes,<span>Physalis</span> spp., gojiberry, wolfberry (<span>Lycium barbarum</span> and<span>L. chinense</span>), tree tomato)</span></p></td></tr><tr><td><p><span>0231030</span></p></td><td><p><span>Aubergines (egg plants) (Pepino, antroewa/white eggplant (<span>S. macrocarpon</span>))</span></p></td></tr><tr><td><p><span>0232000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>(b)</span></p></td><td><span>Cucurbits — edible peel</span></td></tr></tbody></table></td></tr><tr><td><p><span>0232010</span></p></td><td><p><span>Cucumbers</span></p></td></tr><tr><td><p><span>0232020</span></p></td><td><p><span>Gherkins</span></p></td></tr><tr><td><p><span>0232030</span></p></td><td><p><span>Courgettes (Summer squash, marrow (patisson), lauki (<span>Lagenaria siceraria</span>), chayote, sopropo/bitter melon, snake gourd, angled luffa/teroi)</span></p></td></tr><tr><td><p><span>0232990</span></p></td><td><p><span>Others</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span>’</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the following columns for fenpropidin, formetanate and tebuconazole are added:</p><p>‘<span>Pesticide residues and maximum residue levels (mg/kg)</span></p><table><col/><col/><col/><col/><col/><tbody><tr><td><p>Code number</p></td><td><p>Groups and examples of individual products to which the MRLs apply<a> (<span>3</span>)</a></p></td><td><p>Fenpropidin (sum of fenpropidin and its salts, expressed as fenpropidin) (R) (S)</p></td><td><p>Formetanate: Sum of formetanate and its salts expressed as formetanate(hydrochloride)</p></td><td><p>Tebuconazole (R)</p></td></tr><tr><td><p>(1)</p></td><td><p>(2)</p></td><td><p>(3)</p></td><td><p>(4)</p></td><td><p>(5)</p></td></tr><tr><td><p>0100000</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><span>FRUIT FRESH OR FROZEN NUTS</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0110000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Citrus fruit</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0110010</p></td><td><p>Grapefruit (Shaddocks, pomelos, sweeties, tangelo (except mineola), ugli and other hybrids)</p></td><td><p> </p></td><td><p> </p></td><td><p>5</p></td></tr><tr><td><p>0110020</p></td><td><p>Oranges (Bergamot, bitter orange, chinotto and other hybrids)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,9</p></td></tr><tr><td><p>0110030</p></td><td><p>Lemons (Citron, lemon, Buddha’s hand (<span>Citrus medica</span> var.<span>sarcodactylis</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p>5</p></td></tr><tr><td><p>0110040</p></td><td><p>Limes</p></td><td><p> </p></td><td><p> </p></td><td><p>5</p></td></tr><tr><td><p>0110050</p></td><td><p>Mandarins (Clementine, tangerine, mineola and other hybrids tangor (<span>Citrus reticulata</span> x<span>sinensis</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p>5</p></td></tr><tr><td><p>0110990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p>5</p></td></tr><tr><td><p>0120000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Tree nuts</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,05</span></p></td></tr><tr><td><p>0120010</p></td><td><p>Almonds</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120020</p></td><td><p>Brazil nuts</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120030</p></td><td><p>Cashew nuts</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120040</p></td><td><p>Chestnuts</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120050</p></td><td><p>Coconuts</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120060</p></td><td><p>Hazelnuts (Filbert)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120070</p></td><td><p>Macadamia</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120080</p></td><td><p>Pecans</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120090</p></td><td><p>Pine nuts</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120100</p></td><td><p>Pistachios</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120110</p></td><td><p>Walnuts</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0120990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0130000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Pome fruit</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0130010</p></td><td><p>Apples (Crab apple)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,3</span></p></td></tr><tr><td><p>0130020</p></td><td><p>Pears (Oriental pear)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,3</span></p></td></tr><tr><td><p>0130030</p></td><td><p>Quinces</p></td><td><p> </p></td><td><p> </p></td><td><p>0,5</p></td></tr><tr><td><p>0130040</p></td><td><p>Medlar</p></td><td><p> </p></td><td><p> </p></td><td><p>0,5</p></td></tr><tr><td><p>0130050</p></td><td><p>Loquat</p></td><td><p> </p></td><td><p> </p></td><td><p>0,5</p></td></tr><tr><td><p>0130990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p>0,5</p></td></tr><tr><td><p>0140000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Stone fruit</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0140010</p></td><td><p>Apricots</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,6</span></p></td></tr><tr><td><p>0140020</p></td><td><p>Cherries (Sweet cherries, sour cherries)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>1 (+)</span></p></td></tr><tr><td><p>0140030</p></td><td><p>Peaches (Nectarines and similar hybrids)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,6</span></p></td></tr><tr><td><p>0140040</p></td><td><p>Plums (Damson, greengage, mirabelle, sloe, red date/Chinese date/Chinese jujube (<span>Ziziphus zizyphus</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p>1</p></td></tr><tr><td><p>0140990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0150000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Berries & small fruit</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0151000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Table and wine grapes</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,1</span></p></td><td><p> </p></td></tr><tr><td><p>0151010</p></td><td><p>Table grapes</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,5</span></p></td></tr><tr><td><p>0151020</p></td><td><p>Wine grapes</p></td><td><p> </p></td><td><p> </p></td><td><p><span>1 (+)</span></p></td></tr><tr><td><p>0152000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Strawberries</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0153000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Cane fruit</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,5</span></p></td></tr><tr><td><p>0153010</p></td><td><p>Blackberries</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0153020</p></td><td><p>Dewberries (Loganberries, tayberries, boysenberries, cloudberries and other<span>Rubus</span> hybrids)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>(+)</span></p></td></tr><tr><td><p>0153030</p></td><td><p>Raspberries (Wineberries, arctic bramble/raspberry, (<span>Rubus arcticus</span>), nectar raspberries (<span>Rubus arcticus</span> x<span>Rubus idaeus</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0153990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>(+)</span></p></td></tr><tr><td><p>0154000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Other small fruit & berries</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>1,5</span></p></td></tr><tr><td><p>0154010</p></td><td><p>Blueberries (Bilberries)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154020</p></td><td><p>Cranberries (Cowberries/red bilberries (<span>V. vitis-idaea</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154030</p></td><td><p>Currants (red, black and white)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154040</p></td><td><p>Gooseberries (Including hybrids with other Ribes species)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154050</p></td><td><p>Rose hips</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154060</p></td><td><p>Mulberries (<span>Arbutus</span> berry)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154070</p></td><td><p>Azarole (mediteranean medlar) (Kiwiberry (<span>Actinidia arguta</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154080</p></td><td><p>Elderberries (Black chokeberry/appleberry, mountain ash, buckthorn/sea sallowthorn, hawthorn, serviceberries, and other treeberries)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0154990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0160000</p></td><td><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><span>Miscellaneous fruit</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0161000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Edible peel</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0161010</p></td><td><p>Dates</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0161020</p></td><td><p>Figs</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0161030</p></td><td><p>Table olives</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05</span></p></td></tr><tr><td><p>0161040</p></td><td><p>Kumquats (Marumi kumquats, nagami kumquats, limequats (<span>Citrus aurantifolia</span> x<span>Fortunella</span> spp.))</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0161050</p></td><td><p>Carambola (Bilimbi)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0161060</p></td><td><p>Persimmon</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0161070</p></td><td><p>Jambolan (java plum) (Java apple/water apple, pomerac, rose apple, Brazilean cherry, Surinam cherry/grumichama (<span>Eugenia uniflora</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0161990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0162000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Inedible peel, small</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0162010</p></td><td><p>Kiwi</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0162020</p></td><td><p>Lychee (Litchi) (Pulasan, rambutan/hairy litchi, longan, mangosteen, langsat, salak)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0162030</p></td><td><p>Passion fruit</p></td><td><p> </p></td><td><p> </p></td><td><p>1</p></td></tr><tr><td><p>0162040</p></td><td><p>Prickly pear (cactus fruit)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0162050</p></td><td><p>Star apple</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0162060</p></td><td><p>American persimmon (Virginia kaki) (Black sapote, white sapote, green sapote, canistel/yellow sapote, mammey sapote)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0162990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0163000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Inedible peel, large</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0163010</p></td><td><p>Avocados</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0163020</p></td><td><p>Bananas (Dwarf banana, plantain, apple banana)</p></td><td><p><span>0,2</span></p></td><td><p> </p></td><td><p><span>0,05</span></p></td></tr><tr><td><p>0163030</p></td><td><p>Mangoes</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p>0,1</p></td></tr><tr><td><p>0163040</p></td><td><p>Papaya</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p>2</p></td></tr><tr><td><p>0163050</p></td><td><p>Pomegranate</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0163060</p></td><td><p>Cherimoya (Custard apple, sugar apple/sweetsop, ilama (<span>Annona diversifolia</span>) and other medium sized<span>Annonaceae</span> fruits)</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0163070</p></td><td><p>Guava (Red pitaya/dragon fruit (<span>Hylocereus undatus</span>))</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0163080</p></td><td><p>Pineapples</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0163090</p></td><td><p>Bread fruit (Jackfruit)</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0163100</p></td><td><p>Durian</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0163110</p></td><td><p>Soursop (guanabana)</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0163990</p></td><td><p>Others</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0200000</p></td><td><table><col/><col/><tbody><tr><td><p>2.</p></td><td><span>VEGETABLES FRESH OR FROZEN</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0210000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Root and tuber vegetables</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0211000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Potatoes</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0212000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Tropical root and tuber vegetables</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0212010</p></td><td><p>Cassava (Dasheen, eddoe/Japanese taro, tannia)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212020</p></td><td><p>Sweet potatoes</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212030</p></td><td><p>Yams (Potato bean/yam bean, Mexican yam bean)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212040</p></td><td><p>Arrowroot</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0212990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Other root and tuber vegetables except sugar beet</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0213010</p></td><td><p>Beetroot</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0213020</p></td><td><p>Carrots</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,4</span></p></td></tr><tr><td><p>0213030</p></td><td><p>Celeriac</p></td><td><p> </p></td><td><p> </p></td><td><p>0,5</p></td></tr><tr><td><p>0213040</p></td><td><p>Horseradish (Angelica roots, lovage roots, gentiana roots)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,4</p></td></tr><tr><td><p>0213050</p></td><td><p>Jerusalem artichokes (Crosne)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0213060</p></td><td><p>Parsnips</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,4</span></p></td></tr><tr><td><p>0213070</p></td><td><p>Parsley root</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,4</span></p></td></tr><tr><td><p>0213080</p></td><td><p>Radishes (Black radish, Japanese radish, small radish and similar varieties, tiger nut (<span>Cyperus esculentus</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0213090</p></td><td><p>Salsify (Scorzonera, Spanish salsify/Spanish oysterplant, edible burdock)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,4 (+)</span></p></td></tr><tr><td><p>0213100</p></td><td><p>Swedes</p></td><td><p> </p></td><td><p> </p></td><td><p>0,3</p></td></tr><tr><td><p>0213110</p></td><td><p>Turnips</p></td><td><p> </p></td><td><p> </p></td><td><p>0,3</p></td></tr><tr><td><p>0213990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0220000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Bulb vegetables</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0220010</p></td><td><p>Garlic</p></td><td><p> </p></td><td><p> </p></td><td><p>0,1</p></td></tr><tr><td><p>0220020</p></td><td><p>Onions (Other bulb onions, silverskin onions)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,1</p></td></tr><tr><td><p>0220030</p></td><td><p>Shallots</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05</span></p></td></tr><tr><td><p>0220040</p></td><td><p>Spring onions and welsh onions (Other green onions and similar varieties)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,6</span></p></td></tr><tr><td><p>0220990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0230000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Fruiting vegetables</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0231000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Solanacea</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0231010</p></td><td><p>Tomatoes (Cherry tomatoes,<span>Physalis</span> spp., gojiberry, wolfberry (<span>Lycium barbarum</span> and<span>L. chinense</span>), tree tomato)</p></td><td><p> </p></td><td><p><span>0,3</span></p></td><td><p><span>0,9</span></p></td></tr><tr><td><p>0231020</p></td><td><p>Peppers (Chilli peppers)</p></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,6</span></p></td></tr><tr><td><p>0231030</p></td><td><p>Aubergines (egg plants) (Pepino, antroewa/white eggplant (<span>S. macrocarpon</span>))</p></td><td><p> </p></td><td><p><span>0,3</span></p></td><td><p><span>0,4 (+)</span></p></td></tr><tr><td><p>0231040</p></td><td><p>Okra (lady’s fingers)</p></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0231990</p></td><td><p>Others</p></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0232000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Cucurbits — edible peel</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0232010</p></td><td><p>Cucumbers</p></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,2</span></p></td></tr><tr><td><p>0232020</p></td><td><p>Gherkins</p></td><td><p> </p></td><td><p><span>0,3</span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0232030</p></td><td><p>Courgettes (Summer squash, marrow (patisson), lauki (<span>Lagenaria siceraria</span>), chayote, sopropo/bitter melon, snake gourd, angled luffa/teroi)</p></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p>0,2</p></td></tr><tr><td><p>0232990</p></td><td><p>Others</p></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0233000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Cucurbits-inedible peel</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,3</span></p></td><td><p> </p></td></tr><tr><td><p>0233010</p></td><td><p>Melons (Kiwano)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,2 (+)</span></p></td></tr><tr><td><p>0233020</p></td><td><p>Pumpkins (Winter squash, marrow (late variety))</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,15</span></p></td></tr><tr><td><p>0233030</p></td><td><p>Watermelons</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,15</span></p></td></tr><tr><td><p>0233990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,15</span></p></td></tr><tr><td><p>0234000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Sweet corn (Baby corn)</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p>0,6</p></td></tr><tr><td><p>0239000</p></td><td><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><span>Other fruiting vegetables</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0240000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Brassica vegetables</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0241000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Flowering brassica</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0241010</p></td><td><p>Broccoli (Calabrese, Broccoli raab, Chinese broccoli)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,15</span></p></td></tr><tr><td><p>0241020</p></td><td><p>Cauliflower</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05</span></p></td></tr><tr><td><p>0241990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0242000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Head brassica</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p><span>0,7</span></p></td></tr><tr><td><p>0242010</p></td><td><p>Brussels sprouts</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0242020</p></td><td><p>Head cabbage (Pointed head cabbage, red cabbage, savoy cabbage, white cabbage)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0242990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0243000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Leafy brassica</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0243010</p></td><td><p>Chinese cabbage (Indian or Chinese) mustard, pak choi, Chinese flat cabbage/ai goo choi), choi sum, Peking cabbage/pe-tsai)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0243020</p></td><td><p>Kale (Borecole/curly kale, collards, Portuguese Kale, Portuguese cabbage, cow cabbage)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0243990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0244000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Kohlrabi</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0250000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Leaf vegetables & fresh herbs</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Lettuce and other salad plants including Brassicacea</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p>0,5</p></td></tr><tr><td><p>0251010</p></td><td><p>Lamb’s lettuce (Italian corn salad)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251020</p></td><td><p>Lettuce (Head lettuce, lollo rosso (cutting lettuce), iceberg lettuce, romaine (cos) lettuce)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251030</p></td><td><p>Scarole (broad-leaf endive) (Wild chicory, red-leaved chicory, radicchio, curly leaf endive, sugar loaf (<span>C. endivia</span> var.<span>crispum/C. intybus</span> var.<span>foliosum</span>), dandelion greens)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251040</p></td><td><p>Cress (Mung bean sprouts, alfalfa sprouts)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251050</p></td><td><p>Land cress</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251060</p></td><td><p>Rocket, Rucola (Wild rocket (<span>Diplotaxis</span> spp.))</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251070</p></td><td><p>Red mustard</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251080</p></td><td><p>Leaves and sprouts of<span>Brassica</span> spp, including turnip greens (Mizuna, leaves of peas and radish and other babyleaf crops, including brassica crops (crops harvested up to 8 true leaf stage), kohlrabi leaves)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0251990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0252000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Spinach & similar (leaves)</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0252010</p></td><td><p>Spinach (New Zealand spinach, amaranthus spinach (pak-khom, tampara), tajer leaves, bitterblad/bitawiri)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0252020</p></td><td><p>Purslane (Winter purslane/miner’s lettuce, garden purslane, common purslane, sorrel, glassworth, agretti (<span>Salsola soda</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0252030</p></td><td><p>Beet leaves (chard) (Leaves of beetroot)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0252990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0253000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Vine leaves (grape leaves) (Malabar nightshade, banana leaves, climbing wattle (Acacia pennata))</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0254000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Water cress (Morning glory/Chinese convolvulus/water convolvulus/water spinach/kangkung (Ipomea aquatica), water clover, water mimosa)</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0255000</p></td><td><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><span>Witloof</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,15</span></p></td></tr><tr><td><p>0256000</p></td><td><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><span>Herbs</span></td></tr></tbody></table></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0256010</p></td><td><p>Chervil</p></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0256020</p></td><td><p>Chives</p></td><td><p> </p></td><td><p> </p></td><td><p>2</p></td></tr><tr><td><p>0256030</p></td><td><p>Celery leaves (Fennel leaves, coriander leaves, dill leaves, caraway leaves, lovage, angelica, sweet cisely and other<span>Apiacea</span> leaves, culantro/stinking/long coriander/stink weed (<span>Eryngium foetidum</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0256040</p></td><td><p>Parsley (leaves of root parsley)</p></td><td><p> </p></td><td><p> </p></td><td><p>2</p></td></tr><tr><td><p>0256050</p></td><td><p>Sage (Winter savory, summer savory,<span>Borago officinalis</span> leaves)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0256060</p></td><td><p>Rosemary</p></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0256070</p></td><td><p>Thyme (Marjoram, oregano)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0256080</p></td><td><p>Basil (Balm leaves, mint, peppermint, holy basil, sweet basil, hairy basil, edible flowers (marigold flower and others), pennywort, wild betel leaf, curry leaves)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0256090</p></td><td><p>Bay leaves (laurel) (Lemon grass)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0256100</p></td><td><p>Tarragon (Hyssop)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0256990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0260000</p></td><td><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><span>Legume vegetables (fresh)</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0260010</p></td><td><p>Beans (with pods) (Green bean/French beans/snap beans, scarlet runner bean, slicing bean, yard long beans, guar beans, soya beans)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>2 (+)</span></p></td></tr><tr><td><p>0260020</p></td><td><p>Beans (without pods) (Broad beans, flageolets, jack bean, lima bean, cowpea)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>2 (+)</span></p></td></tr><tr><td><p>0260030</p></td><td><p>Peas (with pods) (Mangetout/sugar peas/snow peas)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>2 (+)</span></p></td></tr><tr><td><p>0260040</p></td><td><p>Peas (without pods) (Garden pea, green pea, chickpea)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0260050</p></td><td><p>Lentils</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0260990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0270000</p></td><td><table><col/><col/><tbody><tr><td><p>(vii)</p></td><td><span>Stem vegetables (fresh)</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0270010</p></td><td><p>Asparagus</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0270020</p></td><td><p>Cardoons (<span>Borago officinalis</span> stems)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0270030</p></td><td><p>Celery</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,5 (+)</span></p></td></tr><tr><td><p>0270040</p></td><td><p>Fennel</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0270050</p></td><td><p>Globe artichokes (Banana flower)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,6</p></td></tr><tr><td><p>0270060</p></td><td><p>Leek</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,6</span></p></td></tr><tr><td><p>0270070</p></td><td><p>Rhubarb</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0270080</p></td><td><p>Bamboo shoots</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0270090</p></td><td><p>Palm hearts</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0270990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0280000</p></td><td><table><col/><col/><tbody><tr><td><p>(viii)</p></td><td><span>Fungi</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0280010</p></td><td><p>Cultivated fungi (Common mushroom, oyster mushroom, shiitake,<span>fungus mycelium</span> (vegetative parts))</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0280020</p></td><td><p>Wild fungi (Chanterelle, truffle, morel, cep)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0280990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0290000</p></td><td><table><col/><col/><tbody><tr><td><p>(ix)</p></td><td><span>Sea weeds</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0300000</p></td><td><table><col/><col/><tbody><tr><td><p>3.</p></td><td><span>PULSES, DRY</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0300010</p></td><td><p>Beans (Broad beans, navy beans, flageolets, jack beans, lima beans, field beans, cowpeas)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,3</p></td></tr><tr><td><p>0300020</p></td><td><p>Lentils</p></td><td><p> </p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>0300030</p></td><td><p>Peas (Chickpeas, field peas, chickling vetch)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>0300040</p></td><td><p>Lupins</p></td><td><p> </p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>0300990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>0400000</p></td><td><table><col/><col/><tbody><tr><td><p>4.</p></td><td><span>OILSEEDS AND OILFRUITS</span></td></tr></tbody></table></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0401000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Oilseeds</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0401010</p></td><td><p>Linseed</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,6</span></p></td></tr><tr><td><p>0401020</p></td><td><p>Peanuts</p></td><td><p> </p></td><td><p> </p></td><td><p>0,15</p></td></tr><tr><td><p>0401030</p></td><td><p>Poppy seed</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05</span></p></td></tr><tr><td><p>0401040</p></td><td><p>Sesame seed</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0401050</p></td><td><p>Sunflower seed</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0401060</p></td><td><p>Rape seed (Bird rapeseed, turnip rape)</p></td><td><p> </p></td><td><p> </p></td><td><p>0,5</p></td></tr><tr><td><p>0401070</p></td><td><p>Soya bean</p></td><td><p> </p></td><td><p> </p></td><td><p>0,15</p></td></tr><tr><td><p>0401080</p></td><td><p>Mustard seed</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,3</span></p></td></tr><tr><td><p>0401090</p></td><td><p>Cotton seed</p></td><td><p> </p></td><td><p> </p></td><td><p>2</p></td></tr><tr><td><p>0401100</p></td><td><p>Pumpkin seeds (Other seeds of<span>Cucurbitaceae</span>)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0401110</p></td><td><p>Safflower</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0401120</p></td><td><p>Borage (Purple viper’s bugloss/Canary flower (<span>Echium plantagineum</span>), Corn Gromwell (<span>Buglossoides arvensis</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0401130</p></td><td><p>Gold of pleasure</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,3</span></p></td></tr><tr><td><p>0401140</p></td><td><p>Hempseed</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0401150</p></td><td><p>Castor bean</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0401990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0402000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Oilfruits</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0402010</p></td><td><p>Olives for oil production</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05</span></p></td></tr><tr><td><p>0402020</p></td><td><p>Palm nuts (palmoil kernels)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0402030</p></td><td><p>Palmfruit</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0402040</p></td><td><p>Kapok</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0402990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0500000</p></td><td><table><col/><col/><tbody><tr><td><p>5.</p></td><td><span>CEREALS</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td></tr><tr><td><p>0500010</p></td><td><p>Barley</p></td><td><p><span>0,6</span></p></td><td><p> </p></td><td><p>2</p></td></tr><tr><td><p>0500020</p></td><td><p>Buckwheat (<span>Amaranthus, quinoa</span>)</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0500030</p></td><td><p>Maize</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0500040</p></td><td><p>Millet (Foxtail millet, teff, finger millet, pearl millet)</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0500050</p></td><td><p>Oats</p></td><td><p><span>0,3</span></p></td><td><p> </p></td><td><p>2</p></td></tr><tr><td><p>0500060</p></td><td><p>Rice (Indian/wild rice (<span>Zizania aquatica</span>))</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>1 (+)</span></p></td></tr><tr><td><p>0500070</p></td><td><p>Rye</p></td><td><p><span>0,1</span></p></td><td><p> </p></td><td><p><span>0,1</span></p></td></tr><tr><td><p>0500080</p></td><td><p>Sorghum</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0500090</p></td><td><p>Wheat (Spelt, triticale)</p></td><td><p><span>0,1</span></p></td><td><p> </p></td><td><p><span>0,1</span></p></td></tr><tr><td><p>0500990</p></td><td><p>Others (Canary grass seeds (<span>Phalaris canariensis</span>))</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0600000</p></td><td><table><col/><col/><tbody><tr><td><p>6.</p></td><td><span>TEA, COFFEE, HERBAL INFUSIONS AND COCOA</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0610000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Tea</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0620000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Coffee beans</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p>0,1</p></td></tr><tr><td><p>0630000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Herbal infusions (dried)</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0631000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Flowers</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631010</p></td><td><p>Camomille flowers</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631020</p></td><td><p>Hybiscus flowers</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631030</p></td><td><p>Rose petals</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631040</p></td><td><p>Jasmine flowers (Elderflowers (<span>Sambucus nigra</span>))</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631050</p></td><td><p>Lime (linden)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0631990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Leaves</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632010</p></td><td><p>Strawberry leaves</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632020</p></td><td><p>Rooibos leaves (Ginkgo leaves)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632030</p></td><td><p>Maté</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0632990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0633000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Roots</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0633010</p></td><td><p>Valerian root</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0633020</p></td><td><p>Ginseng root</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0633990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0639000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Other herbal infusions</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0640000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Cocoabeans (fermented or dried)</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0650000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Carob (st johns bread)</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>0700000</p></td><td><table><col/><col/><tbody><tr><td><p>7.</p></td><td><span>HOPS (dried)</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>40 (+)</span></p></td></tr><tr><td><p>0800000</p></td><td><table><col/><col/><tbody><tr><td><p>8.</p></td><td><span>SPICES</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Seeds</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>1,5 (+)</span></p></td></tr><tr><td><p>0810010</p></td><td><p>Anise</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810020</p></td><td><p>Black caraway</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810030</p></td><td><p>Celery seed (Lovage seed)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810040</p></td><td><p>Coriander seed</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810050</p></td><td><p>Cumin seed</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810060</p></td><td><p>Dill seed</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810070</p></td><td><p>Fennel seed</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810080</p></td><td><p>Fenugreek</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810090</p></td><td><p>Nutmeg</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0810990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0820000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Fruits and berries</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>0820010</p></td><td><p>Allspice</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0820020</p></td><td><p>Sichuan pepper (Anise pepper, Japan pepper)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0820030</p></td><td><p>Caraway</p></td><td><p> </p></td><td><p> </p></td><td><p><span>1,5 (+)</span></p></td></tr><tr><td><p>0820040</p></td><td><p>Cardamom</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0820050</p></td><td><p>Juniper berries</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0820060</p></td><td><p>Pepper, black, green and white (Long pepper, pink pepper)</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0820070</p></td><td><p>Vanilla pods</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0820080</p></td><td><p>Tamarind</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0820990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0830000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Bark</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0830010</p></td><td><p>Cinnamon (Cassia)</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0830990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0840000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Roots or rhizome</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0840010</p></td><td><p>Liquorice</p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0840020</p></td><td><p>Ginger</p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0840030</p></td><td><p>Turmeric (Curcuma)</p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0840040</p></td><td><p>Horseradish</p></td><td><p><span>(+)</span></p></td><td><p><span>(+)</span></p></td><td><p><span>(+)</span></p></td></tr><tr><td><p>0840990</p></td><td><p>Others</p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0850000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Buds</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0850010</p></td><td><p>Cloves</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0850020</p></td><td><p>Capers</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0850990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0860000</p></td><td><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><span>Flower stigma</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0860010</p></td><td><p>Saffron</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0860990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0870000</p></td><td><table><col/><col/><tbody><tr><td><p>(vii)</p></td><td><span>Aril</span></td></tr></tbody></table></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0870010</p></td><td><p>Mace</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0870990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0900000</p></td><td><table><col/><col/><tbody><tr><td><p>9.</p></td><td><span>SUGAR PLANTS</span></td></tr></tbody></table></td><td><p> </p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>0900010</p></td><td><p>Sugar beet (root)</p></td><td><p><span>0,07</span></p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0900020</p></td><td><p>Sugar cane</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0900030</p></td><td><p>Chicory roots</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>0900990</p></td><td><p>Others</p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1000000</p></td><td><table><col/><col/><tbody><tr><td><p>10.</p></td><td><span>PRODUCTS OF ANIMAL ORIGIN-TERRESTRIAL ANIMALS</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1010000</p></td><td><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><span>Tissue</span></td></tr></tbody></table></td><td><p> </p></td><td><p>0,01<a> (<span>4</span>)</a></p></td><td><p> </p></td></tr><tr><td><p>1011000</p></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><span>Swine</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1011010</p></td><td><p>Muscle</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1011020</p></td><td><p>Fat</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1011030</p></td><td><p>Liver</p></td><td><p><span>0,2</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1011040</p></td><td><p>Kidney</p></td><td><p><span>0,05</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1011050</p></td><td><p>Edible offal</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1011990</p></td><td><p>Others</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1012000</p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><span>Bovine</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1012010</p></td><td><p>Muscle</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1012020</p></td><td><p>Fat</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1012030</p></td><td><p>Liver</p></td><td><p><span>0,5</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1012040</p></td><td><p>Kidney</p></td><td><p><span>0,1</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1012050</p></td><td><p>Edible offal</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1012990</p></td><td><p>Others</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1013000</p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><span>Sheep</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1013010</p></td><td><p>Muscle</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1013020</p></td><td><p>Fat</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1013030</p></td><td><p>Liver</p></td><td><p><span>0,5</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1013040</p></td><td><p>Kidney</p></td><td><p><span>0,1</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1013050</p></td><td><p>Edible offal</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1013990</p></td><td><p>Others</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1014000</p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><span>Goat</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1014010</p></td><td><p>Muscle</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1014020</p></td><td><p>Fat</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1014030</p></td><td><p>Liver</p></td><td><p><span>0,5</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1014040</p></td><td><p>Kidney</p></td><td><p><span>0,1</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1014050</p></td><td><p>Edible offal</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1014990</p></td><td><p>Others</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1015000</p></td><td><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><span>Horses, asses, mules or hinnies</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1015010</p></td><td><p>Muscle</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1015020</p></td><td><p>Fat</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1015030</p></td><td><p>Liver</p></td><td><p><span>0,5</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1015040</p></td><td><p>Kidney</p></td><td><p><span>0,1</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1015050</p></td><td><p>Edible offal</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1015990</p></td><td><p>Others</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1016000</p></td><td><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><span>Poultry -chicken, geese, duck, turkey and Guinea fowl-, ostrich, pigeon</span></td></tr></tbody></table></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1016010</p></td><td><p>Muscle</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016020</p></td><td><p>Fat</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016030</p></td><td><p>Liver</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016040</p></td><td><p>Kidney</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016050</p></td><td><p>Edible offal</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1016990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1017000</p></td><td><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><span>Other farm animals (Rabbit, kangaroo, deer)</span></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1017010</p></td><td><p>Muscle</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1017020</p></td><td><p>Fat</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1017030</p></td><td><p>Liver</p></td><td><p><span>0,5</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1017040</p></td><td><p>Kidney</p></td><td><p><span>0,1</span></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1017050</p></td><td><p>Edible offal</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p>0,2</p></td></tr><tr><td><p>1017990</p></td><td><p>Others</p></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p> </p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1020000</p></td><td><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><span>Milk</span></td></tr></tbody></table></td><td><p><span>0,02</span></p></td><td><p>0,01<a> (<span>4</span>)</a></p></td><td><p><span>0,02<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1020010</p></td><td><p>Cattle</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1020020</p></td><td><p>Sheep</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1020030</p></td><td><p>Goat</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1020040</p></td><td><p>Horse</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1020990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030000</p></td><td><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><span>Bird eggs</span></td></tr></tbody></table></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p>0,01<a> (<span>4</span>)</a></p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1030010</p></td><td><p>Chicken</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030020</p></td><td><p>Duck</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030030</p></td><td><p>Goose</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030040</p></td><td><p>Quail</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1030990</p></td><td><p>Others</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1040000</p></td><td><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><span>Honey (Royal jelly, pollen, honey comb with honey (comb honey))</span></td></tr></tbody></table></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td><td><p><span>0,05<a> (<span>4</span>)</a></span></p></td><td><p>0,05<a> (<span>4</span>)</a></p></td></tr><tr><td><p>1050000</p></td><td><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><span>Amphibians and reptiles (Frog legs, crocodiles)</span></td></tr></tbody></table></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1060000</p></td><td><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><span>Snails</span></td></tr></tbody></table></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>1070000</p></td><td><table><col/><col/><tbody><tr><td><p>(vii)</p></td><td><span>Other terrestrial animal products (Wild game)</span></td></tr></tbody></table></td><td><p>0,02<a> (<span>4</span>)</a></p></td><td><p><span>0,01<a> (<span>4</span>)</a></span></p></td><td><p><span>0,1<a> (<span>4</span>)</a></span></p></td></tr><tr><td><p>(R)= The residue definition differs for the following combinations pesticide-code number:</p><p>fenpropidin-code 1000000 except 1040000: sum of fenpropidin, 2-methyl-2-[4-(2-methyl-3- piperidin-1-yl-propyl)-phenyl]propionic acid, and their salts, expressed as fenpropidin</p><p>(S)= The EU Reference Laboratories for Residues of Pesticides identified the reference standard for 2-methyl-2-[4-(2-methyl-3- piperidin-1-yl-propyl)-phenyl]propionic acid as commercially not available. When re-viewing the MRL, the Commission will take into account the commercial availability of the reference standard referred to in the first sentence by 25 January 2015, or, if that reference standard is not commercially available by that date, the unavailability of it.</p><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span></p></td></tr></tbody></table></td></tr></tbody></table><p>(R)= The residue definition differs for the following combinations pesticide-code number:</p><p>tebuconazole-code 1000000 except 1040000: sum of tebuconazole, hydroxy-tebuconazole, and their conjugates, expressed as tebuconazole</p><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on residue trials as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0140020</span></p></td><td><p><span>Cherries (Sweet cherries, sour cherries)</span></p></td></tr><tr><td><p><span>0151020</span></p></td><td><p><span>Wine grapes</span></p></td></tr><tr><td><p><span>0153020</span></p></td><td><p><span>Dewberries (Loganberries, tayberries, boysenberries, cloudberries and other<span>Rubus hybrids</span>)</span></p></td></tr><tr><td><p><span>0153990</span></p></td><td><p><span>Others</span></p></td></tr><tr><td><p><span>0213090</span></p></td><td><p><span>Salsify (Scorzonera, Spanish salsify/Spanish oysterplant, edible burdock)</span></p></td></tr><tr><td><p><span>0231030</span></p></td><td><p><span>Aubergines (egg plants) (Pepino, antroewa/white eggplant (<span>S. macrocarpon</span>))</span></p></td></tr><tr><td><p><span>0233010</span></p></td><td><p><span>Melons (Kiwano)</span></p></td></tr><tr><td><p><span>0260010</span></p></td><td><p><span>Beans (with pods) (Green bean/French beans/snap beans, scarlet runner bean, slicing bean, yard long beans, guar beans, soya beans)</span></p></td></tr><tr><td><p><span>0260020</span></p></td><td><p><span>Beans (without pods) (Broad beans, flageolets, jack bean, lima bean, cowpea)</span></p></td></tr><tr><td><p><span>0260030</span></p></td><td><p><span>Peas (with pods) (Mangetout/sugar peas/snow peas)</span></p></td></tr><tr><td><p><span>0270030</span></p></td><td><p><span>Celery</span></p></td></tr><tr><td><p><span>0500060</span></p></td><td><p><span>Rice (Indian/wild rice (<span>Zizania aquatica</span>))</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on analytical methods as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0700000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>7.</span></p></td><td><span>HOPS (dried)</span></td></tr></tbody></table></td></tr><tr><td><p><span>0810000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>(i)</span></p></td><td><span>Seeds</span></td></tr></tbody></table></td></tr><tr><td><p><span>0810010</span></p></td><td><p><span>Anise</span></p></td></tr><tr><td><p><span>0810020</span></p></td><td><p><span>Black caraway</span></p></td></tr><tr><td><p><span>0810030</span></p></td><td><p><span>Celery seed (Lovage seed)</span></p></td></tr><tr><td><p><span>0810040</span></p></td><td><p><span>Coriander seed</span></p></td></tr><tr><td><p><span>0810050</span></p></td><td><p><span>Cumin seed</span></p></td></tr><tr><td><p><span>0810060</span></p></td><td><p><span>Dill seed</span></p></td></tr><tr><td><p><span>0810070</span></p></td><td><p><span>Fennel seed</span></p></td></tr><tr><td><p><span>0810080</span></p></td><td><p><span>Fenugreek</span></p></td></tr><tr><td><p><span>0810090</span></p></td><td><p><span>Nutmeg</span></p></td></tr><tr><td><p><span>0810990</span></p></td><td><p><span>Others</span></p></td></tr><tr><td><p><span>0820030</span></p></td><td><p><span>Caraway</span></p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span>’</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>in Annex III, the columns for cyromazine, fenpropidin, formetanate, oxamyl and tebuconazole are deleted.</p></td></tr></tbody></table>
( 1 ) For the complete list of products of plant and animal origin to which MRLs apply, reference should be made to Annex I.
( 2 ) Indicates lower limit of analytical determination
Cyromazine
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on residue trials and melamine formation as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0251010</span></p></td><td><p><span>Lamb’s lettuce (Italian corn salad)</span></p></td></tr><tr><td><p><span>0251020</span></p></td><td><p><span>Lettuce (Head lettuce, lollo rosso (cutting lettuce), iceberg lettuce, romaine (cos) lettuce)</span></p></td></tr><tr><td><p><span>0251060</span></p></td><td><p><span>Rocket, Rucola (Wild rocket (<span>Diplotaxis</span> spp.))</span></p></td></tr><tr><td><p><span>0256000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>(f)</span></p></td><td><span>Herbs</span></td></tr></tbody></table></td></tr><tr><td><p><span>0256010</span></p></td><td><p><span>Chervil</span></p></td></tr><tr><td><p><span>0256020</span></p></td><td><p><span>Chives</span></p></td></tr><tr><td><p><span>0256030</span></p></td><td><p><span>Celery leaves (Fennel leaves, coriander leaves, dill leaves, caraway leaves, lovage, angelica, sweet cisely and other<span>Apiacea</span> leaves, culantro/stinking/long coriander/stink weed (<span>Eryngium foetidum</span>))</span></p></td></tr><tr><td><p><span>0256040</span></p></td><td><p><span>Parsley (leaves of root parsley)</span></p></td></tr><tr><td><p><span>0256050</span></p></td><td><p><span>Sage (Winter savory, summer savory,<span>Borago officinalis</span> leaves)</span></p></td></tr><tr><td><p><span>0256060</span></p></td><td><p><span>Rosemary</span></p></td></tr><tr><td><p><span>0256070</span></p></td><td><p><span>Thyme (Marjoram, oregano)</span></p></td></tr><tr><td><p><span>0256080</span></p></td><td><p><span>Basil (Balm leaves, mint, peppermint, holy basil, sweet basil, hairy basil, edible flowers (marigold flower and others), pennywort, wild betel leaf, curry leaves)</span></p></td></tr><tr><td><p><span>0256090</span></p></td><td><p><span>Bay leaves (laurel) (Lemon grass)</span></p></td></tr><tr><td><p><span>0256100</span></p></td><td><p><span>Tarragon (Hyssop)</span></p></td></tr><tr><td><p><span>0256990</span></p></td><td><p><span>Others</span></p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on crop metabolism as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0260010</span></p></td><td><p><span>Beans (with pods) (Green bean/French beans/snap beans, scarlet runner bean, slicing bean, yard long beans, guar beans, soya beans)</span></p></td></tr><tr><td><p><span>0260030</span></p></td><td><p><span>Peas (with pods) (Mangetout/sugar peas/snow peas)</span></p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on residue trials and melamine formation as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0270030</span></p></td><td><p><span>Celery</span></p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span></p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>veterinary medicinal MRL</p><table><col/><col/><tbody><tr><td><p><span>1013000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>(c)</span></p></td><td><span>Sheep</span></td></tr></tbody></table></td></tr><tr><td><p><span>1013010</span></p></td><td><p><span>Muscle</span></p></td></tr><tr><td><p><span>1013020</span></p></td><td><p><span>Fat</span></p></td></tr><tr><td><p><span>1013030</span></p></td><td><p><span>Liver</span></p></td></tr><tr><td><p><span>1013040</span></p></td><td><p><span>Kidney</span></p></td></tr><tr><td><p><span>1013050</span></p></td><td><p><span>Edible offal</span></p></td></tr><tr><td><p><span>1013990</span></p></td><td><p><span>Others</span></p></td></tr></tbody></table></td></tr></tbody></table>
Oxamyl
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on storage stability, crop metabolism and residue trials as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0110020</span></p></td><td><p><span>Oranges (Bergamot, bitter orange, chinotto and other hybrids)</span></p></td></tr><tr><td><p><span>0110050</span></p></td><td><p><span>Mandarins (Clementine, tangerine, mineola and other hybrids tangor (<span>Citrus reticulata</span> x<span>sinensis</span>))</span></p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on crop metabolism as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0163020</span></p></td><td><p><span>Bananas (Dwarf banana, plantain, apple banana)</span></p></td></tr><tr><td><p><span>0231010</span></p></td><td><p><span>Tomatoes (Cherry tomatoes,<span>Physalis</span> spp., gojiberry, wolfberry (<span>Lycium barbarum</span> and<span>L. chinense</span>), tree tomato)</span></p></td></tr><tr><td><p><span>0231030</span></p></td><td><p><span>Aubergines (egg plants) (Pepino, antroewa/white eggplant (<span>S. macrocarpon</span>))</span></p></td></tr><tr><td><p><span>0232000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>(b)</span></p></td><td><span>Cucurbits — edible peel</span></td></tr></tbody></table></td></tr><tr><td><p><span>0232010</span></p></td><td><p><span>Cucumbers</span></p></td></tr><tr><td><p><span>0232020</span></p></td><td><p><span>Gherkins</span></p></td></tr><tr><td><p><span>0232030</span></p></td><td><p><span>Courgettes (Summer squash, marrow (patisson), lauki (<span>Lagenaria siceraria</span>), chayote, sopropo/bitter melon, snake gourd, angled luffa/teroi)</span></p></td></tr><tr><td><p><span>0232990</span></p></td><td><p><span>Others</span></p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span>’</p></td></tr></tbody></table></td></tr></tbody></table>
( 3 ) For the complete list of products of plant and animal origin to which MRLs apply, reference should be made to Annex I.
( 4 ) Indicates lower limit of analytical determination
Fenpropidin (sum of fenpropidin and its salts, expressed as fenpropidin) (R) (S)
(R)= The residue definition differs for the following combinations pesticide-code number:
fenpropidin-code 1000000 except 1040000: sum of fenpropidin, 2-methyl-2-[4-(2-methyl-3- piperidin-1-yl-propyl)-phenyl]propionic acid, and their salts, expressed as fenpropidin
(S)= The EU Reference Laboratories for Residues of Pesticides identified the reference standard for 2-methyl-2-[4-(2-methyl-3- piperidin-1-yl-propyl)-phenyl]propionic acid as commercially not available. When re-viewing the MRL, the Commission will take into account the commercial availability of the reference standard referred to in the first sentence by 25 January 2015, or, if that reference standard is not commercially available by that date, the unavailability of it.
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span></p></td></tr></tbody></table></td></tr></tbody></table>
Formetanate: Sum of formetanate and its salts expressed as formetanate (hydrochloride)
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span></p></td></tr></tbody></table></td></tr></tbody></table>
Tebuconazole (R)
(R)= The residue definition differs for the following combinations pesticide-code number:
tebuconazole-code 1000000 except 1040000: sum of tebuconazole, hydroxy-tebuconazole, and their conjugates, expressed as tebuconazole
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on residue trials as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0140020</span></p></td><td><p><span>Cherries (Sweet cherries, sour cherries)</span></p></td></tr><tr><td><p><span>0151020</span></p></td><td><p><span>Wine grapes</span></p></td></tr><tr><td><p><span>0153020</span></p></td><td><p><span>Dewberries (Loganberries, tayberries, boysenberries, cloudberries and other<span>Rubus hybrids</span>)</span></p></td></tr><tr><td><p><span>0153990</span></p></td><td><p><span>Others</span></p></td></tr><tr><td><p><span>0213090</span></p></td><td><p><span>Salsify (Scorzonera, Spanish salsify/Spanish oysterplant, edible burdock)</span></p></td></tr><tr><td><p><span>0231030</span></p></td><td><p><span>Aubergines (egg plants) (Pepino, antroewa/white eggplant (<span>S. macrocarpon</span>))</span></p></td></tr><tr><td><p><span>0233010</span></p></td><td><p><span>Melons (Kiwano)</span></p></td></tr><tr><td><p><span>0260010</span></p></td><td><p><span>Beans (with pods) (Green bean/French beans/snap beans, scarlet runner bean, slicing bean, yard long beans, guar beans, soya beans)</span></p></td></tr><tr><td><p><span>0260020</span></p></td><td><p><span>Beans (without pods) (Broad beans, flageolets, jack bean, lima bean, cowpea)</span></p></td></tr><tr><td><p><span>0260030</span></p></td><td><p><span>Peas (with pods) (Mangetout/sugar peas/snow peas)</span></p></td></tr><tr><td><p><span>0270030</span></p></td><td><p><span>Celery</span></p></td></tr><tr><td><p><span>0500060</span></p></td><td><p><span>Rice (Indian/wild rice (<span>Zizania aquatica</span>))</span></p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The European Food Safety Authority identified some information on analytical methods as unavailable. When re-viewing the MRL, the Commission will take into account the information referred to in the first sentence, if it is submitted by 25 January 2016, or, if that information is not submitted by that date, the lack of it.</p><table><col/><col/><tbody><tr><td><p><span>0700000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>7.</span></p></td><td><span>HOPS (dried)</span></td></tr></tbody></table></td></tr><tr><td><p><span>0810000</span></p></td><td><table><col/><col/><tbody><tr><td><p><span>(i)</span></p></td><td><span>Seeds</span></td></tr></tbody></table></td></tr><tr><td><p><span>0810010</span></p></td><td><p><span>Anise</span></p></td></tr><tr><td><p><span>0810020</span></p></td><td><p><span>Black caraway</span></p></td></tr><tr><td><p><span>0810030</span></p></td><td><p><span>Celery seed (Lovage seed)</span></p></td></tr><tr><td><p><span>0810040</span></p></td><td><p><span>Coriander seed</span></p></td></tr><tr><td><p><span>0810050</span></p></td><td><p><span>Cumin seed</span></p></td></tr><tr><td><p><span>0810060</span></p></td><td><p><span>Dill seed</span></p></td></tr><tr><td><p><span>0810070</span></p></td><td><p><span>Fennel seed</span></p></td></tr><tr><td><p><span>0810080</span></p></td><td><p><span>Fenugreek</span></p></td></tr><tr><td><p><span>0810090</span></p></td><td><p><span>Nutmeg</span></p></td></tr><tr><td><p><span>0810990</span></p></td><td><p><span>Others</span></p></td></tr><tr><td><p><span>0820030</span></p></td><td><p><span>Caraway</span></p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(+)</p></td><td><p>The applicable maximum residue level for horseradish (<span>Armoracia rusticana</span>) in the spice group (code 0840040) is the one set for horseradish (<span>Armoracia rusticana</span>) in the Vegetables category, root and tuber vegetables group (code 0213040) taking into account changes in the levels by processing (drying) according to Art. 20 (1) of Regulation (EC) No 396/2005.</p><table><col/><col/><tbody><tr><td><p><span>0840040</span></p></td><td><p><span>Horseradish</span>’</p></td></tr></tbody></table></td></tr></tbody></table> | ENG | 32014R0061 |
<table><col/><col/><col/><col/><tbody><tr><td><p>29.4.2022   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 126/4</p></td></tr></tbody></table>
COMMISSION DELEGATED REGULATION (EU) 2022/682
of 25 February 2022
amending Regulation (EU) 2018/196 of the European Parliament and of the Council on additional customs duties on imports of certain products originating in the United States of America
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2018/196 of the European Parliament and of the Council of 7 February 2018 on additional customs duties on imports of certain products originating in the United States of America ( 1 ) , and in particular Article 3(3) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>As a result of the United States’ failure to bring the Continued Dumping and Subsidy Offset Act (‘CDSOA’) in compliance with its obligations under the World Trade Organization (‘WTO’) agreements, pursuant to Regulation (EU) 2018/196 a 4,3 %<span>ad valorem</span> additional customs duty was imposed on imports of certain products originating in the United States. In conformity with the WTO authorisation to suspend the application of concessions to the United States, the Commission is to adjust the level of suspension annually to the level of nullification or impairment caused by the CDSOA to the Union at that time. In 2021, the level of suspension was adjusted to 0,1 % ad valorem additional customs duty and Regulation (EU) 2018/196 was amended accordingly <a>(<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The CDSOA disbursements for the most recent year for which data are available relate to the distribution of anti-dumping and countervailing duties collected during the Fiscal Year 2020 (1 October 2020 – 30 September 2021). On the basis of the data published by the United States’ Customs and Border Protection, the level of nullification or impairment caused to the Union is calculated at USD 3 095,94.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The level of nullification or impairment and consequently of suspension has decreased. However, the level of suspension cannot be adjusted to the level of nullification or impairment by adding or removing products from the list in Annex I to Regulation (EU) 2018/196. As a consequence, in accordance with Article 3(1)(e) of that Regulation, the Commission should keep the list of products in Annex I unchanged and amend the rate of the additional duty in order to adjust the level of suspension to the level of nullification or impairment. The four products listed in Annex I should therefore be maintained on the list and the rate of additional import duty should be amended and set at 0,001 %.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The effect of a 0,001 %<span>ad valorem</span> additional import duty on imports from the United States of the products in Annex I represents, over one year, a value of trade that does not exceed USD 3 095,94.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>To make sure that there are no delays in the application of the amended rate of additional import duty, this Regulation should enter into force on the day of its publication.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Regulation (EU) 2018/196 should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Article 2 of Regulation (EU) 2018/196 is replaced by the following:
‘Article 2
An ad valorem duty of 0,001 % additional to the customs duty applicable under Regulation (EU) No 952/2013 of the European Parliament and of the Council ( *1 ) shall be imposed on the products originating in the United States listed in Annex I to this Regulation.
Article 2
This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union .
It shall apply from 1 May 2022.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 25 February 2022.
For the Commission
The President
Ursula VON DER LEYEN
( 1 ) OJ L 44, 16.2.2018, p. 1 .
( 2 ) Commission Delegated Regulation (EU) 2021/704 of 26 February 2021 amending Regulation (EU) 2018/196 of the European Parliament and of the Council on additional customs duties on imports of certain products originating in the United States of America ( OJ L 146, 29.4.2021, p. 70 ).
ANNEX
‘ANNEX I
The products on which additional import duties are to apply are identified by their eight-digit CN codes. The description of products classified under these codes can be found in Annex I to Council Regulation (EEC) No 2658/87 ( 1 ) .
<table><col/><col/><tbody><tr><td><p>0710 40 00</p></td><td><p> </p></td></tr><tr><td><p>Ex90031900</p></td><td><p>‘frames and mountings of base metal’</p></td></tr><tr><td><p>8705 10 00</p></td><td><p> </p></td></tr><tr><td><p>6204 62 31</p></td><td><p> </p></td></tr></tbody></table>
’ ( 1 ) Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff ( OJ L 256, 7.9.1987, p. 1 ). | ENG | 32022R0682 |
<table><col/><col/><col/><col/><tbody><tr><td><p>5.6.2015   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 139/1</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2015/864
of 4 June 2015
amending Regulation (EC) No 340/2008 on the fees and charges payable to the European Chemicals Agency pursuant to Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH)
(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 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC ( 1 ) , and in particular Article 74(1) and Article 132 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>According to Article 22(1) of Commission Regulation (EC) No 340/2008<a> (<span>2</span>)</a>, the fees and charges provided for in that Regulation shall be reviewed annually by reference to the inflation rate as measured by means of the European Index of Consumer Prices as published by Eurostat pursuant to Council Regulation (EC) No 2494/95<a> (<span>3</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>In consequence of this annual review, conducted in 2014, those fees should be adjusted in accordance with the applicable average annual inflation rate, as published by Eurostat, of 1,5 % for the year 2013.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The adjustment of fees and charges is fixed at such a level that the revenue derived from those fees and charges, when combined with other sources of the Agency's revenue pursuant to Article 96(1) of Regulation (EC) No 1907/2006, is sufficient to cover the cost of the services delivered.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The Management Board of the Agency should, within the powers conferred to it by Regulation (EC) No 1907/2006, continue monitoring the efforts pursued by the Agency for efficiency gains to achieve the best relationship between resources employed and results achieved. The Commission should have regard to the opinion of the Management Board when next reviewing the Agency's fees and charges according to Article 22(1) of Commission Regulation (EC) No 340/2008.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Regulation (EC) No 340/2008 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>For reasons of legal certainty, this Regulation should not apply to valid submissions that are pending on the date of entry into force of this Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Committee established under Article 133 of Regulation (EC) No 1907/2006,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Annexes I to VIII to Regulation (EC) No 340/2008 are replaced by the text set out in the Annex to this Regulation.
Article 2
This Regulation shall not apply to valid submissions pending on the date of entry into force of this Regulation.
Article 3
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, 4 June 2015.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 396, 30.12.2006, p. 1 .
( 2 ) Commission Regulation (EC) No 340/2008 of 16 April 2008 on the fees and charges payable to the European Chemicals Agency pursuant to Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH) ( OJ L 107, 17.4.2008, p. 6 ).
( 3 ) Council Regulation (EC) No 2494/95 of 23 October 1995 concerning harmonized indices of consumer prices ( OJ L 257, 27.10.1995, p. 1 ).
ANNEX
‘ ANNEX I
Fees for registrations submitted under Article 6, 7 or 11 of Regulation (EC) No 1907/2006
Table 1
Standard fees
<table><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Individual submission</p></td><td><p>Joint submission</p></td></tr><tr><td><p>Fee for substances in the range of 1 to 10 tonnes</p></td><td><p>EUR 1 739</p></td><td><p>EUR 1 304</p></td></tr><tr><td><p>Fee for substances in the range 10 to 100 tonnes</p></td><td><p>EUR 4 674</p></td><td><p>EUR 3 506</p></td></tr><tr><td><p>Fee for substances in the range 100 to 1 000 tonnes</p></td><td><p>EUR 12 501</p></td><td><p>EUR 9 376</p></td></tr><tr><td><p>Fee for substances above 1 000 tonnes</p></td><td><p>EUR 33 699</p></td><td><p>EUR 25 274</p></td></tr></tbody></table>
Table 2
Reduced fees for SMEs
<table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Medium enterprise</p><p>(Individual submission)</p></td><td><p>Medium enterprise</p><p>(Joint submission)</p></td><td><p>Small enterprise</p><p>(Individual submission)</p></td><td><p>Small enterprise</p><p>(Joint submission)</p></td><td><p>Micro enterprise</p><p>(Individual submission)</p></td><td><p>Micro enterprise</p><p>(Joint submission)</p></td></tr><tr><td><p>Fee for substances in the range of 1 to 10 tonnes</p></td><td><p>EUR 1 131</p></td><td><p>EUR 848</p></td><td><p>EUR 609</p></td><td><p>EUR 457</p></td><td><p>EUR 87</p></td><td><p>EUR 65</p></td></tr><tr><td><p>Fee for substances in the range 10 to 100 tonnes</p></td><td><p>EUR 3 038</p></td><td><p>EUR 2 279</p></td><td><p>EUR 1 636</p></td><td><p>EUR 1 227</p></td><td><p>EUR 234</p></td><td><p>EUR 175</p></td></tr><tr><td><p>Fee for substances in the range 100 to 1 000 tonnes</p></td><td><p>EUR 8 126</p></td><td><p>EUR 6 094</p></td><td><p>EUR 4 375</p></td><td><p>EUR 3 282</p></td><td><p>EUR 625</p></td><td><p>EUR 469</p></td></tr><tr><td><p>Fee for substances above 1 000 tonnes</p></td><td><p>EUR 21 904</p></td><td><p>EUR 16 428</p></td><td><p>EUR 11 795</p></td><td><p>EUR 8 846</p></td><td><p>EUR 1 685</p></td><td><p>EUR 1 264</p></td></tr></tbody></table>
ANNEX II
Fees for registrations submitted under Article 17(2), Article 18(2) and (3) or Article 19 of Regulation (EC) No 1907/2006
Table 1
Standard fees
<table><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Individual submission</p></td><td><p>Joint submission</p></td></tr><tr><td><p>Fee</p></td><td><p>EUR 1 739</p></td><td><p>EUR 1 304</p></td></tr></tbody></table>
Table 2
Reduced fees for SMEs
<table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Medium enterprise</p><p>(Individual submission)</p></td><td><p>Medium enterprise</p><p>(Joint submission)</p></td><td><p>Small enterprise</p><p>(Individual submission)</p></td><td><p>Small enterprise</p><p>(Joint submission)</p></td><td><p>Micro enterprise</p><p>(Individual submission)</p></td><td><p>Micro enterprise</p><p>(Joint submission)</p></td></tr><tr><td><p>Fee</p></td><td><p>EUR 1 131</p></td><td><p>EUR 848</p></td><td><p>EUR 609</p></td><td><p>EUR 457</p></td><td><p>EUR 87</p></td><td><p>EUR 65</p></td></tr></tbody></table>
ANNEX III
Fees for the update of registrations under Article 22 of Regulation (EC) No 1907/2006
Table 1
Standard fees for the update of the tonnage range
<table><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Individual submission</p></td><td><p>Joint submission</p></td></tr><tr><td><p>From 1-10 tonnes range to 10-100 tonnes range</p></td><td><p>EUR 2 935</p></td><td><p>EUR 2 201</p></td></tr><tr><td><p>From 1-10 tonnes range to 100-1 000 tonnes range</p></td><td><p>EUR 10 762</p></td><td><p>EUR 8 071</p></td></tr><tr><td><p>From 1-10 tonnes range to over 1 000 tonnes range</p></td><td><p>EUR 31 960</p></td><td><p>EUR 23 970</p></td></tr><tr><td><p>From 10-100 tonnes range to 100-1 000 tonnes range</p></td><td><p>EUR 7 827</p></td><td><p>EUR 5 870</p></td></tr><tr><td><p>From 10-100 tonnes range to over 1 000 tonnes range</p></td><td><p>EUR 29 025</p></td><td><p>EUR 21 768</p></td></tr><tr><td><p>From 100-1 000 tonnes range to over 1 000 tonnes range</p></td><td><p>EUR 21 198</p></td><td><p>EUR 15 898</p></td></tr></tbody></table>
Table 2
Reduced fees for SMEs for the update of the tonnage range
<table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Medium enterprise</p><p>(Individual submission)</p></td><td><p>Medium enterprise</p><p>(Joint submission)</p></td><td><p>Small enterprise</p><p>(Individual submission)</p></td><td><p>Small enterprise</p><p>(Joint submission)</p></td><td><p>Micro enterprise</p><p>(Individual submission)</p></td><td><p>Micro enterprise</p><p>(Joint submission)</p></td></tr><tr><td><p>From 1-10 tonnes range to 10-100 tonnes range</p></td><td><p>EUR 1 908</p></td><td><p>EUR 1 431</p></td><td><p>EUR 1 027</p></td><td><p>EUR 770</p></td><td><p>EUR 147</p></td><td><p>EUR 110</p></td></tr><tr><td><p>From 1-10 tonnes range to 100-1 000 tonnes range</p></td><td><p>EUR 6 995</p></td><td><p>EUR 5 246</p></td><td><p>EUR 3 767</p></td><td><p>EUR 2 825</p></td><td><p>EUR 538</p></td><td><p>EUR 404</p></td></tr><tr><td><p>From 1-10 tonnes range to over 1 000 tonnes range</p></td><td><p>EUR 20 774</p></td><td><p>EUR 15 580</p></td><td><p>EUR 11 186</p></td><td><p>EUR 8 389</p></td><td><p>EUR 1 598</p></td><td><p>EUR 1 198</p></td></tr><tr><td><p>From 10-100 tonnes range to 100-1 000 tonnes range</p></td><td><p>EUR 5 087</p></td><td><p>EUR 3 816</p></td><td><p>EUR 2 739</p></td><td><p>EUR 2 055</p></td><td><p>EUR 391</p></td><td><p>EUR 294</p></td></tr><tr><td><p>From 10-100 tonnes range to over 1 000 tonnes range</p></td><td><p>EUR 18 866</p></td><td><p>EUR 14 150</p></td><td><p>EUR 10 159</p></td><td><p>EUR 7 619</p></td><td><p>EUR 1 451</p></td><td><p>EUR 1 088</p></td></tr><tr><td><p>From 100-1 000 tonnes range to over 1 000 tonnes range</p></td><td><p>EUR 13 779</p></td><td><p>EUR 10 334</p></td><td><p>EUR 7 419</p></td><td><p>EUR 5 564</p></td><td><p>EUR 1 060</p></td><td><p>EUR 795</p></td></tr></tbody></table>
Table 3
Fees for other updates
<table><col/><col/><col/><col/><tbody><tr><td><p>Type of update</p></td></tr><tr><td><p>Change in identity of the registrant involving a change in legal personality</p></td><td><p>EUR 1 631</p></td></tr><tr><td><p>Type of update</p></td><td><p>Individual submission</p></td><td><p>Joint submission</p></td></tr><tr><td><p>Change in the access granted to information in the submission:</p></td><td><p>Degree of purity and/or identity of impurities or additives</p></td><td><p>EUR 4 892</p></td><td><p>EUR 3 669</p></td></tr><tr><td><p>Relevant tonnage band</p></td><td><p>EUR 1 631</p></td><td><p>EUR 1 223</p></td></tr><tr><td><p>A study summary or a robust study summary</p></td><td><p>EUR 4 892</p></td><td><p>EUR 3 669</p></td></tr><tr><td><p>Information in the safety data sheet</p></td><td><p>EUR 3 261</p></td><td><p>EUR 2 446</p></td></tr><tr><td><p>Trade name of the substance</p></td><td><p>EUR 1 631</p></td><td><p>EUR 1 223</p></td></tr><tr><td><p>IUPAC name for non-phase-in substances referred to in Article 119(1)(a) of Regulation (EC) No 1907/2006</p></td><td><p>EUR 1 631</p></td><td><p>EUR 1 223</p></td></tr><tr><td><p>IUPAC name for substances referred to in Article 119(1)(a) of Regulation (EC) No 1907/2006 used as intermediates, in scientific research and development or in product and process orientated research and development</p></td><td><p>EUR 1 631</p></td><td><p>EUR 1 223</p></td></tr></tbody></table>
Table 4
Reduced fees for SMEs for other updates
<table><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Type of update</p></td><td><p>Medium enterprise</p></td><td><p>Small enterprise</p></td><td><p>Micro enterprise</p></td></tr><tr><td><p>Change in identity of the registrant involving a change in legal personality</p></td><td><p>EUR 1 060</p></td><td><p>EUR 571</p></td><td><p>EUR 82</p></td></tr><tr><td><p>Type of update</p></td><td><p>Medium enterprise</p><p>(Individual submission)</p></td><td><p>Medium enterprise</p><p>(Joint submission)</p></td><td><p>Small enterprise</p><p>(Individual submission)</p></td><td><p>Small enterprise</p><p>(Joint submission)</p></td><td><p>Micro enterprise</p><p>(Individual submission)</p></td><td><p>Micro enterprise</p><p>(Joint submission)</p></td></tr><tr><td><p>Change in the access granted to information in the submission:</p></td><td><p>Degree of purity and/or identity of impurities or additives</p></td><td><p>EUR 3 180</p></td><td><p>EUR 2 385</p></td><td><p>EUR 1 712</p></td><td><p>EUR 1 284</p></td><td><p>EUR 245</p></td><td><p>EUR 183</p></td></tr><tr><td><p>Relevant tonnage band</p></td><td><p>EUR 1 060</p></td><td><p>EUR 795</p></td><td><p>EUR 571</p></td><td><p>EUR 428</p></td><td><p>EUR 82</p></td><td><p>EUR 61</p></td></tr><tr><td><p>A study summary or a robust study summary</p></td><td><p>EUR 3 180</p></td><td><p>EUR 2 385</p></td><td><p>EUR 1 712</p></td><td><p>EUR 1 284</p></td><td><p>EUR 245</p></td><td><p>EUR 183</p></td></tr><tr><td><p>Information in the safety data sheet</p></td><td><p>EUR 2 120</p></td><td><p>EUR 1 590</p></td><td><p>EUR 1 141</p></td><td><p>EUR 856</p></td><td><p>EUR 163</p></td><td><p>EUR 122</p></td></tr><tr><td><p>Trade name of the substance</p></td><td><p>EUR 1 060</p></td><td><p>EUR 795</p></td><td><p>EUR 571</p></td><td><p>EUR 428</p></td><td><p>EUR 82</p></td><td><p>EUR 61</p></td></tr><tr><td><p>IUPAC name for non-phase-in substances referred to in Article 119(1)(a) of Regulation (EC) No 1907/2006</p></td><td><p>EUR 1 060</p></td><td><p>EUR 795</p></td><td><p>EUR 571</p></td><td><p>EUR 428</p></td><td><p>EUR 82</p></td><td><p>EUR 61</p></td></tr><tr><td><p>IUPAC name for substances referred to in Article 119(1)(a) of Regulation (EC) No 1907/2006 used as intermediates, in scientific research and development or in product and process orientated research and development</p></td><td><p>EUR 1 060</p></td><td><p>EUR 795</p></td><td><p>EUR 571</p></td><td><p>EUR 428</p></td><td><p>EUR 82</p></td><td><p>EUR 61</p></td></tr></tbody></table>
ANNEX IV
Fees for requests under point (xi) of Article 10(a) of Regulation (EC) No 1907/2006
Table 1
Standard fees
<table><col/><col/><col/><tbody><tr><td><p>Item for which confidentiality is requested</p></td><td><p>Individual submission</p></td><td><p>Joint submission</p></td></tr><tr><td><p>Degree of purity and/or identity of impurities or additives</p></td><td><p>EUR 4 892</p></td><td><p>EUR 3 669</p></td></tr><tr><td><p>Relevant tonnage band</p></td><td><p>EUR 1 631</p></td><td><p>EUR 1 223</p></td></tr><tr><td><p>A study summary or a robust study summary</p></td><td><p>EUR 4 892</p></td><td><p>EUR 3 669</p></td></tr><tr><td><p>Information in the safety data sheet</p></td><td><p>EUR 3 261</p></td><td><p>EUR 2 446</p></td></tr><tr><td><p>Trade name of the substance</p></td><td><p>EUR 1 631</p></td><td><p>EUR 1 223</p></td></tr><tr><td><p>IUPAC name for non-phase-in substances referred to in Article 119(1)(a) of Regulation (EC) No 1907/2006</p></td><td><p>EUR 1 631</p></td><td><p>EUR 1 223</p></td></tr><tr><td><p>IUPAC name for substances referred to in Article 119(1)(a) of Regulation (EC) No 1907/2006 used as intermediates, in scientific research and development or in product and process orientated research and development</p></td><td><p>EUR 1 631</p></td><td><p>EUR 1 223</p></td></tr></tbody></table>
Table 2
Reduced fees for SMEs
<table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Item for which confidentiality is requested</p></td><td><p>Medium enterprise</p><p>(Individual submission)</p></td><td><p>Medium enterprise</p><p>(Joint submission)</p></td><td><p>Small enterprise</p><p>(Individual submission)</p></td><td><p>Small enterprise</p><p>(Joint submission)</p></td><td><p>Micro enterprise</p><p>(Individual submission)</p></td><td><p>Micro enterprise</p><p>(Joint submission)</p></td></tr><tr><td><p>Degree of purity and/or identity of impurities or additives</p></td><td><p>EUR 3 180</p></td><td><p>EUR 2 385</p></td><td><p>EUR 1 712</p></td><td><p>EUR 1 284</p></td><td><p>EUR 245</p></td><td><p>EUR 183</p></td></tr><tr><td><p>Relevant tonnage band</p></td><td><p>EUR 1 060</p></td><td><p>EUR 795</p></td><td><p>EUR 571</p></td><td><p>EUR 428</p></td><td><p>EUR 82</p></td><td><p>EUR 61</p></td></tr><tr><td><p>A study summary or a robust study summary</p></td><td><p>EUR 3 180</p></td><td><p>EUR 2 385</p></td><td><p>EUR 1 712</p></td><td><p>EUR 1 284</p></td><td><p>EUR 245</p></td><td><p>EUR 183</p></td></tr><tr><td><p>Information in the safety data sheet</p></td><td><p>EUR 2 120</p></td><td><p>EUR 1 590</p></td><td><p>EUR 1 141</p></td><td><p>EUR 856</p></td><td><p>EUR 163</p></td><td><p>EUR 122</p></td></tr><tr><td><p>Trade name of the substance</p></td><td><p>EUR 1 060</p></td><td><p>EUR 795</p></td><td><p>EUR 571</p></td><td><p>EUR 428</p></td><td><p>EUR 82</p></td><td><p>EUR 61</p></td></tr><tr><td><p>IUPAC name for non-phase-in substances referred to in Article 119(1)(a) of Regulation (EC) No 1907/2006</p></td><td><p>EUR 1 060</p></td><td><p>EUR 795</p></td><td><p>EUR 571</p></td><td><p>EUR 428</p></td><td><p>EUR 82</p></td><td><p>EUR 61</p></td></tr><tr><td><p>IUPAC name for substances referred to in Article 119(1)(a) of Regulation (EC) No 1907/2006 used as intermediates, in scientific research and development or in product and process orientated research and development</p></td><td><p>EUR 1 060</p></td><td><p>EUR 795</p></td><td><p>EUR 571</p></td><td><p>EUR 428</p></td><td><p>EUR 82</p></td><td><p>EUR 61</p></td></tr></tbody></table>
ANNEX V
Fees and charges for PPORD notifications under Article 9 of Regulation (EC) No 1907/2006
Table 1
Fees for PPORD Notifications
<table><col/><col/><tbody><tr><td><p>Standard fee</p></td><td><p>EUR 544</p></td></tr><tr><td><p>Reduced fee for medium enterprise</p></td><td><p>EUR 353</p></td></tr><tr><td><p>Reduced fee for small enterprise</p></td><td><p>EUR 190</p></td></tr><tr><td><p>Reduced fee for micro enterprise</p></td><td><p>EUR 27</p></td></tr></tbody></table>
Table 2
Charges for the extension of a PPORD exemption
<table><col/><col/><tbody><tr><td><p>Standard charge</p></td><td><p>EUR 1 087</p></td></tr><tr><td><p>Reduced charge for medium enterprise</p></td><td><p>EUR 707</p></td></tr><tr><td><p>Reduced charge for small enterprise</p></td><td><p>EUR 380</p></td></tr><tr><td><p>Reduced charge for micro enterprise</p></td><td><p>EUR 54</p></td></tr></tbody></table>
ANNEX VI
Fees for applications for an authorisation under Article 62 of Regulation (EC) No 1907/2006
Table 1
Standard fees
<table><col/><col/><tbody><tr><td><p>Base fee</p></td><td><p>EUR 54 100</p></td></tr><tr><td><p>Additional fee per substance</p></td><td><p>EUR 10 820</p></td></tr><tr><td><p>Additional fee per use</p></td><td><p>EUR 10 820</p></td></tr><tr><td><p>Additional fee per applicant</p></td><td><p>Additional applicant is not an SME: EUR 40 575</p></td></tr><tr><td><p>Additional applicant is a medium enterprise: EUR 30 431</p></td></tr><tr><td><p>Additional applicant is a small enterprise: EUR 18 259</p></td></tr><tr><td><p>Additional applicant is a micro enterprise: EUR 4 058</p></td></tr></tbody></table>
Table 2
Reduced fees for medium enterprises
<table><col/><col/><tbody><tr><td><p>Base fee</p></td><td><p>EUR 40 575</p></td></tr><tr><td><p>Additional fee per substance</p></td><td><p>EUR 8 115</p></td></tr><tr><td><p>Additional fee per use</p></td><td><p>EUR 8 115</p></td></tr><tr><td><p>Additional fee per applicant</p></td><td><p>Additional applicant is a medium enterprise: EUR 30 431</p></td></tr><tr><td><p>Additional applicant is a small enterprise: EUR 18 259</p></td></tr><tr><td><p>Additional applicant is a micro enterprise: EUR 4 058</p></td></tr></tbody></table>
Table 3
Reduced fees for small enterprises
<table><col/><col/><tbody><tr><td><p>Base fee</p></td><td><p>EUR 24 345</p></td></tr><tr><td><p>Additional fee per substance</p></td><td><p>EUR 4 869</p></td></tr><tr><td><p>Additional fee per use</p></td><td><p>EUR 4 869</p></td></tr><tr><td><p>Additional fee per applicant</p></td><td><p>Additional applicant is a small enterprise: EUR 18 259</p></td></tr><tr><td><p>Additional applicant is a micro enterprise: EUR 4 058</p></td></tr></tbody></table>
Table 4
Reduced fees for micro enterprises
<table><col/><col/><tbody><tr><td><p>Base fee</p></td><td><p>EUR 5 410</p></td></tr><tr><td><p>Additional fee per substance</p></td><td><p>EUR 1 082</p></td></tr><tr><td><p>Additional fee per use</p></td><td><p>EUR 1 082</p></td></tr><tr><td><p>Additional fee per applicant</p></td><td><p>Additional applicant: EUR 4 057</p></td></tr></tbody></table>
ANNEX VII
Charges for the review of an authorisation under Article 61 of Regulation (EC) No 1907/2006
Table 1
Standard charges
<table><col/><col/><tbody><tr><td><p>Base charge</p></td><td><p>EUR 54 100</p></td></tr><tr><td><p>Additional charge per use</p></td><td><p>EUR 10 820</p></td></tr><tr><td><p>Additional charge per substance</p></td><td><p>EUR 10 820</p></td></tr><tr><td><p>Additional charge per applicant</p></td><td><p>Additional applicant is not an SME: EUR 40 575</p></td></tr><tr><td><p>Additional applicant is a medium enterprise: EUR 30 431</p></td></tr><tr><td><p>Additional applicant is a small enterprise: EUR 18 259</p></td></tr><tr><td><p>Additional applicant is a micro enterprise: EUR 4 058</p></td></tr></tbody></table>
Table 2
Reduced charges for medium enterprises
<table><col/><col/><tbody><tr><td><p>Base charge</p></td><td><p>EUR 40 575</p></td></tr><tr><td><p>Additional charge per use</p></td><td><p>EUR 8 115</p></td></tr><tr><td><p>Additional charge per substance</p></td><td><p>EUR 8 115</p></td></tr><tr><td><p>Additional charge per applicant</p></td><td><p>Additional applicant is a medium enterprise: EUR 30 431</p></td></tr><tr><td><p>Additional applicant is a small enterprise: EUR 18 259</p></td></tr><tr><td><p>Additional applicant is a micro enterprise: EUR 4 058</p></td></tr></tbody></table>
Table 3
Reduced charges for small enterprises
<table><col/><col/><tbody><tr><td><p>Base charge</p></td><td><p>EUR 24 345</p></td></tr><tr><td><p>Additional charge per use</p></td><td><p>EUR 4 869</p></td></tr><tr><td><p>Additional charge per substance</p></td><td><p>EUR 4 869</p></td></tr><tr><td><p>Additional charge per applicant</p></td><td><p>Additional applicant is a small enterprise: EUR 18 259</p></td></tr><tr><td><p>Additional applicant is a micro enterprise: EUR 4 058</p></td></tr></tbody></table>
Table 4
Reduced charges for micro enterprises
<table><col/><col/><tbody><tr><td><p>Base charge</p></td><td><p>EUR 5 410</p></td></tr><tr><td><p>Additional charge per use</p></td><td><p>EUR 1 082</p></td></tr><tr><td><p>Additional charge per substance</p></td><td><p>EUR 1 082</p></td></tr><tr><td><p>Additional charge per applicant</p></td><td><p>Additional applicant is a micro enterprise: EUR 4 058</p></td></tr></tbody></table>
ANNEX VIII
Fees for appeals under Article 92 of Regulation (EC) NO 1907/2006
Table 1
Standard fees
<table><col/><col/><tbody><tr><td><p>Appeal against decision taken under:</p></td><td><p>Fee</p></td></tr><tr><td><p>Article 9 or 20 of Regulation (EC) No 1907/2006</p></td><td><p>EUR 2 392</p></td></tr><tr><td><p>Article 27 or 30 of Regulation (EC) No 1907/2006</p></td><td><p>EUR 4 783</p></td></tr><tr><td><p>Article 51 of Regulation (EC) No 1907/2006</p></td><td><p>EUR 7 175</p></td></tr></tbody></table>
Table 2
Reduced fees for SMEs
<table><col/><col/><tbody><tr><td><p>Appeal against decision taken under:</p></td><td><p>Fee</p></td></tr><tr><td><p>Article 9 or 20 of Regulation (EC) No 1907/2006</p></td><td><p>EUR 1 794</p></td></tr><tr><td><p>Article 27 or 30 of Regulation (EC) No 1907/2006</p></td><td><p>EUR 3 587</p></td></tr><tr><td><p>Article 51 of Regulation (EC) No 1907/2006</p></td><td><p>EUR 5 381'</p></td></tr></tbody></table>
’ | ENG | 32015R0864 |
<table><col/><col/><col/><col/><tbody><tr><td><p>20.10.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 386/9</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING DECISION
of 19 October 2016
on the publication in the Official Journal of the European Union of the single document referred to in Article 94(1)(d) of Regulation (EU) No 1308/2013 of the European Parliament and of the Council and of the publication reference of the specification for a name in the wine sector
(Terrasses du Larzac (PDO))
(2016/C 386/07)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 ( 1 ) , and in particular Article 97(3) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>France has applied for protection of the name ‘Terrasses du Larzac’ in accordance with the provisions of Regulation (EU) No 1308/2013 on the protection of designations of origin and geographical indications in the wine sector. In accordance with Article 97(2) of that Regulation, France’s application has been examined by the Commission.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The conditions laid down in Articles 93 to 96, Article 97(1), and Articles 100 to 102 of Regulation (EU) No 1308/2013 have been met.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>In order to allow for the submission of statements of objection in accordance with Article 98 of Regulation (EU) No 1308/2013, the single document referred to in Article 94(1)(d) of that Regulation and the publication reference of the specification made during the national procedure for examining the application for protection of the name ‘Terrasses du Larzac’ should therefore be published in the<span>Official Journal of the European Union</span>,</p></td></tr></tbody></table>
HAS DECIDED AS FOLLOWS:
Sole Article
The single document referred to in Article 94(1)(d) of Regulation (EU) No 1308/2013 and the publication reference of the specification for the name ‘Terrasses du Larzac’ (PDO) are set out in the Annex to this Decision.
In accordance with Article 98 of Regulation (EU) No 1308/2013, the publication of this decision confers the right to object to the protection of the name specified in the first paragraph of this Article within two months from the date of its publication.
Done at Brussels, 19 October 2016.
For the Commission
Phil HOGAN
Member of the Commission
( 1 ) OJ L 347, 20.12.2013, p. 671 .
ANNEX
SINGLE DOCUMENT
1. Name(s) to be registered
Terrasses du Larzac
2. Type of geographical indication
PDO — Protected Designation of Origin
3. Categories of grapevine products
<table><col/><col/><col/><tbody><tr><td/><td><p>1.</p></td><td><p>Wine</p></td></tr></tbody></table>
4. Description of the wine(s)
These are still, dry red wines, purple or garnet in colour, with occasional black reflections. Wines ready to be marketed in bulk or bottled have a fermentable sugar content that does not exceed 3 g/l. The wines have a fine and complex nose: aromas of red fruit (cherry, raspberry, etc.), black fruit (blackberry, blackcurrant) and spices (pepper, clove, etc.) dominate and are complemented by liquorice, black olive and violet aromas as well as roasted notes and perfumes from the garrigue , a type of scrubland (cade, thyme, laurel, etc.). There are also notes of leather, hay or tobacco. In the mouth, the wines are rich with a good tannic structure, while remaining elegant. There are notes of ripe fruit and spices.
General analytical characteristics
<table><col/><col/><tbody><tr><td><p>Maximum total alcoholic strength (in % volume)</p></td><td><p> </p></td></tr><tr><td><p>Minimum actual alcoholic strength (in % volume)</p></td><td><p>12</p></td></tr><tr><td><p>Minimum total acidity</p></td><td><p>in milliequivalents per litre</p></td></tr><tr><td><p>Maximum volatile acidity (in milliequivalents per litre)</p></td><td><p> </p></td></tr><tr><td><p>Maximum total sulphur dioxide (in milligrams per litre)</p></td><td><p> </p></td></tr></tbody></table>
5. Wine-making practices
a. Essential oenological practices
Oenological practice:
Any heat treatment of the wine harvest where the temperature rises above 40 °C is prohibited.
The use of wood chips is forbidden.
In addition to the provisions above, the oenological practices used must comply with all the requirements laid down at EU level and in the Rural and Maritime Fisheries Code.
Training of the vines:
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the minimum planting density of the vines is 4 400 plants per hectare,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the distance between the rows of vines must not exceed 2,25 m,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the area available for each plant must not exceed 2,25 m<span>2</span>. This area is obtained by multiplying the distances between rows and the space between plants in the same row,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>irrigation may be authorised</p></td></tr></tbody></table>
b. Maximum yields
45 hectolitres per hectare
6. Demarcated area
The grapes are harvested and the wines made, developed and aged on the territory of the following municipalities of the department of Hérault: Aniane, Arboras, Argelliers, Le Bosc, Brissac, Causse-de-la-Selle, Ceyras, Gignac, Jonquières, Lagamas, Lauroux, Mérifons, Montoulieu, Montpeyroux, Moulès-et-Baucels, Murles, Octon, Pégairolles-de-Buègues, Pégairolles-de-l'Escalette, Poujols, Puéchabon, Saint-André-de-Buègues, Saint-André-de-Sangonis, Saint-Félix-de-Lodez, Saint-Guiraud, Saint-Jean-de-Buèges, Saint-Jean-de-Fos, Saint-Jean-de-la-Blaquière, Saint-Privat, Saint-Saturnin-de-Lucian, Soubès and Usclas-du-Bosc.
The demarcated area is 61 713 ha in size.
7. Main wine grapes
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>Grenache N</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>Carignan N</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>Mourvèdre N</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>Syrah N</p></td></tr></tbody></table>
8. Description of the link(s)
The geographical area covers 32 municipalities of the department of Hérault and is bounded:
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>in the north, by the calcareous cliffs bordering the Larzac, whose altitude varies between 700 and 800 metres,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>in the south, by the estuary of the Lergue and the Hérault, with an open landscape over the broad Hérault valley in the direction of the sea.</p></td></tr></tbody></table>
The wine-growing area is protected from northerly winds by the Larzac plateau. It has an average annual rainfall of 800 mm to 900 mm and cooler temperatures than the rest of the Languedoc wine-growing region. The temperature variations between day and night are marked during the summer months and affect the phenolic ripeness of the grape berries. The soils in this area have low fertility, good drainage, a heavy load of calcareous gravel and a limited water reserve distributed at depth.
The presence of vines in the ‘Terrasses du Larzac’ dates back to Roman times, although vineyards did not experience significant growth until the Middle Ages and then again in the 18th century, with the development of trade. Although the history of ‘Terrasses du Larzac’ and of wine-growing in the Languedoc later became intertwined, it was clear that an intensive production model was poorly suited to this region, where soils are less fertile and at a slightly higher altitude, which naturally limits yields. ‘Terrasses du Larzac’ wines come from nine traditional Languedoc wine grape varieties, and wine growers were able to benefit from this diversity thanks to their thorough knowledge of the land and by selecting the best locations for each variety and preparing cuvées from at least three varieties, so that each vintage reflected the identity of their wines.
The quality and specific characteristics of ‘Terrasses du Larzac’ wines have been recognised since the end of the 1950s, when they were selected for the protected designation of origin ‘Coteaux du Languedoc’ delimited wine of superior quality.
Aware of the quality and specificity of their natural environment, the producers of ‘Terrasses du Larzac’ have been seeking recognition of the identity of their vineyards for nearly 20 years. An important milestone was reached with the recognition, on the basis of the 2004 vintage, of the complementary geographical name ‘Terrasses du Larzac’ within the ‘Coteaux du Languedoc’ controlled designation of origin.
The nuancing effect of altitude on the Mediterranean climate and the distance from the sea also play a major role in shaping the typical characteristics of the wines. Hot days alternating with cool nights during the ripening season of the grapes helps the aromas come together, especially those of spices and red fruits. The temperatures, which are lower than on the coast, enable later harvests and maintain the fineness and freshness of the wines. The strong light and mild climate allow the wine grapes to express their full potential. As a consequence, these wines, purple or garnet in colour with occasional black reflections, have a fine and complex nose. The dominant aromas of red fruit, black fruit and spices combine harmoniously with notes of liquorice, black olive and violet as well as roasted notes and perfumes from the garrigue . Notes of leather, hay or tobacco and even truffle may also develop. In the mouth, the wines are rich with a good tannic structure and a specific balance between generosity and freshness. There are notes of ripe fruit and spices.
These wines basically improve with age and some of them reveal their character after 15 or even 20 or more years.
To summarise, the wines are characterised by their balance, pleasant complexity and a good capacity to improve with age as well as a typical overall elegance.
The area's rich wine-growing history means that detailed knowledge of the natural environment has been acquired over the generations. On the basis of this knowledge it has been possible to adapt the different wine grape varieties to the soils and their micro-localisations. These wines are blended wines (at least 3 varieties) that have been vinified traditionally, with vatting frequently lasting for more than 15 days and even up to 30 days. The structure of the wines requires an ageing period after fermentation in order to obtain a complex aromatic range but also to refine the tannins.
The consistency of the products rests on the progress made by the producers in the vineyard and in the cellar but also on their collective effort, which enabled them to together define clearly the profile and identity of a wine bearing the name ‘Terrasses du Larzac’.
In conclusion, the particular geographical location — a balance between Mediterranean generosity and the freshness of the Larzac plateau — contributes to the specific character of wines bearing the ‘Terrasses du Larzac’ controlled designation of origin, further reinforced by the producers' know-how.
9. Essential further conditions
Area in immediate proximity
Legal framework:
National legislation
Type of further condition:
Derogation concerning production in the demarcated geographical area
Description of the condition:
The area in immediate proximity, defined by derogation for the making, development and ageing of the wines, comprises the territory of the municipality of La Vacquerie-et-Saint-Martin-de-Castries (Department of Hérault).
Broader geographical unit
Legal framework:
National legislation
Type of further condition:
Additional provisions relating to labelling
Description of the condition:
Wines with the controlled designation of origin may specify on their labels the broader geographical unit ‘Languedoc’.
The size of the letters for this broader geographical unit must not be larger, either in height or width, than half of the size of the letters forming the name of the controlled designation of origin.
Smaller geographical unit
Legal framework:
National legislation
Type of further condition:
Additional provisions relating to labelling
Description of the condition:
The size of the letters of all optional terms whose use, under Union provisions, may be regulated by the Member States, must not be larger, either in height or width, than half of the size of the letters forming the name of the controlled designation of origin.
Reference to publication of the specification
https://info.agriculture.gouv.fr/gedei/site/bo-agri/document_administratif-28398d7f-8879-48ac-a46c-16573436bdbd | ENG | 32016D1020(02) |
<table><col/><col/><col/><tbody><tr><td><img/></td><td><p>Official Journal<br/>of the European Union</p></td><td><p>EN</p><p>Series L</p></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>2024/638</p></td><td><p>7.3.2024</p></td></tr></tbody></table>
COMMISSION RECOMMENDATION (EU) 2024/638
of 18 December 2023
on the consistency of Austria’s measures with the Union’s climate-neutrality objective and with ensuring progress on adaptation
(Only the German text is authentic)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 292 thereof,
Having regard to Regulation (EU) 2021/1119 of the European Parliament and of the Council of 30 June 2021 establishing the framework for achieving climate neutrality and amending Regulations (EC) No 401/2009 and (EU) 2018/1999 ( 1 ) , and in particular Article 7(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Pursuant to Regulation (EU) 2021/1119 (the European Climate Law), the Commission is required to assess the consistency of national measures with the climate-neutrality objective and with ensuring progress on adaptation. The Commission assessed the consistency of Austria’s measures with these objectives <a>(<span>2</span>)</a>. The below recommendations are based on that assessment. Austria should take due account of the present recommendations and follow up on them in accordance with the European Climate Law.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>While the Union’s net greenhouse gas emissions (including from land use, land use change and forestry (LULUCF) and excluding international transport) show a steady downward trend overall, broadly in line with the linear trajectory achieving the Union’s 2030 climate target of -55 % and the Union’s 2050 climate-neutrality objective, the pace of emission reduction needs to accelerate and action by Member States is essential. Progress across Member States has been mixed with several sectoral challenges and weaknesses that need to be remedied without further delay. The assessment, based on the available information, shows that progress towards the Union’s climate-neutrality objective appears insufficient for Austria. Reliable long-term strategies are the cornerstone for achieving the economic transformation needed to move towards the Union’s climate-neutrality objective.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Updated national energy and climate plans in accordance with Article 14 of Regulation (EU) 2018/1999 of the European Parliament and of the Council <a>(<span>3</span>)</a> are essential for a Member State to take steps to enable the collective achievement of the climate-neutrality objective and ensure continuous progress on adaptation in line with the European Climate Law. However, Austria has not submitted a draft update of its latest notified integrated national energy and climate plan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The first step in strengthening the ambition on adaptation should be adopting an appropriate legal framework for national climate policy that sets up binding, regularly updated adaptation goals to measure overall progress in building resilience. Strong adaptation strategies and plans are needed to ensure that societal, political and economic preparedness advances steadily in line with the European Climate Law and gets ahead of the climate related impacts. To assist Member States in updating and implementing comprehensive national adaptation strategies, plans and policies the Commission adopted a set of guidelines in July 2023 <a>(<span>4</span>)</a>. Various EU funding instruments can be mobilised to fund adaptation. Climate resilience considerations should be put in the forefront when Member States design their national plans under the relevant EU funds. None of the spending should do harm to adaptation: that is, increase vulnerabilities either for the beneficiaries or for others.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The most vulnerable communities are those with elevated likelihood of being impacted by climate change. Unequal exposure and vulnerability to climate impacts of different regions and socioeconomic groups worsens pre-existing inequalities and vulnerabilities. Just resilience should reduce the unequal burden of climate risk and ensure equity in the distribution of the benefits of adaptation. Private stakeholders are agents of change by providing information, resources, capacities, and funding,</p></td></tr></tbody></table>
HEREBY RECOMMENDS THAT AUSTRIA TAKES ACTION TO:
Consistency of national measures with the climate-neutrality objective
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Step up climate mitigation efforts, by making tangible progress on the existing and planned policies and consider additional, urgent measures to align the expected greenhouse gas emission reductions and projections with the climate-neutrality objective.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Update and increase the ambition and quality on the national long-term strategy, including by substantiating Austria’s emission reductions and enhancement of removals targets in individual sectors with credible policies and measures.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>Submit the draft update of its latest notified integrated national energy and climate plan as provided for in Article 14 of Regulation (EU) 2018/1999, with a view of an assessment of its consistency with the climate-neutrality objective.</p></td></tr></tbody></table>
Consistency of national measures with ensuring progress on adaptation
<table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>Establish an appropriate legal framework for climate change adaptation policy and action. Update the national adaptation strategy so that climate adaptation considerations are integrated in key vulnerable sectors, and that gaps and barriers to adaptation are addressed. Put climate resilience considerations more to the forefront in the use of support from EU funding programmes, such as the common agricultural policy, cohesion policy funding and other relevant EU funds. EU funds should be spent in such a way that they increase climate resilience and do not increase vulnerabilities (i.e. do no significant harm to adaptation).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>Continue to engage stakeholder groups that are particularly vulnerable to the impacts of climate change in Austria's adaptation policy design and implementation. Involve social partners and private sector stakeholders in policy design, implementation, and investments. Document the processes and outcomes of relevant consultations.</p></td></tr></tbody></table>
Done at Brussels, 18 December 2023.
For the Commission
Wopke HOEKSTRA
Member of the Commission
( 1 ) OJ L 243, 9.7.2021, p. 1 .
( 2 ) COM(2023) 653 final, EU Climate Action Progress Report 2023, and Commission Staff Working Document Assessment of progress on climate adaptation in the individual Member States according to the European Climate Law, SWD(2023) 932.
( 3 ) Regulation (EU) 2018/1999 of the European Parliament and of the Council of 11 December 2018 on the Governance of the Energy Union and Climate Action, amending Regulations (EC) No 663/2009 and (EC) No 715/2009 of the European Parliament and of the Council, Directives 94/22/EC, 98/70/EC, 2009/31/EC, 2009/73/EC, 2010/31/EU, 2012/27/EU and 2013/30/EU of the European Parliament and of the Council, Council Directives 2009/119/EC and (EU) 2015/652 and repealing Regulation (EU) No 525/2013 of the European Parliament and of the Council ( OJ L 328, 21.12.2018, p. 1 ).
( 4 ) Commission Guidelines on Member States’ adaptation strategies and plans 2023/C 264/01 ( OJ C 264, 27.7.2023, p. 1 ).
ELI: http://data.europa.eu/eli/reco/2024/638/oj
ISSN 1977-0677 (electronic edition) | ENG | 32024H0638 |
02011Y0224(01) — EN — 24.03.2020 — 003.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p>DECISION OF THE EUROPEAN SYSTEMIC RISK BOARD</p><p>of 20 January 2011</p><p>adopting the Rules of Procedure of the European Systemic Risk Board</p><p><a>(ESRB/2011/1)</a></p><p>(OJ C 058 24.2.2011, p. 4)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a>DECISION OF THE EUROPEAN SYSTEMIC RISK BOARD ESRB/2016/13 of 12 October 2016 2016/C 437/05</a></p></td><td><p>  C 437</p></td><td><p>8</p></td><td><p>25.11.2016</p></td></tr><tr><td><p><a>►M2</a></p></td><td><p><a>DECISION OF THE EUROPEAN SYSTEMIC RISK BOARD ESRB/2017/2 of 31 March 2017 2017/C 124/04</a></p></td><td><p>  C 124</p></td><td><p>3</p></td><td><p>21.4.2017</p></td></tr><tr><td><p><a>►M3</a></p></td><td><p><a>DECISION OF THE EUROPEAN SYSTEMIC RISK BOARD of 20 March 2020 2020/C 140/04</a></p></td><td><p>  C 140</p></td><td><p>5</p></td><td><p>29.4.2020</p></td></tr></table>
DECISION OF THE EUROPEAN SYSTEMIC RISK BOARD
of 20 January 2011
adopting the Rules of Procedure of the European Systemic Risk Board
(ESRB/2011/1)
2011/C 58/04
Article 1
Definitions
These Rules of Procedure shall supplement Regulation (EU) No 1092/2010 read in conjunction with Regulation (EU) No 1096/2010. The terms in these Rules of Procedure shall have the same meaning as in Regulation (EU) No 1092/2010 and Regulation (EU) No 1096/2010.
TITLE 1
ORGANISATION
CHAPTER I
The General Board
Article 2
General Board meetings
1. The General Board shall decide on the dates of its ordinary meetings on a proposal from the Chair of the ESRB. Ordinary meetings of the General Board shall, in principle, take place following a schedule that the General Board shall determine in good time before the start of each calendar year. Additional ordinary meetings can be added to the calendar in the course of the year.
2. In accordance with Article 9(1) of Regulation (EU) No 1092/2010, extraordinary meetings may be convened by the Chair or at the request of at least one third of the members of the General Board with voting rights. The Chair shall convene extraordinary meetings as a rule at least two calendar days in advance, unless they are held by means of teleconferencing, in which case they may be convened one day in advance.
3. Meetings of the General Board may be held by means of teleconferencing, unless: (i) at least five members of the General Board with voting rights object to teleconferencing at ordinary meetings; or (ii) at least 10 members of the General Board with voting rights object to teleconferencing at extraordinary meetings.
Article 3
Membership
1. Where a Member State, in which the national central bank is not a designated authority pursuant to Directive 2013/36/EU of the European Parliament and of the Council ( *1 ) or Regulation (EU) No 575/2013 of the European Parliament and of the Council ( *2 ), has nominated a high-level representative of a designated authority as a member of the General Board with voting rights under Article 6(1)(b) of Regulation (EU) No 1092/2010, that designated authority shall inform the ESRB Secretariat of the name of that high-level representative.
2. The European Commission shall inform the ESRB Secretariat of the name of its representative for the purposes of Article 6(1)(c) of Regulation (EU) No 1092/2010.
3. The national supervisory authorities, the national authorities entrusted with the conduct of macroprudential policy, or the national central banks, as applicable in accordance with Article 6(2)(a) of Regulation (EU) No 1092/2010, shall inform the ESRB Secretariat of the names of their respective high-level representatives or, where applicable in accordance with Article 6(3) of Regulation (EU) No 1092/2010, the common representative nominated as member of the General Board without voting rights.
4. The ESRB Secretariat shall maintain, update and publish a list of the members of the General Board with voting rights and without voting rights. This list shall name the individual members and the authorities, national central banks, or other institutions or committees that those members represent. Any change to this list shall be notified without undue delay to the ESRB Secretariat.
Article 4
Attendance at General Board meetings
1. Except as provided in Article 9(4) and (5) of Regulation (EU) No 1092/2010, only the members mentioned in Article 6(1) and (2) of Regulation (EU) No 1092/2010 may attend the General Board’s meetings.
2. In addition to the members with voting rights, the Chair of the Supervisory Board of the ECB, the Chair of the Single Resolution Board and the President of the Economic and Finance Committee, only one of the high-level representatives per Member State of a national supervisory authority, a national authority entrusted with the conduct of macroprudential policy, or of the national central bank, as referred to in Article 6(2)(a) of Regulation (EU) No 1092/2010, shall sit at the main table during discussions on items for which that individual has been designated as the national high-level representative; the other national high-level representatives shall attend as observers. In the absence of a common representative as referred to in Article 6(3) of Regulation (EU) No 1092/2010, the respective national high-level representatives shall liaise among themselves and inform the ESRB Secretariat at least five calendar days before the General Board meeting of the items on the agenda of the General Board meeting in which they will participate. Where no agreement is reached on the implementation of the rule on rotation of the respective high-level representatives referred to in Article 6(3) of Regulation (EU) No 1092/2010, the national member of the General Board with voting rights shall decide, before each meeting, which national high-level representative should sit at the main table during discussions on the respective items and shall inform the representatives accordingly.
3. A Member unable to attend may appoint in writing a substitute to attend the meeting without voting rights. Alternates may be appointed to participate in meetings with voting rights where the incumbent ESRB members have proven their inability to attend meetings for three months. The appointment of an alternate or a substitute and the participation of an accompanying person shall be notified in writing to the ESRB Secretariat in due time in advance of the meeting. In the absence of the Chair, the first Vice-Chair shall chair the General Board. In the absence of both, the second Vice-Chair shall chair it. The Chair of the Advisory Scientific Committee and the two Vice-Chairs of the Advisory Scientific Committee shall appoint their alternates or substitutes from among the members of the Advisory Scientific Committee. The Vice-Chair of the Advisory Technical Committee shall be the alternate or substitute for the Chair of the Advisory Technical Committee.
4. Members of the General Board, their alternates or substitutes may be accompanied by one person. The proceedings shall be broadcast in a separate meeting room for such accompanying persons.
5. The Head of the ESRB Secretariat shall assist the Chair of the ESRB in the conduct of deliberations and votes.
6. The Chair of the ESRB may, in accordance with Article 9(4) and (5) of Regulation (EU) No 1092/2010, invite other persons on an ad hoc basis for specific agenda items on a proposal from the Chair or from other members of the General Board, where appropriate and subject to compliance with confidentiality requirements.
7. In accordance with Decision of the EEA Joint Committee No 198/2016 ( 1 ), the Governors of the national central banks of Iceland and Norway, and as regards Liechtenstein, a high-level representative of the Ministry of Finance, as well as one high-level representative of the competent national supervisory authority of each of these European Free Trade Association (EFTA) Member States shall participate in meetings of the General Board without voting rights. A college member of the EFTA Surveillance Authority may participate in meetings of the General Board without voting rights, whenever relevant to its tasks.
Article 5
Organisation of General Board meetings
1. The Chair of the ESRB shall draw up a preliminary agenda for an ordinary General Board meeting and submit it to the Steering Committee for consultation at least eight calendar days before the Steering Committee meeting together with the related documentation. Thereafter, the Chair shall submit the provisional agenda to the members of the General Board together with the related documentation at least ten calendar days before the General Board meeting. When planning the work and preparing the meeting agendas of the General Board the following requirements shall be taken into account:
(a) participation by high level-representatives of relevant authorities from third countries pursuant to Article 4(6) should, in accordance with Article 9(5) of Regulation (EU) No 1092/2010, only concern items of relevance to the Union, excluding any case where the situation of individual financial institutions or Member States may be discussed;
(b) members who are participating pursuant to Article 4(7) may be asked not to participate in meetings of the General Board, or in parts of such meetings that relate to specific agenda items, where the situation of individual Union financial institutions or Member States may be discussed.
2. The General Board may decide to remove items from or add items to the provisional agenda on a proposal from the Chair or any other member of the General Board. Any proposal shall state the reasons on which it is based and shall be communicated to all the members of the General Board. At the beginning of each meeting, the General Board, on a proposal from the Chair of the ESRB, shall adopt the agenda. An item shall also be removed from the agenda at the request of the Chair of the ESRB or of at least five members of the General Board if the related documents were not submitted to the members of the General Board in due time.
2a. After receiving the provisional agenda each member may, within three ECB working days, submit a request to the ESRB Secretariat for an agenda item to be discussed without the participation of representatives of authorities from third countries or members who are participating pursuant to Article 4(7), where the member considers that the requirements referred to in points (a) and/or (b) of paragraph 1, as applicable, are not met. The identity of the requesting member shall be kept anonymous.
3. The Head of the ESRB Secretariat shall prepare the draft minutes of the proceedings of the General Board. The minutes shall also include a reference to the documents submitted to the General Board, a record of the decisions adopted and/or of the conclusions reached by the General Board and the list of attendees.
4. The Chair of the ESRB shall submit the draft minutes to the members of the General Board for comments and approval by written procedure at the latest two weeks following the meeting or, if this is not possible, prior to the subsequent meeting. Once approved, they shall be signed by the Head of the ESRB Secretariat. Representatives of relevant authorities from third countries and members who are participating pursuant to Article 4(7) may only receive and/or comment on draft minutes covering the agenda items in which they participated.
5. The proceedings of the General Board shall be confidential. The General Board may decide to make an account of its deliberations public, subject to applicable confidentiality requirements and in a manner that does not allow for the identification of individual members of the General Board or of individual authorities, national central banks, institutions or committees. The General Board may also decide to hold press conferences after its meetings.
6. In case of an extraordinary meeting of the General Board, the timelines referred in Article 4(2) and Article 5(1) of these Rules may be shortened.
Article 6
Voting modalities of the General Board
1. The General Board shall vote at the request of the Chair of the ESRB. The Chair shall also initiate a voting procedure upon request from any member of the General Board with voting rights.
2. In accordance with Article 10(4) of Regulation (EU) No 1092/2010, a quorum of two thirds of members with voting rights shall be required for any vote to be taken by the General Board. If the quorum is not met, the Chair of the ESRB may convene an extraordinary meeting at which decisions may be taken by a quorum of one third, in which case the provisions of the second sentence of Article 2(2) shall apply.
3. The Chair of the ESRB may initiate a secret ballot if requested to do so by at least five members of the General Board with voting rights. A secret ballot shall always be held for the votes of the General Board relating to persons.
4. Decisions may also be taken by written procedure, unless at least five members of the General Board with voting rights object. A written procedure shall require: (i) as a rule not less than five working days for consideration by every member of the General Board with voting rights; and (ii) the personal signature of each member of the General Board with voting rights, or their alternate in accordance with Article 9(3) of Regulation (EU) No 1092/2010; and (iii) a record of any such decision in the minutes of the subsequent meeting of the General Board.
CHAPTER II
The First Vice-Chair
Article 7
Election of the First Vice-Chair
The election of the First Vice-Chair of the ESRB, referred to in Article 5(2) of Regulation (EU) No 1092/2010, shall take place as follows:
(a) the electoral body shall be composed of the national members of the General Board with voting rights ad personam ;
(b) the Chair of the ESRB shall invite the national members of the General Board with voting rights to an election meeting with at least 15 calendar days’ advance notice. The Chair shall also ask for expressions of interest from eligible candidates. The Head of the ESRB Secretariat shall act as Secretary of the electoral body;
(c) the Chair of the ESRB shall put forward to the electoral body the list of candidates for the First Vice-Chair on the basis of the expressions of interest received by the opening of the electoral meeting;
(d) the First Vice-Chair shall be elected by secret ballot. Where there is only one candidate, the First Vice-Chair shall be elected by a simple majority of the votes cast. Where there is more than one candidate, the Chair of the ESRB shall proceed to successive secret ballots. Where in the first ballot, none of the candidates receives a simple majority of the votes cast, a second ballot shall include the two candidates with the highest number of votes. In case of a tie by the second ranked candidates, they shall all be entitled to participate in the second ballot;
(e) where the second ballot does not result in a simple majority of votes cast for any candidate, the candidate with the highest number of votes shall be elected.
CHAPTER III
The Steering Committee
Article 8
Membership
1. National members of the General Board with voting rights shall be eligible candidates for the election of the four national members of the Steering Committee referred to in Article 11(1)(c) of Regulation (EU) No 1092/2010.
2. Considering the number of Member States which are participating Member States as defined in Article 2(1) of Regulation (EU) No 1024/2013 and those that are not at the time of the election, the electoral body composed of the national members of the General Board with voting rights shall determine accordingly the number of members of the Steering Committee from participating Member States and from non-participating Member States referred to in Article 11(1)(c) of Regulation (EU) No 1092/2010. For this purpose, the electoral body shall round up or down to the nearest whole number.
3. Taking into account the above determination by the electoral body, the Chair of the ESRB shall ask for expressions of interest from eligible candidates no later than 15 calendar days before the election. The Chair of the ESRB shall put forward to the electoral body the list of candidates on the basis of the expressions of interest received before the opening of the meeting convened for the election.
4. The Chair shall organise one or more secret ballots, the result of which shall be that the eligible candidates receiving the highest number of votes shall be elected in line with the proportion required under paragraph 2. In the event of a tie, successive ballots shall take place. When voting, the members of the electoral body should aim at ensuring a balanced representation of Member States.
5. A simple majority of the votes of the members of the electoral body present at the meeting shall be needed to elect each of the four national members referred to in Article 11(1)(c) of Regulation (EU) No 1092/2010.
Article 9
Organisation of Steering Committee meetings
1. The Chair of the ESRB shall chair the Steering Committee meetings.
2. The Steering Committee shall decide on the dates of its meetings on a joint proposal from its Chair and the first Vice-Chair of the ESRB. Ordinary meetings shall, as a rule, take place within the four weeks preceding the General Board meeting.
3. Meetings may also be held by means of teleconferencing, unless: (i) at least two members of the Steering Committee object to teleconferencing at ordinary meetings; or (ii) at least five members of the Steering Committee object to teleconferencing at extraordinary meetings.
4. The Chair of the Steering Committee and the first Vice-Chair of the ESRB may also invite, each on their own initiative, or on a proposal from other members of the Steering Committee, other persons to attend meetings of the Steering Committee where appropriate, and subject to compliance with confidentiality requirements.
5. Where a member of the Steering Committee is unable to attend a meeting, an alternate may be appointed in writing. The Chair of the Advisory Scientific Committee shall be replaced as a rule by one of the two Vice-Chairs of the Advisory Scientific Committee. The Vice-Chair of the Advisory Technical Committee shall be the alternate of the Chair of the Advisory Technical Committee. The Head of the ESRB Secretariat shall be notified in writing of these changes in due time before the meeting of the Steering Committee.
Article 10
Agenda and proceedings
1. The agenda for each meeting of the Steering Committee shall be proposed jointly by the Chair and the first Vice-Chair of the ESRB and adopted at the beginning of the meeting by the Steering Committee. A provisional agenda shall be drawn up jointly by the Chair and the first Vice-Chair of the ESRB and shall, in principle, be sent, together with the related documents, to the members of the Steering Committee at least ten calendar days before the meeting. All members of the Steering Committee may propose items and documents to the Chair and the first Vice-Chair of the ESRB for consideration by the Steering Committee.
2. The Steering Committee shall examine in advance items on the preliminary agenda for a General Board meeting together with the relevant documentation. The Steering Committee shall ensure the preparation of the dossiers for the General Board and, where appropriate, shall propose options or solutions. When planning the work and preparing the meeting agendas of the General Board, the requirements referred to in Article 5(1)(a) and (b), as applicable, shall be taken into account. The Steering Committee shall report on an ongoing basis to the General Board on the development of the ESRB’s activities.
3. The Head of the ESRB Secretariat shall prepare the draft summary proceedings of the Steering Committee meetings and submit them for comments and approval to the members of the Steering Committee by written procedure, as a rule before the following General Board meeting. The summary proceedings shall be signed by the Head of the ESRB Secretariat.
4. The Chair of the ESRB shall be responsible for the follow-up to any action point agreed by the Steering Committee, including the transmission of the Steering Committee’s deliberations to the other ESRB bodies.
5. The Steering Committee’s summary proceedings, activities and discussions shall be confidential.
CHAPTER IV
The Advisory Scientific Committee
Article 11
Membership
1. The Steering Committee shall propose the 15 experts to be approved by the General Board under Article 12(1) of Regulation (EU) No 1092/2010 according to the principles of publicity, transparency, equal access and non-discrimination. A decision of the General Board shall specify the procedures and requirements for the selection, appointment and replacement of the members of the Advisory Scientific Committee.
2. The Chair of the ESRB shall propose the Chair and the first and second Vice-Chairs from among the experts appointed as members of the Advisory Scientific Committee for appointment by the General Board, in accordance with Articles 7(2) and 12(2) of Regulation (EU) No 1092/2010. The Chair and the two Vice-Chairs of the Advisory Scientific Committee shall be citizens of the European Union. The Chair of the Advisory Technical Committee may not be appointed as the Chair or a Vice-Chair of the Advisory Scientific Committee.
3. The chairmanship shall rotate among the appointed Chair and two Vice-Chairs every 16 months.
4. The General Board of the ESRB shall be consulted on the terms and conditions determined by the ECB for the indemnities and reimbursement of expenses of the above 15 experts within the budget allocated by the ECB to that end.
5. The list of the members of the Advisory Scientific Committee shall be published on the ESRB’s website.
Article 12
Organisation of Advisory Scientific Committee meetings
1. The Advisory Scientific Committee shall meet at least twice per year. Meetings shall be convened by the Chair of the Advisory Scientific Committee.
2. The Chair of the Advisory Scientific Committee shall propose an agenda, prepared in accordance with Article 12(3) of Regulation (EU) No 1092/2010, and submit it to the Advisory Scientific Committee for approval.
3. The ESRB Secretariat shall assist the Advisory Scientific Committee. The Head of the ESRB Secretariat shall attend the meetings of the Advisory Scientific Committee and draw up the summary proceedings, which shall be submitted for comments and adoption at the subsequent meeting, or approved earlier by written procedure.
4. The Chair of the Advisory Scientific Committee shall report to the General Board via the Steering Committee.
5. The Advisory Scientific Committee’s summary proceedings, activities and discussions shall be confidential. Its reports may be published where authorised by the General Board.
CHAPTER V
The Advisory Technical Committee
Article 13
Organisation of meetings
1. The Advisory Technical Committee shall meet at least four times a year. Meetings shall be convened by the Chair of the Advisory Technical Committee.
2. The participating authorities shall inform the ESRB Secretariat of the names of their representatives. Where appropriate, the competent national supervisory authorities shall inform the ESRB Secretariat of the name of the common representative of the national supervisory authorities appointed and the authority to which they belong. The ESRB Secretariat shall maintain and update a list thereof. Any change to this list shall be notified to the ESRB Secretariat.
2a. One representative of the national central banks of Iceland and Norway, and in the case of Liechtenstein, one representative of the Ministry of Finance, as well as one representative of the competent national supervisory authority of each of these EFTA Member States shall participate on the Advisory Technical Committee.
The Chair of the Advisory Technical Committee may also invite, on their own initiative or on a proposal from one or more other members of the Advisory Technical Committee, a high-level representative of a designated authority nominated in accordance with Article 6(1)(b) of Regulation (EU) No 1092/2010 and/or a high-level representative of a national authority entrusted with the conduct of macroprudential policy as referred to in Article 6(2)(a) of that Regulation to participate in meetings of the Advisory Technical Committee where appropriate, and subject to compliance with confidentiality requirements.
The Chair of the Advisory Technical Committee may also invite, on their own initiative or on a proposal from one or more other members of the Advisory Technical Committee, a high-level representative of relevant authorities from third countries in accordance with Article 9(5) of Regulation (EU) No 1092/2010, to participate in meetings of the Advisory Technical Committee where appropriate, and subject to compliance with confidentiality requirements.
3. In the absence of a common representative of the competent national supervisory authorities, only one representative of national supervisory authorities per Member State shall sit at the main table during discussions on items for which they have been designated as the national representative; the other representatives of national supervisory authorities shall attend as observers. Where items fall within the competence of two or more national supervisory authorities, special arrangements will have to be concluded between them on how to implement the rotation rule referred to in the second subparagraph of Article 13(1) of Regulation (EU) No 1092/2010. Where the national supervisory authorities do not reach an agreement on the implementation of the rotation rule, the representative of the national central bank of the respective Member State shall decide, before each meeting, which representative should sit at the main table for the respective items and shall inform the representatives accordingly.
4. The Chair of the ESRB shall propose to the General Board a shortlist of three persons, including members of the Advisory Technical Committee or high-level officials of ESRB member institutions, as candidates for the position of the Chair of the Advisory Technical Committee. The Chair of the ESRB shall organise a secret ballot and shall appoint the candidate receiving the highest number of votes from the members of the General Board. The term of office of the Chair of the Advisory Technical Committee shall be three years and shall be renewable.
5. The members of the Advisory Technical Committee shall elect the Vice-Chair of the Advisory Technical Committee. The election shall be held by secret ballot and by simple majority of the votes cast. Members of the Advisory Technical Committee and high-level officials of ESRB member institutions shall be eligible candidates. The representative of the Advisory Scientific Committee may not be elected Vice-Chair of the Advisory Technical Committee. The term of office of the Vice-Chair of the Advisory Technical Committee shall be three years and shall be renewable.
6. The Chair of the Advisory Scientific Committee shall designate one of its committee members other than the Chair of the Advisory Technical Committee and themself as member of the Advisory Technical Committee. The representative of the Advisory Scientific Committee may vary depending on the items discussed at the Advisory Technical Committee.
7. The Chair of the Advisory Technical Committee shall propose an agenda at least ten calendar days before the meeting, prepared in accordance with Article 13(3) of Regulation (EU) No 1092/2010, which shall be submitted to the Advisory Technical Committee for approval. Documents for agenda items shall be made available by the ESRB Secretariat to all members of the Advisory Technical Committee. When planning the work and preparing the meeting agendas of the Advisory Technical Committee the following requirements shall be taken into account:
(a) participation by high level-representatives of relevant authorities from third countries pursuant to Article 13(2a) should only concern items of relevance to the Union, excluding any case where the situation of individual financial institutions or Member States may be discussed;
(b) representatives of relevant authorities from EFTA Member States may be asked not to participate in meetings of the Advisory Technical Committee or in parts of such meetings that relate to specific agenda items, where the situation of individual Union financial institutions or Member States may be discussed.
After receiving the provisional agenda each representative may, within three ECB working days, submit a request to the ESRB Secretariat for an agenda item to be discussed without the participation of those representatives who are participating pursuant to Article 13(2a) where the requirements referred to in points (a) and/or (b) of paragraph 7, as applicable, are not met. The identity of the requesting representative shall be kept anonymous.
8. The Advisory Technical Committee shall be assisted by the ESRB Secretariat. The Head of the ESRB Secretariat shall draw up the summary proceedings of the meetings of the Advisory Technical Committee, which shall be submitted for comments and adoption at the latest two weeks following the meeting or, if this is not possible, prior to the subsequent meeting.
9. The Chair of the Advisory Technical Committee shall report to the General Board via the Steering Committee.
10. The Advisory Technical Committee’s summary proceedings, activities and discussions shall be confidential.
CHAPTER VI
The ESRB Secretariat
Article 14
Head of the ESRB Secretariat
1. The General Board shall be consulted on the candidate(s) selected by the ECB for the position of the Head of the ESRB Secretariat in accordance with Article 3(2) of Regulation (EU) No 1096/2010. The General Board, following an open and transparent procedure, shall assess whether the shortlisted candidates for the position of head of the Secretariat possess the qualities, impartiality and experience necessary to manage the Secretariat. The General Board shall inform the European Parliament and the Council in sufficient detail about the assessment and consultation procedure.
2. Staff from the ESRB Secretariat may represent the Head of the ESRB Secretariat at the meetings of the General Board, the Steering Committee, the Advisory Technical Committee, the Advisory Scientific Committee and any other meeting, where appropriate, and deputise in the event of the absence of the Head of the ESRB Secretariat.
Article 15
Tasks of the ESRB Secretariat
1. The Head of the ESRB Secretariat shall be responsible for organising and drafting the minutes of the General Board proceedings and the summary proceedings of all the Steering Committee meetings respectively. They shall be responsible for the drafting of the summary proceedings of the advisory committees’ meetings.
2. The Head of the ESRB Secretariat shall assist the Steering Committee in preparing Steering Committee and General Board meetings; they shall assist the chairs of the advisory committees in the performance of their respective tasks.
3. The ESRB Secretariat shall perform its tasks in accordance with Article 2 of Regulation (EU) No 1096/2010 and Article 4(4) of Regulation (EU) No 1092/2010. Among these tasks, the ESRB Secretariat shall inter alia:
(a) act as the interface and facilitate cooperation within the ESRB and between the ESRB, the European System of Central Banks, the other parties to the European System of Financial Supervision, and other relevant institutions at national, European and international level and ensure efficient communication flows;
(b) contribute to defining and reviewing the overall macro-prudential framework (objectives, policy tools, operational elements) of the ESRB;
(c) perform analysis and synthesis, prepare notes for discussion by the ESRB, support the Steering Committee, taking into account ESRB members’ contributions and identify issues for consideration;
(d) build up expertise, in cooperation with the ESRB members, on macro-supervisory instruments and evaluate macro-prudential instruments as a basis for possible ESRB policy recommendations;
(e) contribute to the preparation and monitoring of the follow-up of warnings and recommendations;
(f) keep the records and documents of the ESRB, administer the ESRB’s website and deal with the ESRB’s correspondence;
(g) manage the financial, material and human resources allocated by the ECB to the ESRB in accordance with Articles 2 and 3 of Regulation (EU) No 1096/2010 and the ECB’s relevant rules.
CHAPTER VII
The ESRB and the European System of Financial Supervision
Article 16
Participation in the meetings of the Boards of Supervisors of the European Supervisory Authorities
The Chair of the ESRB shall participate as non-voting representative of the ESRB in the meetings of the Boards of Supervisors of the European Supervisory Authorities or may appoint an alternate.
Article 17
Participation in the meetings of the Joint Committee of the European Supervisory Authorities
1. The Chair of the ESRB shall participate as observer in the Joint Committee of the European Supervisory Authorities or may appoint an alternate.
2. The Chair of the ESRB shall appoint the Head of the ESRB Secretariat or a representative to participate as an observer in the Subcommittee on Financial Conglomerates or other subcommittees established by the Joint Committee.
TITLE 2
WARNINGS AND RECOMMENDATIONS
Article 18
Preparatory activities
1. Before the adoption of a warning or of a recommendation and subject to appropriate confidentiality rules, the ESRB may:
(a) draw on technical advice from the European System of Central Banks, the European Commission, the European Supervisory Authorities and the national supervisory authorities;
(b) seek the views of the potential addressees that are not represented in the General Board of the ESRB as well as the views of relevant private sector stakeholders;
(c) take account of the work of international financial stability organisations and bodies in third countries carrying out activities directly related to the tasks of the ESRB.
2. The Chair of the ESRB may ask the Advisory Scientific Committee and the Advisory Technical Committee to give their advice or provide assistance.
3. The General Board may further specify procedures for the issuance of warnings and recommendations.
Article 19
Adoption
1. Warnings and recommendations shall be reasoned with reference to the significance of the systemic risk, as identified, assessed and prioritised by the ESRB, to achieve the objective assigned to the ESRB under Article 3(1) of Regulation (EU) No 1092/2010.
2. ESRB warnings and recommendations shall be adopted by the General Board and signed by the Chair of the ESRB or the Head of the ESRB Secretariat to certify their conformity with the General Board’s decision.
3. In the event of a tie, the Chair shall have the casting vote for their adoption.
4. Each General Board decision adopting a warning or a recommendation shall specify whether it shall remain confidential or be published. In the event of a tie, the Chair shall have the casting vote.
5. Warnings and recommendations whose publication has been decided by the General Board shall be made available on the ESRB’s website. They shall also be published in all the official languages of the Union in the Official Journal of the European Union .
Article 20
Follow-up of warnings and recommendations
1. The General Board shall ensure the monitoring by the ESRB of the follow-up to the warnings and recommendations adopted by the ESRB. It shall also assess the actions and justifications undertaken and communicated by the addressees of the ESRB recommendations.
2. The General Board shall decide whether an ESRB recommendation has not been followed and the addressees have failed to provide adequate justification for their inaction under Article 17(2) of Regulation (EU) No 1092/2010.
3. The General Board may invite the addressees of ESRB warnings or recommendations to a meeting of the General Board to present their views before or after adoption of such warnings or recommendations. The General Board shall take due account of these views.
Article 21
Specific requests
ESRB responses to invitations by the European Parliament, the Council or the Commission, under Article 19(3) of Regulation (EU) No 1092/2010, to examine specific issues, shall be as a rule made public.
TITLE 3
OPERATION
Article 22
Confidentiality of ESRB information
1. The ESRB Secretariat shall classify and handle the information and documents related to the ESRB in accordance with the ECB internal rules and any supplementary rules on confidentiality adopted by the ECB and/or the ESRB for the purpose of the functioning of the ESRB in accordance with Regulation (EU) No 1092/2010 and Regulation (EU) No 1096/2010.
2. The General Board shall adopt any necessary measures to ensure the application of the rules referred to in paragraph 1 to any person who works or who has worked for or in connection with the ESRB.
3. The summary proceedings of the Steering Committee, Advisory Scientific Committee and Advisory Technical Committee shall be available to the members of the General Board.
Article 23
Venue of meetings
The General Board, the Steering Committee, the Advisory Scientific Committee and the Advisory Technical Committee shall normally hold their meetings on the ECB’s premises.
Article 24
Emergency situations
The General Board shall lay down internal rules to facilitate decision-making and business continuity in emergency situations. Such rules shall to the extent possible respect these Rules of Procedure.
Article 25
Public consultations and hearings
1. In carrying out its tasks and where appropriate, the ESRB may hold public consultations concerning issues falling within its competence. The ESRB shall publish the results of the consultation procedure on its website.
2. The General Board, the Steering Committee, the Advisory Technical Committee and the Advisory Scientific Committee may carry out public or non-public hearings. Stakeholders such as market participants, consumer bodies and academic experts to be interviewed at a hearing shall be selected in a non-discriminatory manner with a view to properly addressing specific situations.
Article 26
Code of Conduct
The General Board shall adopt a Code of Conduct for the members of the General Board, the Steering Committee, the Advisory Technical Committee and the Advisory Scientific Committee in order to foster the trust in the integrity of the ESRB. The Code of Conduct shall be published on the ESRB’s website.
Article 27
Legal instruments
1. The ESRB’s legal instruments shall be adopted by the General Board and signed by the Chair of the ESRB or the Head of the ESRB Secretariat to certify their conformity with the General Board’s decision.
1a. All ESRB legal instruments shall be numbered sequentially for ease of identification.
1b. The ESRB Secretariat shall take steps to ensure:
(a) the safe custody of the originals of the ESRB’s legal instruments;
(b) the notification of the addressees;
(c) where appropriate, the publication in all the official languages of the Union in the Official Journal of the European Union of the ESRB’s legal instruments whose publication has been expressly decided by the General Board.
2. The principles of Council Regulation No 1 determining the languages to be used by the European Economic Community of 15 April 1958 ( 2 ) shall apply to the ESRB’s legal instruments.
Article 28
Exchange of information
1. The General Board shall adopt decisions relating to the collection of information in accordance with Article 15 of Regulation (EU) No 1092/2010 and Articles 2 and 5 of Regulation (EU) No 1096/2010.
2. The agreements referred to in Articles 8(4) and 16(3) of Regulation (EU) No 1092/2010 and any other agreement with other institutions or authorities relating to the exchange of information, including confidential information, shall be approved by the General Board and signed by the Chair of the ESRB on its behalf.
Article 29
Annual report
The General Board of the ESRB shall adopt and publish the ESRB annual report.
Article 30
Communications, announcements and publications
General communications and announcements of decisions taken by the ESRB may be published on the ESRB’s website, in the Official Journal of the European Union or by means of wire services common to financial markets or any other media. ESRB publications shall be published on the ESRB’s website where appropriate.
Article 31
Dialogue with the European Parliament
The agreement referred to in Article 19(5) of Regulation (EU) No 1092/2010 shall be approved by the General Board and signed by the Chair of the ESRB on its behalf.
<note>
( *1 ) Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).
( *2 ) 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 (OJ L 176, 27.6.2013, p. 1).
( 1 ) Decision of the EEA Joint Committee No 198/2016 of 30 September 2016 amending Annex IX (Financial services) to the EEA Agreement [2017/275] (OJ L 46, 23.2.2017, p. 1).
( 2 ) OJ 17, 6.10.1958, p. 385/58.
</note> | ENG | 02011Y0224(01)-20200324 |
<table><col/><col/><col/><col/><tbody><tr><td><p>14.12.2021   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 446/38</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2021/2205
of 13 December 2021
amending Regulation (EC) No 847/2006 as regards the volume of certain prepared or preserved fish originating in Thailand that may be imported under tariff quota 09.0706
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Decision 2006/324/EC of 27 February 2006 on the conclusion of an Agreement in the form of an Exchange of Letters between the European Community and the Kingdom of Thailand pursuant to Article XXIV:6 and Article XXVIII of the General Agreement on Tariffs and Trade (GATT) 1994 relating to the modification of concessions in the schedules of the Czech Republic, the Republic of Estonia, the Republic of Cyprus, the Republic of Latvia, the Republic of Lithuania, the Republic of Hungary, the Republic of Malta, the Republic of Poland, the Republic of Slovenia and the Slovak Republic in the course of their accession to the European Union ( 1 ) , and in particular Article 2 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Commission Regulation (EC) No 847/2006 <a>(<span>2</span>)</a> establishes the administration of Community tariff quotas for certain prepared or preserved fish. The Agreement between the European Union and the Kingdom of Thailand pursuant to Article XXVIII of the General Agreement on Tariffs and Trade (GATT) 1994 relating to the modification of concessions on all the tariff-rate quotas included in the EU Schedule CLXXV as a consequence of the United Kingdom’s withdrawal from the European Union <a>(<span>3</span>)</a>, lays down the quantity for certain tariff-rate quotas of the Union with regard to the volumes of products to be imported from Thailand. The Agreement entered into force on 20 July 2021.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The quantity for certain tariff-rate quotas of the Union as laid down in that Agreement for the volume of certain prepared or preserved fish should be reflected in Regulation (EC) No 847/2006.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Regulation (EC) No 847/2006 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Due to the urgent need to implement the Agreement, this Regulation should enter into force on the day of its publication in the<span>Official Journal of the European Union</span>. As the amendments introduced by this Regulation concern the tariff quota period that is ongoing on the date of its entry into force, it is necessary to lay down transitional provisions for that period.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Customs Code Committee,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Amendment to Regulation (EC) No 847/2006
Regulation (EC) No 847/2006 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>in Article 1, paragraph 2 is replaced by the following:</p><div><p>‘2.   An annual tariff quota of 1 054 tonnes with exemption of customs duties shall be opened for Union imports of prepared or preserved fish of sardines, bonito, mackerel of the species<span>Scomber scombrus</span> and<span>Scomber japonicus</span>, fish of the species<span>Orcynopsis unicolor</span>, other than whole or in pieces, falling within CN code 1604 20 50.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>in Article 2, paragraph 2 is replaced by the following:</p><div><p>‘2.   of the tariff quota of 1 054 tonnes in Article 1(2), 423 tonnes shall apply within order number 09.0706 to imports originating in Thailand, and the remaining part, notably 631 tonnes, shall apply within order number 09.0707 to imports originating in all third countries except the United Kingdom.’.</p></div></td></tr></tbody></table>
Article 2
Transitional provisions for the ongoing tariff quota period
1. The volume available for the remainder of the tariff quota period that is ongoing on the date of entry into force of this Regulation shall be the difference between the quota volume as amended by this Regulation and the quota volume already allocated before the date of entry into force of this Regulation.
2. If upon the entry into force of this Regulation, the quota applicable on 13 December 2021 was exhausted, the new quota volume available shall be allocated to operators following the chronological order of the acceptance dates of their customs declarations for release for free circulation. Operators who imported their goods during the ongoing tariff quota period, but before the entry into force of this Regulation, without benefitting from the tariff quota shall be reimbursed, at their request and to the extent that the balance of the tariff quota so permits, the difference in duty already paid.
Article 3
Entry into force
This Regulation shall enter into force on the day 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, 13 December 2021.
For the Commission
The President
Ursula VON DER LEYEN
<note>
( 1 ) OJ L 120, 5.5.2006, p. 17 .
( 2 ) Commission Regulation (EC) No 847/2006 of 8 June 2006 opening and providing for the administration of Community tariff quotas for certain prepared or preserved fish ( OJ L 156, 9.6.2006, p. 8 ).
( 3 ) OJ L 274, 30.7.2021, p. 57 .
</note> | ENG | 32021R2205 |
<table><col/><col/><col/><col/><tbody><tr><td><p>25.3.2019   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 82/4</p></td></tr></tbody></table>
COMMISSION DELEGATED REGULATION (EU) 2019/478
of 14 January 2019
amending Regulation (EU) 2017/625 of the European Parliament and of the Council as regards the categories of consignments to be subjected to official controls at border control posts
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2017/625 of the European Parliament and of the Council of 15 March 2017 on official controls and other official activities performed to ensure the application of food and feed law, rules on animal health and welfare, plant health and plant protection products, amending Regulations (EC) No 999/2001, (EC) No 396/2005, (EC) No 1069/2009, (EC) No 1107/2009, (EU) 1151/2012, (EU) No 652/2014, (EU) 2016/429 and (EU) 2016/2031 of the European Parliament and of the Council, Council Regulation (EC) No 1/2005 and (EC) No 1099/2009 and Council Directives 98/58/EC, 1999/74/EC, 2007/43/EC, 2008/119/EC and 2008/120/EC, and repealing Regulations (EC) No 854/2004 and (EC) No 882/2004 of the European Parliament and of the Council, Council Directives 89/608/EEC, 89/662/EEC, 90/425/EEC, 91/496/EEC, 96/23/EC, 96/93/EC and 97/78/EC and Council Decision 92/438/EEC ( 1 ) , and in particular Article 47(3) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Regulation (EU) 2017/625 establishes the framework for official controls and other official activities to verify the correct application of Union food and feed law. That framework includes official controls performed on animals and goods entering the Union from third countries.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Regulation (EU) 2017/625 requires for certain categories of animals and goods that each consignment is made subject to official controls at designated border control posts of first arrival into the Union, because of the risk those categories of animals and goods may pose to public and animal health.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>In addition to the categories of consignments already listed in Regulation (EU) 2017/625, foodstuffs containing both products of plant origin and processed products of animal origin (composite products), as well as hay and straw should undergo official controls at border control posts as they too may pose a risk to public and animal health.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Regulation (EU) 2017/625 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Since Regulation (EU) 2017/625 applies from 14 December 2019, this Regulation should also apply from that date,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
In Article 47(1) of Regulation (EU) 2017/625, point (b) is replaced by the following:
<table><col/><col/><tbody><tr><td><p>‘(b)</p></td><td><span>products of animal origin, germinal products, animal by-products, hay and straw and foodstuffs containing both products of plant origin and processed products of animal origin (“composite products”)’.</span></td></tr></tbody></table>
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 .
It shall apply from 14 December 2019.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 14 January 2019.
For the Commission
The President
Jean-Claude JUNCKER
<note>
( 1 ) OJ L 95, 7.4.2017, p. 1 .
</note> | ENG | 32019R0478 |
02017R0656 — EN — 07.08.2018 — 001.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p> COMMISSION IMPLEMENTING REGULATION (EU) 2017/656</p><p>of 19 December 2016</p><p>laying down the administrative requirements relating to emission limits and type-approval of internal combustion engines for non-road mobile machinery in accordance with Regulation (EU) 2016/1628 of the European Parliament and of the Council</p><p><a>(Text with EEA relevance)</a></p><p>(OJ L 102 13.4.2017, p. 364)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a> COMMISSION IMPLEMENTING REGULATION (EU) 2018/988 of 27 April 2018</a></p></td><td><p>  L 182</p></td><td><p>46</p></td><td><p>18.7.2018</p></td></tr></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2017/656
of 19 December 2016
laying down the administrative requirements relating to emission limits and type-approval of internal combustion engines for non-road mobile machinery in accordance with Regulation (EU) 2016/1628 of the European Parliament and of the Council
(Text with EEA relevance)
Article 1
Definitions
For the purposes of this Regulation, the following definition shall apply:
(1) ‘adjustable parameter’ means any device, system, or element of design that someone can adjust (including those which are difficult to access) and that, if adjusted, may affect emissions or engine performance during emissions testing or normal in-use operation. This includes, but is not limited to, parameters related to injection timing and fuelling rate;
(2) ‘wall-flow particulate after-treatment system’ means a particulate after-treatment system in which all the exhaust gas is forced to flow through a wall which filters out the solid matter.
Article 2
Templates for information folder and information document
1. Manufacturers shall use the templates set out in Annex I to this Regulation when providing information folders and information documents in accordance with Article 21 of Regulation (EU) 2016/1628.
2. Existing information documents for engines of category RLL issued under Directive 97/68/EC or the information document of an equivalent type approval referred to in Annex XII to Directive 97/68/EC of the European Parliament and of the Council ( 1 ) may be submitted for the purposes of type-approval under Regulation (EU) No 2016/1628.
3. Existing information documents for Special Purpose Engines (SPE) issued under Directive 97/68/EC or the information document of an equivalent type approval referenced in Annex XII to Directive 97/68/EC may be submitted for the purposes of type-approval under Regulation (EU) 2016/1628.
4. Existing information documents for engines of category NRSh issued under Directive 97/68/EC or the information document of an equivalent type approval referred to in Annex XII to Directive 97/68/EC may be submitted for the purposes of type-approval under Regulation (EU) 2016/1628.
Article 3
Templates for statements of conformity
Manufacturers shall use the templates set out in Annex II to this Regulation when delivering statements of conformity in accordance with Article 31 of Regulation (EU) 2016/1628.
Article 4
Templates for the marking of engines
Manufacturers shall use the templates set out in Annex III to this Regulation when affixing markings to an engine in accordance with Article 32 of Regulation (EU) 2016/1628.
Article 5
Templates for the EU type-approval certificate
Approval authorities shall use the template set out in Annex IV to this Regulation when issuing the EU type-approval certificates in accordance with Article 23 of Regulation (EU) 2016/1628.
Article 6
Numbering system of the EU type-approval certificate
Approval authorities shall use the harmonised numbering system set out in Annex V to this Regulation when numbering EU type-approval certificates in accordance with Article 22 of Regulation (EU) 2016/1628.
Article 7
The single format of the test report
1. Technical services shall use the single format set out in Annex VI to this Regulation when drawing up the test reports referred to in Article 6(3)(g) and Articles 22(6) and 23(3)(a)of Regulation (EU) 2016/1628.
2. Existing test reports for engines of category RLL issued under Directive 97/68/EC may be submitted for the purposes of type-approval under Regulation (EU) 2016/1628 under the condition that neither the substantive requirements nor the requirements regarding the test procedures have changed since the execution of the test. The difference between the per cent load and power and between the weighting factor for the mode number (mode no) of the test cycle given in section 3.7.1.4 of Annex III to Directive 97/68/EC and the corresponding mode number for test cycle F in Appendix 1 to Annex XVII of Commission Delegated Regulation (EU) 2017/654 ( 2 ) shall not be considered substantive for this purpose.
3. Existing test reports for engines meeting the Special Purpose engine (SPE) emission limit values issued under Directive 97/68/EC or the test report of an equivalent type approval referred to in Annex XII to Directive 97/68/EC may be submitted for the purposes of type-approval under Regulation (EU) 2016/1628 under the condition that neither the substantive requirements nor the requirements regarding the test procedures have changed since the execution of the test.
4. Existing test reports for engines meeting the NRSh emission limit values issued under Directive 97/68/EC may be submitted for the purposes of type-approval under Regulation (EU) 2016/1628 under the condition that neither the substantive requirements nor the requirements regarding the test procedures have changed since the execution of the test.
Article 8
Format for the list of engines referred to in Article 37(1) of Regulation 2016/1628
Manufacturers shall use the format set out in Annex VII to this Regulation when submitting the list of engines in accordance with Article 37(1) of Regulation 2016/1628.
Article 9
Templates and data structure for the exchange of data by means of IMI
Approval authorities shall use the templates and data structure set out in Annex VIII to this Regulation for the exchange of data by means of Internal Market Information System (IMI) in accordance with Article 22(5) of Regulation (EU) 2016/1628.
Article 10
Technical requirements and procedures for the interconnection of IMI with existing national databases
1. For the purposes of Article 44(3)(c) of Regulation (EU) 2016/1628, IMI shall offer a web-service for the transfer of data related to applications for EU type-approvals from existing national databases to IMI.
2. For the purposes of Article 44(3)(c) of Regulation (EU) 2016/1628, IMI shall offer a web-service for the transfer of data related to EU type-approvals that are granted, extended, withdrawn or refused from IMI to existing national databases.
The first paragraph shall apply only where the Member State concerned has agreed to transfer of such data using web-service of IMI.
Article 11
Parameters for the definition of engine types and engine families, and their operation modes
For the purposes of paragraphs 1, 2 and 3 of Article 18 of Regulation (EU) 2016/1628, manufacturers shall use the parameters laid down in Annex IX to this Regulation when defining engine types and engine families, and their operation modes.
Article 12
Technical details for prevention of tampering
For the purposes of Article 18(4) of Regulation (EU) 2016/1628, manufacturers shall apply the technical details laid down in Annex X to this Regulation for the prevention of tampering.
Article 12a
Transitional provisions
1. Notwithstanding the application of the provisions of this Regulation, as amended by Commission Implementing Regulation (EU) 2018/988 ( 3 ), approval authorities shall, until 31 December 2018, also continue to grant EU type-approvals to engine types or engine families in accordance with this Regulation, in its version applicable on 6 August 2018.
2. Notwithstanding the application of the provisions of this Regulation, as amended by Implementing Regulation (EU) 2018/988, the Member States shall, until 30 June 2019, also permit the placing on the market of engines based on an engine type approved in accordance with this Regulation, in its version applicable on 6 August 2018.
Article 13
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.
TABLE OF CONTENTS
<table><col/><col/><col/><tbody><tr><td><p>Annex I</p></td><td><p>Templates for information folder and information document</p></td><td><p> </p><div/></td></tr><tr><td><p>Annex II</p></td><td><p>Templates for statements of conformity</p></td><td><p> </p><div/></td></tr><tr><td><p>Annex III</p></td><td><p>Templates for the marking of engines</p></td><td><p> </p><div/></td></tr><tr><td><p>Annex IV</p></td><td><p>Templates for the EU type-approval certificate</p></td><td><p> </p><div/></td></tr><tr><td><p>Annex V</p></td><td><p>Numbering system of the EU type-approval certificate</p></td><td><p> </p><div/></td></tr><tr><td><p>Annex VI</p></td><td><p>The single format of the test report</p></td><td><p> </p><div/></td></tr><tr><td><p>Annex VII</p></td><td><p>Format for the list of engines referred to in Article 37(1) of Regulation (EU) 2016/1628</p></td><td><p> </p><div/></td></tr><tr><td><p>Annex VIII</p></td><td><p>Templates and data structure for the exchange of data by means of IMI</p></td><td><p> </p><div/></td></tr><tr><td><p>Annex IX</p></td><td><p>Parameters for the definition of engine types and engine families, and their operation modes</p></td><td><p> </p><div/></td></tr><tr><td><p>Annex X</p></td><td><p>Technical details for prevention of tampering</p></td><td><p> </p><div/></td></tr></tbody></table>
ANNEX I
Templates for information folder and information document
PART A — INFORMATION FOLDER
1. General requirements
An information folder referred to in Article 21 of Regulation (EU) 2016/1628 shall contain the following:
1.1. A list of contents;
1.2. Manufacturer's declaration on adherence to all requirements of Regulation (EU) 2016/1628 in accordance with the template set out in Appendix 1;
1.3. Manufacturer's statement on the compliance of the engine type or engine family with the exhaust emission limits set out in Annex II to Regulation (EU) 2016/1628 with regard to specified liquid fuels, fuel mixtures or fuel emulsions other than those set out in point 1.2.2 of Annex I to Delegated Regulation (EU) 2017/654;
1.4. For electronically controlled engines of categories NRE, NRG, IWP, IWA, RLL and RLR, complying with ‘Stage V’ emission limits set out in Annex II to Regulation (EU) 2016/1628 and using electronic control to determine both the quantity and timing of injecting fuel or using electronic control to activate, de-activate or modulate the emission control system used to reduce NO x , a complete overview of the emission control strategy, including the base emission control strategy and the means by which every auxiliary control strategy directly or indirectly controls the output variables;
1.4.1. Additional confidential information as set out in Appendix 2 shall be made available, only for the technical service performing the tests and not included in the information folder;
1.5. Where applicable, a full description of the functional operational characteristics of the NO x control measures and inducement system as referred to in Annex IV to Delegated Regulation (EU) 2017/654;
1.5.1. Where applicable, a copy of the demonstration reports set out in points 10.5.1 and 13.4.1 of Appendix 1 of Annex IV to Delegated Regulation (EU) 2017/654;
1.5.2. Where applicable, a description of the connection for, and method to read, the records set out in point 5.2.1.1.(e) of Appendix 1 of Annex IV to Delegated Regulation (EU) 2017/654 and point 4.1 of Appendix 2 of that Annex;
1.5.3. Where the engine type or engine family is member of a NCD engine family, a justification of its membership together with the information requested in points 1.5, 1.5.1 and 1.5.2 on the NCD engine family may be supplied alternatively, upon agreement of the approval authority;
1.6. Where applicable, a full description of the functional operational characteristics of the particulate control measures as referred to in Annex IV to Delegated Regulation (EU) 2017/654;
1.6.1. Where applicable, a copy of the demonstration report set out in point 9.3.6.1 of Appendix 4 of Annex IV to Delegated Regulation (EU) 2017/654;
1.6.2. Where applicable, a description of the connection for, and method to read, the records set out in point 5.4 of Appendix 4 of Annex IV to Delegated Regulation (EU) 2017/654 and point 4.1 of Appendix 2 of that Annex;
1.6.3. Where the engine type or engine family is member of a PCD engine family, a justification of its membership together with the information requested in points 1.6, 1.6.1 and 1.6.2 on the PCD engine family may be supplied alternatively, upon agreement of the approval authority;
1.7. Manufacturer's declaration, and supporting test reports or data, on deterioration factors as referred to in Article 25(1)(c) of Regulation (EU) 2016/1628 and in Annex III to Delegated Regulation (EU) 2017/654;
1.7.1
Where the engine type or engine family is a member of an engine after-treatment system family, a justification of its membership together with the information requested in point 1.7 on the after-treatment system family may be supplied alternatively, upon agreement of the approval authority;
1.8. Where applicable, the manufacturer's declaration, and supporting test reports or data, of the infrequent regeneration adjustment factors referred to in Annex VI to Delegated Regulation (EU) 2017/654;
1.8.1
Where the engine type or engine family is a member of an engine-after-treatment system family, a justification of its membership together with the information requested in point 1.8 on the engine-after-treatment system family may be supplied alternatively, upon agreement of the approval authority;
1.9. Manufacturer's declaration and supporting data demonstrating that the emission control strategies fitted are designed in such a way as to prevent tampering to the extent possible, as referred to in Article 18(4) of Regulation (EU) 2016/1628 and in Annex X to this Regulation.
1.9.1. For engine types and engine families that use an Electronic Control Unit (ECU) as part of the emission control system the information shall include a description of the provisions taken to prevent tampering with and modification of the ECU including the facility for updating using a manufacturer approved programme or calibration;
1.9.2. For engine types and engine families that use mechanical devices as part of the emission control system the information shall include a description of the provisions taken to prevent tampering with and modification of the adjustable parameters of the emission control system. This shall include the tamper resistant components such as carburettor limiter caps or sealing of carburettor screws or special screws not adjustable by user;
1.9.3
In order to place engines from different engine families into the same tamper prevention engine family the manufacturer shall provide confirmation to the approval authority that the measures used to prevent tampering are similar.
1.10. A description of the physical connector required to receive the torque signal from the engine ECU during the in-service monitoring test according to Appendix 6 to Commission Delegated Regulation (EU) 2017/655 ( 4 ) on monitoring of in-service engines, in order to procure such a connector.
1.11. A description of overall quality-assurance management systems for conformity of production in accordance with Annex II to Delegated Regulation (EU) 2017/654;
1.12. A list of scheduled emission-related maintenance requirements and the period at which each should occur including any scheduled exchange of critical emission-related components;
1.13. The completed information document as set out in Part B of this Annex;
1.14. All relevant data, drawings, photographs and other information as required in the information document;
<table><col/><col/><tr><td><p>2.</p></td><td><p>Applications submitted on paper shall be in triplicate. Any drawings shall be to an appropriate scale and in sufficient detail on size A4 sheets or in a folder of A4 format. Photographs (if any) shall show sufficient detail.</p></td></tr></table>
PART B — INFORMATION DOCUMENT
1. General requirements
<table><col/><col/><tr><td><p>1.1.</p></td><td><p>The information document shall have a reference number issued by the applicant;</p></td></tr></table>
<table><col/><col/><tr><td><p>1.2.</p></td><td><p>Where the particulars appearing in the information document for an engine approval have changed, the manufacturer shall submit revised pages to the approval authority showing clearly the nature of the change(s) and the date of re-issue;</p></td></tr></table>
2. Content of information document
<table><col/><col/><tr><td><p>2.1.</p></td><td><p>All information documents shall contain the following:</p><div><div><span>2.1.1. </span></div><div><p>the general information set out in Part A of Appendix 3;</p></div></div><div><div><span>2.1.2. </span></div><div><p>the information set out in Part B of Appendix 3, to identify the common design parameters of all engine types within an engine family or applicable to the engine type where not part of an engine family, intended for EU type-approval;</p></div></div><div><div><span>2.1.3. </span></div><div><p>the information set out in Part C of Appendix 3 following the format of the matrix set out in point 2.1.3.1 to identify the items applicable to the parent engine or engine type and the engine types within the engine family, if applicable:</p><div><div><span>2.1.3.1. </span></div><div><p>Engine type or engine family matrix with example data</p><p><br/></p><div><p><br/></p><table><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Item Number</p></td><td><p>Item Description</p></td><td><p>Test</p></td><td><p>Installation</p></td><td><p>Homologation</p></td><td><p>Parent engine/engine type</p></td><td><p>Engine types within the engine family (if applicable)</p></td></tr><tr><td><p>type 2</p></td><td><p>type 3</p></td><td><p>type …</p></td><td><p>type n</p></td></tr><tr><td><p>3.1</p></td><td><p><span>Engine Identification</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.1.1</p></td><td><p>Engine type designation</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>A01</p></td><td><p>A02</p></td><td><p>A03</p></td><td><p>A04</p></td><td><p>A05</p></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2</p></td><td><p><span>Performance Parameters</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.1</p></td><td><p>Declared rated speed(s) (rpm):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>2 200</p></td><td><p>2 200</p></td><td><p>2 000</p></td><td><p>1 800</p></td><td><p>1 800</p></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.10.</p></td><td><p><span>Miscellaneous devices: Yes/No</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.10.1</p></td><td><p>Exhaust gas recirculation (EGR)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.10.1.1.</p></td><td><p>Characteristics (cooled/uncooled, high pressure/low pressure, etc.):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p>…</p></td><td><p>…</p></td><td><p>…</p></td><td><p>…</p></td><td><p>…</p></td><td><p>…</p></td></tr></tbody></table></div></div></div><p><a>▼M1</a></p><div><div><span>2.1.3.2. </span></div><div><p>An (X) in the corresponding column of the table identifies the purpose(s) for which each item is required:</p><div><div><span>(a) </span></div><div><p>‘Test’ means information required for the conduct of the emissions test,</p></div></div><div><div><span>(b) </span></div><div><p>‘Installation’ means information required for the installation in non-road mobile machinery, and</p></div></div><div><div><span>(c) </span></div><div><p>‘Homologation’ means information required for any inspection to confirm that the engine matches with the characteristics of the specified engine type, and, where applicable, of the specified engine family.</p></div></div><p>The columns ‘test’, ‘installation’ and ‘homologation’ are for information only, and may be omitted from the information document submitted to the approval authority.</p></div></div><p><a>▼B</a></p><div><div><span>2.1.3.3. </span></div><div><p>In the case of constant speed engines with multiple rated speeds an additional set column(s) of data for each speed shall be recorded in section 3.2 (Performance Parameters).</p></div></div><div><div><span>2.1.3.4. </span></div><div><p>In the case of category IWP intended to be used for both variable speed and constant-speed operation an additional column(s) of data for each operation shall be recorded in section 3.2 (Performance Parameters).</p></div></div></div></div></td></tr></table>
3. Explanatory notes on creation of information document:
<table><col/><col/><tr><td><p>3.1.</p></td><td><p>Upon agreement of the approval authority, the information in point 2.1.2 and 2.1.3 may be presented in an alternative format;</p></td></tr></table>
<table><col/><col/><tr><td><p>3.2.</p></td><td><p>Each engine type or the parent engine in the matrix set out in point 2.1.3.1 shall be identified in accordance with the engine family designation and engine type designation set out in section 4.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.3.</p></td><td><p>Only those sections or sub-sections of Parts B and C of Appendix 3 relevant for the particular engine family, engine types within the engine family or engine type shall be listed; in any case, the list shall adhere to the proposed numbering system,</p></td></tr></table>
<table><col/><col/><tr><td><p>3.4.</p></td><td><p>Where several options separated by forward slash are given for an entry, the unused options shall be struck out, or only the used option(s) shall be shown;</p></td></tr></table>
<table><col/><col/><tr><td><p>3.5.</p></td><td><p>When the same value for or description of a certain engine characteristic applies for several or all members of an engine family the corresponding cells may be merged.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.6.</p></td><td><p>Where a picture, diagram or detailed information is required, a reference to an appendix may be given;</p></td></tr></table>
<table><col/><col/><tr><td><p>3.7.</p></td><td><p>Where a ‘type’ of a component is requested, the information supplied shall uniquely identify the component; this may be a list of characteristic, a manufacturers' name and part or drawing number, a drawing, or a combination of the aforementioned or other methods that achieves the same result.</p></td></tr></table>
4. Engine type designation and engine family designation
The manufacturer shall allocate to each engine type and engine family a unique alphanumeric code.
<table><col/><col/><tr><td><p>4.1.</p></td><td><p>In the case of an engine type, the code is named<span>engine type designation</span> and shall clearly and unequivocally identify those engines presenting a unique combination of technical features for those items set out in Part C of Appendix 3 applicable to the engine type.</p></td></tr></table>
<table><col/><col/><tr><td><p>4.2.</p></td><td><p>In the case of engine types within an engine family, the whole code is named<span>Family-Type</span> or ‘<span>FT</span> ’, and is composed of two sections: the first section is named<span>engine family designation</span> and identifies the engine family; the second section is the engine type designation of each particular engine type within the engine family;</p><p><a>▼M1</a></p><p>The engine family designation shall clearly and unequivocally identify those engines presenting a unique combination of technical features for those items set out in Part B of Appendix 3 applicable to the particular engine family.</p><p><a>▼B</a></p><p>The FT shall clearly and unequivocally identify those engines presenting a unique combination of technical features for those items set out in Part C of Appendix 3 applicable to the engine type within the engine family.</p><table><col/><col/><tr><td><p>4.2.1.</p></td><td><p>The manufacturer may use the same engine family designation to identify the same engine family under two or more engine categories.</p></td></tr></table><table><col/><col/><tr><td><p>4.2.2.</p></td><td><p>The manufacturer shall not use the same engine family designation to identify more than one engine family under the same engine category.</p></td></tr></table><table><col/><col/><tr><td><p>4.2.3.</p></td><td>Display of the FT<p>In the FT, a space shall be left between the engine family designation and the engine type designation, as shown in the example below:</p><p> ‘159AF[space]0054’</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>4.3.</p></td><td>Number of characters<p>The number of characters shall not exceed the following:</p><div><div><span>(a) </span></div><div><p>15 for the engine family designation;</p></div></div><div><div><span>(b) </span></div><div><p>25 for the engine type designation;</p></div></div><div><div><span>(c) </span></div><div><p>40 for the FT.</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>4.4.</p></td><td>Characters allowed<p>The engine type designation and engine family designation shall be made up of Roman letters and/or Arabic numerals;</p><table><col/><col/><tr><td><p>4.4.1.</p></td><td><p>The use of brackets and hyphens is permitted provided they do not replace a letter or a numeral.</p></td></tr></table><table><col/><col/><tr><td><p>4.4.2.</p></td><td><p>The use of variable characters is permitted; variable characters shall be denoted by a ‘#’, where the variable character is unknown at the time of notification;</p><table><col/><col/><tr><td><p>4.4.2.1.</p></td><td><p>The reasons for using such variable characters shall be explained to the technical service and approval authority.</p></td></tr></table></td></tr></table></td></tr></table>
Appendix 1
Declaration by manufacturer on compliance with Regulation (EU) 2016/1628
The undersigned:[ …(full name and positon)]
Hereby declares that the following engine type/engine family (*) complies in all respects with the requirements of Regulation (EU) 2016/1628 of the European Parliament and of the Council ( 5 ), Commission Delegated Regulation (EU) 2017/654 ( 6 ), Commission Delegated Regulation (EU) 2017/655 ( 7 ) and Commission Implementing Regulation (EU) 2017/656 ( 8 ) and does not use any defeat strategy.
All emission control strategies comply, where applicable, with the requirements for Base Emission Control Strategy (BECS) and Auxiliary Emission Control Strategy (AECS) set-out in section 2 of Annex IV to Delegated Regulation (EU) 2017/654, and have been disclosed in accordance with that Annex and with Annex I to Implementing Regulation (EU) 2017/656.
1.1. Make (trade name(s) of manufacturer): …
1.2. Commercial name(s) (if applicable): …
1.3. Company name and address of manufacturer: …
1.4. Name and address of manufacturer's authorised representative (if any): …
1.6. Engine type designation/ engine family designation/ FT (*): …
(Place) (Date) …
Signature (or visual representation of an ‘advanced electronic signature’ according to Regulation (EU) No 910/2014 of the European Parliament and of the Council ( 9 ), including data for verification): …
Explanatory notes to Appendix 1:
(Footnote markers, footnotes and explanatory notes not to be stated on the manufacturer's declaration)
(*) Strike out the unused options, or only show the used option(s).
Appendix 2
Confidential information on emission control strategy
1. This Appendix shall apply to electronically controlled engines, which use electronic control to determine both the quantity and timing of injecting fuel.
2. Additional information shall be presented to the technical service but not annexed to the application for EU type-approval. This information shall include all the parameters modified by any auxiliary emission control strategy and the boundary conditions under which this strategy operates and in particular:
(a) a description of the control logic, of timing strategies and switch points, during all modes of operation for the fuel and other essential systems, resulting in effective emission control (such as exhaust gas recirculation (EGR) or reagent dosing);
(b) a justification for the use of any auxiliary emission control strategy applied to the engine, accompanied by material and test data, demonstrating the effect on exhaust emissions. This justification may be based on test data, sound engineering analysis, or a combination of both;
(c) a detailed description of algorithms or sensors (where applicable) used for identifying, analysing, or diagnosing incorrect operation of the NO x control system;
(d) a detailed description of algorithms or sensors (where applicable) used for identifying, analysing, or diagnosing incorrect operation of the particulate control system.
3. The additional information required in point 2 shall be treated as strictly confidential. It shall be retained by the manufacturer and made available for inspection by the approval authority at the time of EU type-approval or upon request at any time during the validity of the EU type-approval. In this case, the approval authority shall treat this information as confidential and shall not disclose it to other parties.
Appendix 3
Template for information document
PART A
1. GENERAL INFORMATION
<table><col/><col/><tr><td><p>1.1.</p></td><td><p>Make (trade name(s) of manufacturer): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.2.</p></td><td><p>Commercial name(s) (if applicable): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.3.</p></td><td><p>Company name and address of manufacturer: …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.4.</p></td><td><p>Name and address of manufacturer's authorised representative (if any): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.5.</p></td><td><p>Name(s) and address(es) of assembly/manufacture plant(s): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.6.</p></td><td><p>Engine type designation/engine family designation/FT: …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.7.</p></td><td><p>Category and sub-category of the engine type/engine family: NRE-v-1/NRE-v-2/NRE-v-3/NRE-v-4/NRE-v-5/NRE-v-6/NRE-v-7/NRE-c-1/NRE-c-2/NRE-c-3/NRE-c-4/NRE-c-5/NRE-c-6/NRE-c-7/NRG-v-1/NRG-c-1/NRSh-v-1a/NRSh-v-1b/NRS-vr-1a/NRS-vr-1b/NRS-vi-1a/NRS-vi-1b/NRS-v-2a/NRS-v-2b/NRS-v-3/IWP-v-1/IWP-v-2/IWP-v-3/IWP-v-4/IWP-c-1/IWP-c-2/IWP-c-3/IWP-c-4/IWA-v-1/IWA-v-2/IWA-v-3/IWA-v-4/IWA-c-1/IWA-c-2/IWA-c-3/IWA-c-4/RLL-v-1/RLL-C-1/RLR-v-1/RLR-C-1/SMB-v-1/ATS-v-1</p></td></tr></table>
<table><col/><col/><tr><td><p>1.8.</p></td><td><p>Emissions durability period category: Not Applicable/Cat 1 (Consumer products)/Cat 2 (Semi-professional products)/Cat 3 (Professional products)</p></td></tr></table>
<table><col/><col/><tr><td><p>1.9.</p></td><td><p>Emissions stage: V/ Special Purpose Engine (SPE)</p></td></tr></table>
<table><col/><col/><tr><td><p>1.10.</p></td><td><p>In case of NRS < 19 kW only, engine family consisting exclusively of engine types for snow throwers: Yes/No</p></td></tr></table>
<table><col/><col/><tr><td><p>1.11.</p></td><td><p>Reference power is: rated net power/maximum net power</p></td></tr></table>
<table><col/><col/><tr><td><p>1.12.</p></td><td><p>Primary NRSC test cycle: C1/C2/D2/E2/E3/F/G1/G2/G3/H</p><table><col/><col/><tr><td><p>1.12.1.</p></td><td><p>In case of variable speed IWP category only, Additional propulsion test cycle: Not applied/E2/E3</p></td></tr></table><table><col/><col/><tr><td><p>1.12.2.</p></td><td><p>In case of IWP category only, additional auxiliary NRSC test cycle: Not applied/D2/C1</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>1.13.</p></td><td><p>Transient test cycle: Not applicable/NRTC/LSI-NRTC</p></td></tr></table>
<table><col/><col/><tr><td><p>1.14.</p></td><td><p>Restrictions on use (if applicable):</p></td></tr></table>
PART B
2. COMMON DESIGN PARAMETERS OF ENGINE FAMILY ( 1 )
<table><col/><col/><tr><td><p>2.1.</p></td><td><p>Combustion Cycle: four stroke cycle/two stroke cycle/rotary/other (specify) …</p></td></tr></table>
<table><col/><col/><tr><td><p>2.2.</p></td><td><p>Ignition Type: Compression ignition/spark ignition</p></td></tr></table>
<table><col/><col/><tr><td><p>2.3.</p></td><td><span>Configuration of the cylinders</span><table><col/><col/><tr><td><p>2.3.1.</p></td><td><p>Position of the cylinders in the block: Single/V/in-line/opposed/radial/other(specify): …</p></td></tr></table><table><col/><col/><tr><td><p>2.3.2.</p></td><td><p>Bore centre to centre dimension (mm): …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>2.4.</p></td><td><span>Combustion chamber type/design</span><table><col/><col/><tr><td><p>2.4.1.</p></td><td><p>Open chamber/divided chamber/other(specify)</p></td></tr></table><table><col/><col/><tr><td><p>2.4.2.</p></td><td><p>Valve and porting configuration: …</p></td></tr></table><table><col/><col/><tr><td><p>2.4.3.</p></td><td><p>Number of valves per cylinder: …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>2.5.</p></td><td><p>Range of swept volume per cylinder (cm<span>3</span>): …</p></td></tr></table>
<table><col/><col/><tr><td><p>2.6.</p></td><td><p>Main Cooling medium: Air/Water/Oil</p></td></tr></table>
<table><col/><col/><tr><td><p>2.7.</p></td><td><p>Method of air aspiration: naturally aspirated/pressure charged/pressure charged with charge cooler</p></td></tr></table>
<table><col/><col/><tr><td><p>2.8.</p></td><td><span>Fuel</span><table><col/><col/><tr><td><p>2.8.1.</p></td><td><p>Fuel Type: Diesel (non-road gas-oil)/Ethanol for dedicated compression ignition engines (ED95)/Petrol (E10)/Ethanol (E85)/(Natural gas/Biomethane)/Liquid Petroleum Gas (LPG)</p><table><col/><col/><tr><td><p>2.8.1.1.</p></td><td><p>Sub Fuel type (Natural gas/Biomethane only): Universal fuel — high calorific fuel (H-gas) and low calorific fuel (L-gas)/Restricted fuel — high calorific fuel (H-gas)/Restricted fuel — low calorific fuel (L-gas)/Fuel specific (LNG);</p></td></tr></table></td></tr></table><table><col/><col/><tr><td><p>2.8.2.</p></td><td><p>Fuelling arrangement: Liquid-fuel only/Gaseous-fuel only/Dual-fuel type 1A/Dual-fuel type 1B/Dual-fuel type 2A/Dual-fuel type 2B/Dual-fuel type 3B</p></td></tr></table><p><a>▼M1</a></p><table><col/><col/><tr><td><p>2.8.3.</p></td><td><p>List of additional fuels, fuel mixtures or emulsions suitable for use by the engine, as declared by the manufacturer in accordance with point 1.2.3 of Annex I to Delegated Regulation (EU) 2017/654 (provide reference to recognised standard or specification): …</p></td></tr></table><p><a>▼B</a></p><table><col/><col/><tr><td><p>2.8.4.</p></td><td><p>Lubricant added to fuel: Yes/No</p><table><col/><col/><tr><td><p>2.8.4.1.</p></td><td><p>Specification: …</p></td></tr></table><table><col/><col/><tr><td><p>2.8.4.2.</p></td><td><p>Ratio of fuel to oil: …</p></td></tr></table></td></tr></table><table><col/><col/><tr><td><p>2.8.5.</p></td><td><p>Fuel supply type: Pump (high pressure) line and injector/in-line pump or distributor pump/Unit injector/Common rail/Carburettor)/port injector/direct injector/Mixing unit/other(specify): …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>2.9.</p></td><td><p>Engine management systems: mechanical/electronic control strategy (<span>2</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.10.</p></td><td><span>Miscellaneous devices: Yes/No</span><p>(if yes provide a schematic diagram of the location and order of the devices)</p><table><col/><col/><tr><td><p>2.10.1.</p></td><td><p>Exhaust gas recirculation (EGR): Yes/No</p><p>(if yes, complete section 3.10.1 and provide a schematic diagram of the location and order of the devices)</p></td></tr></table><table><col/><col/><tr><td><p>2.10.2.</p></td><td><p>Water injection: Yes/No</p><p>(if yes, complete section 3.10.2 and provide a schematic diagram of the location and order of the devices)</p></td></tr></table><table><col/><col/><tr><td><p>2.10.3.</p></td><td><p>Air injection: Yes/No</p><p>(if yes, complete section 3.10.3 and provide a schematic diagram of the location and order of the devices)</p></td></tr></table><p><a>▼M1</a></p><table><col/><col/><tr><td><p>2.10.4.</p></td><td><p>Others: Yes/No</p><p>(if yes, complete section 3.10.4 and provide a schematic diagram of the location and order of the devices)</p></td></tr></table><p><a>▼B</a></p></td></tr></table>
<table><col/><col/><tr><td><p>2.11.</p></td><td><span>Exhaust after-treatment system: Yes/No</span><p>(if yes provide a schematic diagram of the location and order of the devices)</p><table><col/><col/><tr><td><p>2.11.1.</p></td><td><p>Oxidation catalyst: Yes/No</p><p>(if yes, complete section 3.11.2)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.2.</p></td><td><p>DeNO<span>x</span> system with selective reduction of NO<span>x</span> (addition of reducing agent): Yes/No</p><p>(if yes, complete section 3.11.3)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.3.</p></td><td><p>Other DeNO<span>x</span> systems: Yes/No</p><p>(if yes, complete section 3.11.3)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.4.</p></td><td><p>Three-way catalyst combining oxidation and NO<span>x</span> reduction: Yes/No</p><p>(if yes, complete section 3.11.3)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.5.</p></td><td><p>Particulate after-treatment system with passive regeneration: Yes/No</p><p>(if yes, complete section 3.11.4)</p><table><col/><col/><tr><td><p>2.11.5.1.</p></td><td><p>Wall-flow/non-wall-flow</p></td></tr></table></td></tr></table><table><col/><col/><tr><td><p>2.11.6.</p></td><td><p>Particulate after-treatment system with active regeneration: Yes/No</p><p>(if yes, complete section 3.11.4)</p><table><col/><col/><tr><td><p>2.11.6.1.</p></td><td><p>Wall-flow/non-wall-flow</p></td></tr></table></td></tr></table><table><col/><col/><tr><td><p>2.11.7.</p></td><td><p>Other particulate after-treatment systems: Yes/No</p><p>(if yes, complete section 3.11.4)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.8.</p></td><td><p>Other after-treatment devices (specify): …</p><p>(if yes, complete section 3.11.5)</p></td></tr></table><p><a>▼M1</a></p><table><col/><col/><tr><td><p>2.11.9.</p></td><td><p>Other devices or features that have a strong influence on emissions: Yes/No</p><p>(if yes, complete section 3.11.7)</p></td></tr></table><p><a>▼B</a></p></td></tr></table>
PART C
3. ESSENTIAL CHARACTERISTICS OF THE ENGINE TYPE(S)
<table><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Item Number</p></td><td><p>Item Description</p></td><td><p>Test</p></td><td><p>Installation</p></td><td><p>Homologation</p></td><td><p>Parent engine/engine type</p></td><td><p>Engine types within the engine family (if applicable)</p></td><td><p>Explanatory notes (not included in document)</p></td></tr><tr><td><p>type 2</p></td><td><p>type 3</p></td><td><p>type …</p></td><td><p>type n</p></td></tr><tr><td><p>3.1</p></td><td><p><span>Engine Identification</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.1.1.</p></td><td><p>Engine type designation</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.1.2.</p></td><td><p>Engine type designation shown on engine marking: yes/no</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.1.3.</p></td><td><p>Location of the statutory marking:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.1.4.</p></td><td><p>Method of attachment of the statutory marking:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.1.5.</p></td><td><p>Drawings of the location of the engine identification number (complete example with dimensions):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.</p></td><td><p><span>Performance Parameters</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.1.</p></td><td><p>Declared rated speed (rpm):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.1.1.</p></td><td><p>Fuel delivery/stroke (mm<span>3</span>) for diesel engine, fuel flow (g/h) for other engines, at rated net power:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.1.2.</p></td><td><p>Declared rated net power (kW):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.2.</p></td><td><p>Maximum power speed(rpm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If different from rated speed</p></td></tr><tr><td><p>3.2.2.1.</p></td><td><p>Fuel delivery/stroke (mm<span>3</span>) for diesel engine, fuel flow (g/h) for other engines, at maximum net power:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.2.2.</p></td><td><p>Maximum net power (kW):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If different from rated power</p></td></tr><tr><td><p>3.2.3.</p></td><td><p>Declared maximum torque speed (rpm):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.2.3.1.</p></td><td><p>Fuel delivery/stroke (mm<span>3</span>) for diesel engine, fuel flow (g/h) for other engines, at maximum torque speed:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.3.2.</p></td><td><p>Declared maximum torque (Nm):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.2.4.</p></td><td><p>Declared 100 % test speed:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.2.5.</p></td><td><p>Declared Intermediate test speed:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.2.6.</p></td><td><p>Idle speed (rpm)</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.2.7.</p></td><td><p>Maximum no load speed (rpm):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.2.8.</p></td><td><p>Declared minimum torque (Nm)</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.3.</p></td><td><p><span>Run-in procedure</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Optional at choice of manufacturer</p></td></tr><tr><td><p>3.3.1.</p></td><td><p>Run in time:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.3.2.</p></td><td><p>Run-in cycle:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.4.</p></td><td><p><span>Engine test</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.4.1.</p></td><td><p>Specific fixture required: Yes/No</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>For NRSh only</p></td></tr><tr><td><p>3.4.1.1.</p></td><td><p>Description, including photographs and/or drawings, of the system for mounting the engine on the test bench including the power transmission shaft for connection to the dynamometer:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.4.2.</p></td><td><p>Exhaust mixing chamber permitted by manufacturer: Yes/No</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>For NRSh only</p></td></tr><tr><td><p>3.4.2.1.</p></td><td><p>Exhaust mixing chamber description, photograph and/or drawing:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.4.3.</p></td><td><p>Manufacturers chosen NRSC: RMC/Discrete mode</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.4.4.</p></td><td><p>Additional NRSC: E2/D2/C1</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Only where additional cycles are declared in entries 1.12.1 or 1.12.2 of Part A</p></td></tr><tr><td><p>3.4.5.</p></td><td><p>Number of pre-conditioning cycles prior to transient test</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable, minimum 1,0</p></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.4.6.</p></td><td><p>Pre-conditioning for RMC NRSC: Steady-state operation/RMC:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.4.6.1.</p></td><td><p>In case of RMC, number of pre-conditioning RMC prior to RMC NRSC test</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Minimum 0,5</p></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>3.5.</p></td><td><p><span>Lubrication system</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.5.1.</p></td><td><p><span>Lubricant temperature</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.5.1.1.</p></td><td><p>Minimum (deg. C):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.5.1.2.</p></td><td><p>Maximum (deg. C):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.</p></td><td><p><span>Combustion Cylinder</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.1.</p></td><td><p>Bore (mm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.2.</p></td><td><p>Stroke (mm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.3.</p></td><td><p>Number of cylinders:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.6.4.</p></td><td><p>Engine total swept volume (cm<span>3</span>):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.5.</p></td><td><p>Swept volume per cylinder as % of parent engine:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If engine family</p></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>3.6.6.</p></td><td><p>Volumetric compression ratio:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Specify tolerance</p></td></tr><tr><td><p>3.6.7.</p></td><td><p>Combustion system description:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.8.</p></td><td><p>Drawings of combustion chamber and piston crown:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.9.</p></td><td><p>Minimum cross sectional area of inlet and outlet ports (mm<span>2</span>):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.10.</p></td><td><p><span>Valve timing</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.10.1.</p></td><td><p>Maximum lift and angles of opening and closing in relation to dead centre or equivalent data:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.10.2.</p></td><td><p>Reference and/or setting range:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.10.3.</p></td><td><p>Variable valve timing system: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable and where intake and/or exhaust</p></td></tr><tr><td><p>3.6.10.3.1.</p></td><td><p>Type: continuous/(on/off)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.10.3.2.</p></td><td><p>Cam phase shift angle:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.11.</p></td><td><p><span>Porting configuration</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>2-stroke only, if applicable</p></td></tr><tr><td><p>3.6.11.1.</p></td><td><p>positon, size and number:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.</p></td><td><p><span>Cooling system</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Complete relevant section</p></td></tr><tr><td><p>3.7.1.</p></td><td><p><span>Liquid cooling</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.1.1.</p></td><td><p>Nature of liquid:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.1.2.</p></td><td><p>Circulating pumps: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.1.2.1.</p></td><td><p>type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.1.2.2.</p></td><td><p>Drive ratio(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.7.1.3.</p></td><td><p>Minimum coolant temperature at outlet (deg. C):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.1.4.</p></td><td><p>Maximum coolant temperature at outlet (deg. C):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.2.</p></td><td><p><span>Air cooling</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.2.1.</p></td><td><p>fan: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.2.1.1.</p></td><td><p>type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.2.1.2.</p></td><td><p>Drive ratio(s): …</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.7.2.2.</p></td><td><p>Maximum temperature at reference point (deg. C):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.7.2.2.1.</p></td><td><p>Reference point location</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.</p></td><td><p><span>Aspiration</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.1.</p></td><td><p>Maximum allowable intake depression at 100 % engine speed and at 100 % load (kPa)</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.1.1.</p></td><td><p>With clean air cleaner:</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.1.2.</p></td><td><p>With dirty air cleaner:</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.1.3.</p></td><td><p>Location, of measurement:</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.2.</p></td><td><p>Pressure charger(s): Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.2.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.2.2.</p></td><td><p>Description and schematic diagram of the system (e.g. maximum charge pressure, waste gate, VGT, Twin turbo, etc.):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.8.3.</p></td><td><p>Charge air cooler: Yes/No</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.3.1.</p></td><td><p>Type: air-air/air-water/other(specify)</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>3.8.3.2.</p></td><td><p>Maximum charge air cooler outlet temperature at 100 % speed and 100 % load (deg. C):</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span><a><span>►M1</span></a></span> 3.8.3.3.<span> ◄</span></p></td><td><p>Maximum allowable pressure drop across charge cooler at 100 % engine speed and at 100 % load (kPa):</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.4.</p></td><td><p>Intake throttle valve: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.5.</p></td><td><p>Device for recycling crankcase gases: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.5.1.</p></td><td><p>If yes, description and drawings:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.5.2.</p></td><td><p>If no, compliance with paragraph 6.10 of Annex VI to Delegated Regulation (EU) 2017/654: Yes/No</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.6.</p></td><td><p><span>Inlet path</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p><span>2-stroke, NRS and NRSh only</span></p></td></tr><tr><td><p>3.8.6.1.</p></td><td><p>Description of inlet path, (with drawings, photographs and/or part numbers):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.7.</p></td><td><p><span>Air filter</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p><span>2-stroke, NRS and NRSh only</span></p></td></tr><tr><td><p>3.8.7.1.</p></td><td><p>Type:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.8.</p></td><td><p><span>Intake air-silencer</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p><span>2-stroke, NRS and NRSh only</span></p></td></tr><tr><td><p>3.8.1.1.</p></td><td><p>Type:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.9.</p></td><td><p><span>Exhaust system</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.9.1.</p></td><td><p>Description of the exhaust system (with drawings, photos and/or part numbers as required):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p><span>2 stroke, NRS and NRSh only</span></p></td></tr><tr><td><p>3.9.2.</p></td><td><p>Maximum exhaust temperature (deg. C):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.9.3.</p></td><td><p>Maximum permissible exhaust backpressure at 100 % engine speed and at 100 % load (kPa):</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.9.3.1.</p></td><td><p>Location of measurement:</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.9.4.</p></td><td><p>Exhaust backpressure at loading level specified by manufacturer for variable restriction after-treatment at start of test (kPa):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.9.4.1.</p></td><td><p>Location and speed/load conditions:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.9.5.</p></td><td><p>Exhaust throttle valve: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.10.</p></td><td><p><span>Miscellaneous devices: Yes/No</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.10.1.</p></td><td><p><span>Exhaust gas recirculation (EGR)</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.10.1.1.</p></td><td><p>Characteristics: cooled/uncooled, high pressure/low pressure/other (specify):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>3.10.2.</p></td><td><p><span>Water injection</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.10.2.1.</p></td><td><p>Operation principle:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.10.3.</p></td><td><p>Air injection</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.10.3.1.</p></td><td><p>Operation principle:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.10.4.</p></td><td><p>Other(s)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.10.4.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>3.11.</p></td><td><p><span>Exhaust after-treatment system</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.1.</p></td><td><p><span>Location</span></p></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.1.1.</p></td><td><p>Place(s) and maximum/minimum distance(s) from engine to first after-treatment device:</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.1.2.</p></td><td><p>Maximum temperature drop from exhaust or turbine outlet to first after-treatment device (deg. C) if stated:</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.1.2.1.</p></td><td><p>Test conditions for measurement:</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.11.1.3.</p></td><td><p>Minimum temperature at inlet to first after-treatment device (deg. C), if stated:</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.11.1.3.1.</p></td><td><p>Test conditions for measurement:</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>3.11.2.</p></td><td><p><span>Oxidation catalyst</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.2.1.</p></td><td><p>Number of catalytic converters and elements:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.2.2.</p></td><td><p>Dimensions and volume of the catalytic converter(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.2.3.</p></td><td><p>Total charge of precious metals:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.2.4.</p></td><td><p>Relative concentration of each compound:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.2.5.</p></td><td><p>Substrate (structure and material):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.2.6.</p></td><td><p>Cell density:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.2.7.</p></td><td><p>Type of casing for the catalytic converter(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.</p></td><td><p><span>Catalytic exhaust after-treatment system for NO<span>x</span> or three way catalyst</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.1.</p></td><td><p>Type:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.2.</p></td><td><p>Number of catalytic converters and elements:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.3.</p></td><td><p>Type of catalytic action:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.4.</p></td><td><p>Dimensions and volume of the catalytic converter(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.5.</p></td><td><p>Total charge of precious metals:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.6.</p></td><td><p>Relative concentration of each compound:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.7.</p></td><td><p>Substrate (structure and material):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.8.</p></td><td><p>Cell density:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.9.</p></td><td><p>Type of casing for the catalytic converter(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.10.</p></td><td><p>Method of regeneration:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.11.3.10.1.</p></td><td><p>Infrequent regeneration: Yes/No:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If yes, complete section 3.11.6</p></td></tr><tr><td><p>3.11.3.11.</p></td><td><p>Normal operating temperature range (deg. C):</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.12.</p></td><td><p>Consumable reagent: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.12.1.</p></td><td><p>Type and concentration of reagent needed for catalytic action:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.12.2.</p></td><td><p>Lowest concentration of the active ingredient present in the reagent that does not activate warning system (CD<span>min</span>) (%vol):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.12.3.</p></td><td><p>Normal operational temperature range of reagent:</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.12.4.</p></td><td><p>International standard:</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.11.3.13.</p></td><td><p>NO<span>x</span> sensor(s): Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.13.1.</p></td><td><p>Type:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.13.2.</p></td><td><p>Location(s)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.14.</p></td><td><p>Oxygen sensor(s): Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.14.1.</p></td><td><p>Type:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.14.2.</p></td><td><p>Location(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.</p></td><td><p><span>Particulate after-treatment system</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.1.</p></td><td><p>Type of filtration: wall-flow/ non-wall-flow/other (specify)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.2.</p></td><td><p>Type:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.3.</p></td><td><p>Dimensions and capacity of the particulate after-treatment system:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.4.</p></td><td><p>Location place(s) and maximum and minimum distance(s) from engine:</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.5.</p></td><td><p>Method or system of regeneration, description and/or drawing:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.5.1.</p></td><td><p>Infrequent regeneration: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If yes, complete section 3.11.6</p></td></tr><tr><td><p>3.11.4.5.2.</p></td><td><p>Minimum exhaust gas temperature for initiating regeneration procedure (deg. C):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.6.</p></td><td><p>Catalytic coating: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.6.1.</p></td><td><p>Type of catalytic action:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.7.</p></td><td><p>Fuel borne catalyst (FBC): Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.8.</p></td><td><p>Normal operating temperature range (deg. C):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.9.</p></td><td><p>Normal operating pressure range (kPa)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.10.</p></td><td><p>Storage capacity soot/ash [g]:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.11.</p></td><td><p>Oxygen sensor(s): Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.11.1.</p></td><td><p>Type:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.11.2.</p></td><td><p>Location(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.5.</p></td><td><p><span>Other after-treatment devices</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.5.1.</p></td><td><p>Description and operation:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.6.</p></td><td><p><span>Infrequent Regeneration</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.6.1.</p></td><td><p>Number of cycles with regeneration</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.6.2.</p></td><td><p>Number of cycles without regeneration</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.11.7.</p></td><td><p>Other device(s) or feature(s)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.7.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>3.12.</p></td><td><p><span>Fuel feed for liquid-fuelled CI or, where applicable, dual-fuel engines</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.1.</p></td><td><p><span>Feed pump</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.1.1.</p></td><td><p>Pressure (kPa) or characteristic diagram:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.</p></td><td><p><span>Injection system</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.1.</p></td><td><p>Pump</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.1.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.1.2.</p></td><td><p>Rated pump speed (rpm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.1.3.</p></td><td><p>mm<span>3</span> per stroke or cycle at full injection at rated pump speed:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Specify tolerance</p></td></tr><tr><td><p>3.12.2.1.4.</p></td><td><p>Torque peak pump speed (rpm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.1.5.</p></td><td><p>mm<span>3</span> per stroke or cycle at full injection at torque peak pump speed</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Specify tolerance</p></td></tr><tr><td><p>3.12.2.1.6.</p></td><td><p>Characteristic diagram:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>As alternative to entries 3.12.2.1.1 to 3.12.2.1.5.</p></td></tr><tr><td><p>3.12.2.1.7.</p></td><td><p>Method used: on engine/on pump bench</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.2.</p></td><td><p><span>Injection timing</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.2.1.</p></td><td><p>Injection timing curve:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Specify tolerance, if applicable</p></td></tr><tr><td><p>3.12.2.2.2.</p></td><td><p>Static Timing:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Specify tolerance</p></td></tr><tr><td><p>3.12.2.3.</p></td><td><p><span>Injection piping</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.3.1.</p></td><td><p>Length(s) (mm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.3.2.</p></td><td><p>Internal diameter (mm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.4.</p></td><td><p>Common rail: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.2.4.1.</p></td><td><p>Type:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.3.</p></td><td><p><span>Injector(s)</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.3.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.3.2.</p></td><td><p>Opening pressure (kPa):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Specify tolerance</p></td></tr><tr><td><p>3.12.4.</p></td><td><p>ECU: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.4.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.4.2.</p></td><td><p>Software calibration number(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.4.3.</p></td><td><p>Communication standard(s) for access to data stream information: ISO 27145 with ISO 15765-4 (CAN-based)/ISO 27145 with ISO 13400 (TCP/IP-based)/SAE J1939-73</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.5.</p></td><td><p><span>Governor</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.5.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.5.2.</p></td><td><p>Speed at which cut-off starts under full load:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Specify range,if applicable</p></td></tr><tr><td><p>3.12.5.3.</p></td><td><p>Maximum no-load speed:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Specify range,if applicable</p></td></tr><tr><td><p>3.12.5.4.</p></td><td><p>Idle speed:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Specify range,if applicable</p></td></tr><tr><td><p>3.12.6.</p></td><td><p>Cold-start system: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.6.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.6.2.</p></td><td><p>Description:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.7.</p></td><td><p><span>Fuel temperature at the inlet to the fuel injection pump</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.7.1.</p></td><td><p>Minimum (deg. C):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.12.7.2.</p></td><td><p>Maximum (deg. C):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.</p></td><td><p><span>Fuel feed for liquid fuel spark ignition engine</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.1.</p></td><td><p><span>Carburettor</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.1.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.2.</p></td><td><p><span>Port fuel injection:</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.2.1.</p></td><td><p>single-point / multi-point</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.2.2.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.3.</p></td><td><p><span>Direct injection:</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.3.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.4.</p></td><td><p><span>Fuel temperature at location specified by manufacturer</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.4.1.</p></td><td><p>Location:</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.4.2.</p></td><td><p>Minimum (deg. C)</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.13.4.3.</p></td><td><p>Maximum (deg. C)</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.</p></td><td><p><span>Fuel feed for gaseous fuel engines or where applicable, dual fuel engines (in the case of systems laid out in a different manner, supply equivalent information)</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.1.</p></td><td><p>Fuel: LPG /NG-H/NG-L /NG-HL/LNG/Fuel specific LNG</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼M1</a></p></td></tr><tr><td><p>3.14.2.</p></td><td><p><span>Pressure regulator(s)/vaporiser(s)</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><a>▼B</a></p></td></tr><tr><td><p>3.14.2.1.</p></td><td><p>Type(s)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.2.2.</p></td><td><p>Number of pressure reduction stages</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.2.3.</p></td><td><p>Pressure in final stage minimum and maximum. (kPa)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.2.4.</p></td><td><p>Number of main adjustment points:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.2.5.</p></td><td><p>Number of idle adjustment points:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.3.</p></td><td><p>Fuelling system: mixing unit/gas injection/liquid injection/direct injection</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.3.1.</p></td><td><p><span>Mixture strength regulation</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.3.1.1.</p></td><td><p>System description and/or diagram and drawings:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.4.</p></td><td><p><span>Mixing unit</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.4.1.</p></td><td><p>Number:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.4.2.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.4.3.</p></td><td><p>Location:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.4.4.</p></td><td><p>Adjustment possibilities:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.5.</p></td><td><p><span>Inlet manifold injection</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.5.1.</p></td><td><p>Injection: single-point/multi-point</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.5.2.</p></td><td><p>Injection: continuous/simultaneously timed/ sequentially timed</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.5.3.</p></td><td><p><span>Injection equipment</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.5.3.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.5.3.2.</p></td><td><p>Adjustment possibilities:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.5.4.</p></td><td><p><span>Supply pump</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.14.5.4.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.5.5.</p></td><td><p><span>Injector(s)</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.5.5.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.6.</p></td><td><p><span>Direct injection</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.6.1.</p></td><td><p>Injection pump/pressure regulator</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.6.1.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.6.1.2.</p></td><td><p>Injection timing (specify):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.6.2.</p></td><td><p><span>Injector(s)</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.6.2.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.6.2.2.</p></td><td><p>Opening pressure or characteristic diagram:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.7.</p></td><td><p><span>Electronic Control Unit (ECU)</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.7.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.7.2.</p></td><td><p>Adjustment possibilities:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.7.3.</p></td><td><p>Software calibration number(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.8.</p></td><td><p><span>Approvals of engines for several fuel compositions</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.8.1.</p></td><td><p>Self-adaptive feature: Yes/No</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.8.2.</p></td><td><p>Calibration for a specific gas composition: NG-H/NG-L/NG-HL/ LNG/Fuel specific LNG</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.8.3.</p></td><td><p>Transformation for a specific gas composition: NG-HT/NG-LT/NG-HLT</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.9.</p></td><td><p><span>Fuel temperature pressure regulator final stage</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.9.1.</p></td><td><p>Minimum (deg. C):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.14.9.2.</p></td><td><p>Maximum (deg. C):</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.</p></td><td><p><span>Ignition system</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.1.</p></td><td><p><span>Ignition coil(s)</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.1.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.1.2.</p></td><td><p>Number:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.2.</p></td><td><p><span>Spark plug(s)</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.2.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.2.2.</p></td><td><p>Gap setting:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.3.</p></td><td><p><span>Magneto</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.3.1.</p></td><td><p>Type(s):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.4.</p></td><td><p>Ignition timing control: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.4.1.</p></td><td><p>Static advance with respect to top dead centre (crank angle degrees):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.15.4.2.</p></td><td><p>Advance curve or map:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>If applicable</p></td></tr><tr><td><p>3.15.4.3.</p></td><td><p>Electronic control: Yes/No</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table>
Explanatory notes to Appendix 3:
(Footnote markers, footnotes and explanatory notes not to be stated on the information document)
( 1 ) As defined in Annex II to Delegated Regulation (EU) 2017/654.
( 2 ) Refer to section 2.4.13 in Annex IX (engine family definition).
ANNEX II
Templates for statements of conformity
1. General requirements
<table><col/><col/><tr><td><p>1.1.</p></td><td><p>The statement of conformity shall consist of two sections:</p><div><div><span>(a) </span></div><div><p>section 1 specifying the particular features applying to the engine in accordance with the template set out in Appendix 1;</p></div></div><div><div><span>(b) </span></div><div><p>section 2 describing the restrictions applicable to the engine in accordance with the information set out in Table 1 of Appendix 2.</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>1.2.</p></td><td><p>When delivered on paper format, the statement of conformity shall be no bigger than A4 paper format (210 × 297 mm).</p></td></tr></table>
<table><col/><col/><tr><td><p>1.3.</p></td><td><p>All information on the statement of conformity shall be provided in ISO 8859 series (Information technology — 8-bit single-byte coded graphic character sets) characters (for statements of conformity issued in Bulgarian language in Cyril characters, for statements of conformity issued in Greek language in Greek characters) and Arabic numerals.</p></td></tr></table>
2. Features for protecting the statement of conformity
In accordance with Article 31(5) of Regulation (EU) 2016/1628, the statement of conformity shall be made in such a way as to prevent any forgery and allowing verification of the secure electronic file.
2.1. Features to prevent forgery on a paper format
The paper used for the statement of conformity shall be protected by a watermark in the form of the registered mark of the manufacturer and by coloured graphics.
<table><col/><col/><tr><td><p>2.1.1.</p></td><td><p>As an alternative to the requirements set out in point 2.1, the paper of the statement of conformity may be not protected by a watermark in the form of the registered mark of the manufacturer. In this case, the coloured graphics shall be supplemented with at least one additional security printing feature (e.g. ultraviolet fluorescent ink, inks with viewing angle-dependent colour, inks with temperature-dependent colour, micro printing, guilloche printing, iridescent printing, laser engraving, custom holograms, variable laser images, optical variable images, physically embossed or engraved manufacturer's logo, etc.).</p></td></tr></table>
<table><col/><col/><tr><td><p>2.1.2.</p></td><td><p>Manufacturers may provide the statement of conformity with security printing features additional to those set out in points 2.1 and 2.1.1.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.1.3.</p></td><td><p>Where the statement of conformity has more than one sheet, each sheet shall state:</p><div><div><span>(a) </span></div><div><p>the title of the statement of conformity;</p></div></div><div><div><span>(b) </span></div><div><p>the engine identification number set out in point 3.16 of section 1;</p></div></div><div><div><span>(c) </span></div><div><p>a number with the format ‘x of y’, where ‘x’ is the consecutive number of the sheet and ‘y’ is the total number of sheets of the statement of conformity.</p></div></div></td></tr></table>
2.2. Features allowing the verification of the secure electronic file
The electronic file shall be supplied in a format so that each modification after signing can be easily identified, and it can be incorporated into another document. In addition, it shall be signed by an ‘advanced electronic signature’ according to Regulation (EU) No 910/2014 of the European Parliament and of the Council ( 10 ), including the signature verification data.
Appendix 1
Model for the statement of conformity
STATEMENT OF CONFORMITY ACCOMPANYING EACH ENGINE SUBJECT TO AN EXEMPTION OR A TRANSITIONAL PROVISION (ARTICLE 31(1)(a) AND (b) OF REGULATION (EU) 2016/1628)
SECTION 1
EU STATEMENT OF CONFORMITY
The undersigned: [ … (full name and position)]
hereby certifies that the following engine:
1.1. Make (trade name(s) of manufacturer): …
1.2. Commercial name(s) (if applicable): …
1.3. Company name and address of manufacturer: …
1.4. Name and address of manufacturer's authorised representative (if any): …
1.5. Name(s) and address(es) of assembly/manufacture plant(s): …
1.6. Engine type designation/engine family designation/FT ( 1 ):
1.7. Category and sub-category of the engine type/engine family ( 1 ) ( 2 ): …
3.1.2. Designation on the statutory marking: engine type designation/engine family designation/FT ( 1 )
3.1.3. Location of the statutory marking(s): …
3.1.4. Method of attachment of the statutory marking(s): …
3.16. Engine identification number: …
conforms in all respects with the requirements of Regulation (EU) 2016/1628 with regard to an exemption or a transitional provision referred to in Article 31(1)(a) and (b) as indicated in Section 2 of this statement of conformity.
(place) (date) …
Signature (or visual representation of an ‘advanced electronic signature’ according to Regulation (EU) No 910/2014, including data for verification): …
NB: If this model is used for EU type-approval of an engine as an exemption for new technologies or new concepts, pursuant to Article 35(4) of Regulation (EU) 2016/1628, the heading of the statement shall read ‘PROVISIONAL EU-STATEMENT OF CONFORMITY VALID ONLY ON THE TERRITORY OF … ( 3 )’.
SECTION 2
1. Exemption/transition ( 1 ) ( 4 ): …
2. Additional information ( 5 ): …
3. Exemption Code (EM)/transition code (TR) ( 6 ): …
4. Comments ( 7 ): …
Explanatory notes to Appendix 1:
(Footnote markers, footnotes and explanatory notes not to be stated on the statement of conformity)
( 1 ) Strike out the unused options, or only show the used option(s).
( 2 ) Indicate the applicable option for the category and sub-category in accordance with entry 1.7 of the information document set out in Part A of Appendix 3 to Annex I.
( 3 ) Indicate the Member State.
( 4 ) Indicate the applicable text from column 2 of Table 1 in Appendix 2.
( 5 ) Indicate the applicable additional information from column 3 of Table 1 in Appendix 2.
( 6 ) Indicate the applicable code from column 4 of Table 1 in Appendix 2, as shown on the supplementary marking to the statutory marking.
( 7 ) Additional remarks by the manufacturer to clarify the restrictions on use applicable to the engine.
Appendix 2
Table 1
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Article of Regulation (EU) 2016/1628</p><p>(column 1)</p></td><td><p>Information to be stated in Section 2 of the Statement of Conformity</p></td><td><p>Supplementary information to be stated in the statutory marking in accordance with Annex III Appendix 1 Table 1</p></td></tr><tr><td><p>Text required for entry 1</p><p>(column 2)</p></td><td><p>Additional information required for entry 2</p><p>(column 3)</p></td><td><p><span><a><span>►M1</span></a></span> Exemption code (EM) or transition code (TR)</p><p>(column 4)<span> ◄</span></p></td><td><p>Text for supplementary information</p><p>(column 5)</p></td></tr><tr><td><p>34(1)</p></td><td><p>Not Applicable</p></td><td><p>EM-EXP</p></td><td><p><span><a><span>►M1</span></a></span> ENGINE NOT FOR USE IN EU NON-ROAD MOBILE MACHINERY<span> ◄</span></p></td></tr><tr><td><p>34(2)</p></td><td><p>Engine only for use by armed forces in accordance with Article 34(2) of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market for installation in non-road mobile machinery that is exclusively to be used by the armed forces.</p><p>Fire services, civil defence services, forces responsible for maintaining public order and emergency medical services shall not be considered to be part of the armed forces.</p></td><td><p> </p><div/></td><td><p>EM-AFE</p></td><td><p>ARMED FORCES ENGINE</p></td></tr><tr><td><p>34(4)</p></td><td><p>Engine for field testing in accordance with Article 34(4) of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market and entry into service as part of a field testing programme.</p><p>By the date given the engine shall be either removed from use in the European Union or brought into conformity with the requirements set out in Regulation (EU) 2016/1628.</p></td><td><p>End date of exemption dd/mm/yyyy</p><p>Name and address of the approval authority that has been informed of the testing program</p></td><td><p>EM-FTE</p></td><td><p>FIELD TEST ENGINE</p></td></tr><tr><td><p>34(5)</p></td><td><p>SPE for use in potentially explosive atmospheres in accordance with Article 34(5) of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market for installation in non-road mobile machinery to be used in potentially explosive atmospheres, as defined in point (5) of Article 2 of Directive 2014/34/EU of the European Parliament and the Council <a>(<span>1</span>)</a>.</p></td><td><p>Type approval in accordance with Regulation (EU) 2016/1628 number and issue date</p></td><td><p>EM-ATX</p></td><td><p>ATEX ENGINE</p></td></tr><tr><td><p>34(6)</p></td><td><p>SPE for launch and recovery of lifeboats operated by a national rescue service in accordance with Article 34(6) of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market for installation in non-road mobile machinery exclusively used for the launch and recovery of beach launched lifeboats operated by a national rescue service.</p></td><td><p>Type approval in accordance with Regulation (EU) 2016/1628 number and issue date</p></td><td><p>EM-LLV</p></td><td><p>LIFE BOAT LAUNCH ENGINE</p></td></tr><tr><td><p>34(7) first paragraph</p></td><td><p>Replacement engine for category RLL or RLR placed on Union market on or before 31 December 2011 in accordance with the first paragraph of Article 34(7) of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market to replace a locomotive or railcar engine that was placed on the market before 31 December 2011 where that replacement is authorised by the approval authority of a Member State due to the recognition that the installation of an engine in compliance with the applicable emission limits set out in Tables II-7 and II-8 of Annex II to Regulation (EU) 2016/1628 will involve significant technical difficulties.</p><p>This engine shall comply with the emission limits that it would have needed to meet in order to be placed on the Union market on 31 December 2011, or shall comply with more stringent emission limits.</p></td><td><p>Approval authority that authorised the replacement</p><p>Replacement project approval reference</p><p>Type approval in accordance with Directive 97/68/EC approval number and issue date</p></td><td><p>EM-REA</p></td><td><p>RAIL REPLACEMENT A ENGINE</p></td></tr><tr><td><p>34(7) second paragraph</p></td><td><p>Replacement engine for category RLL or RLR placed on Union market after 31 December 2011 in accordance with the second paragraph of Article 34(7) of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market to replace a locomotive or railcar engine that was placed on the market after 31 December 2011 where that replacement is authorised by the approval authority of a Member State and the replacement engine complies with the emission limits that the engine to be replaced had to meet when originally placed on the Union market.</p></td><td><p>Type approval in accordance with Directive 97/68/EC approval number and issue date</p></td><td><p>EM-REB</p></td><td><p>RAIL REPLACEMENT B ENGINE</p></td></tr><tr><td><p>34(8)</p></td><td><p>RLL or RLR engine to be part of a project at an advanced stage of development as defined by Directive 2008/57/EC of the European Parliament and of the Council <a>(<span>2</span>)</a> on 6 October 2016 in accordance with Article 34(8) of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market as part of a project at an advanced stage of development as defined by Directive 2008/57/EC of the European Parliament and of the Council where it has been authorised by the approval authority of a Member State due to the disproportionate cost of using engines complying with the emission limits set out in Tables II-7 or II-8 of Annex II to Regulation (EU) 2016/1628.</p></td><td><p>Member state that has authorised the project</p><p>Authorised Project reference.</p><p>Type approval in accordance with Directive 97/68/EC approval number and issue date</p></td><td><p>EM-PRR</p></td><td><p>RAIL PROJECT ENGINE</p></td></tr><tr><td><p>35(4)</p></td><td><p>Engine that incorporates new technologies or new concepts and that, as a result of those new technologies or new concepts, is incompatible with one or more requirements of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market as an engine incorporating new technologies or new concepts where it holds a provisional type approval certificate granted by the approval authority of a Member State in accordance with Article 35(4) of Regulation (EU) 2016/1628.</p></td><td><p>Provisional type approval number and issue date</p><p>Date at which the provisional EU type-approval ends</p><p>Restrictions in accordance with Article 35(3) of Regulation (EU) 2016/1628</p></td><td><p>EM-NTE</p></td><td><p>NEW TECHNOLOGY ENGINE</p></td></tr><tr><td><p>58(9)</p></td><td><p>Engines of category RLL with a maximum net power greater than 2 000 kW to be installed in locomotives which only run on a technically isolated 1 520 mm railway network, in accordance with Article 58(9) of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market for use on a technically isolated 1 520 mm railway network where it has been authorised by the approval authority of a Member State.</p><p>This engine shall, as a minimum, comply with the emission limits that engines had to meet to be placed on the market on 31 December 2011.</p></td><td><p>Type approval in accordance with Directive 97/68/EC approval number and issue date</p></td><td><p>TR-RWG</p></td><td><p>BROAD-GAUGE RAIL ENGINE</p></td></tr><tr><td><p>58(10)</p></td><td><p>Replacement engine for category NRS with a reference power no less than 19 kW or belonging to a category equivalent to NRG where the replacement engine and the original engine belong to an engine category or power range that was not subject to type-approval at Union level on 31 December 2016 in accordance with Article 58(10) of regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market to replace an engine of category NRS with a reference power no less than 19 kW or category NRG that has no type approval under Directive 97/68/EC.</p></td><td><p> </p><div/></td><td><p>TR-RES</p></td><td><p>REPLACEMENT ENGINE</p></td></tr><tr><td><p>58(11)</p></td><td><p>Replacement engine for category NRE with a reference power no less than 19 kW and no greater than 560 kW, or belonging to a category equivalent to NRE and with a reference power greater than 560 kW, where the replacement engine and the original engine belong to an engine category or power range that was not subject to type-approval at Union level on 31 December 2016 in accordance with Article 58(11) of Regulation (EU) 2016/1628.</p><p>This engine shall only be placed on the market to replace an engine of category NRE with a reference power no less than 19 kW and no greater than 560 kW, or</p><p>to replace an engine of category NRE with a reference power greater than 560 kW that has no type approval under Directive 97/68/EC</p><p>This engine <a>(<span>*1</span>)</a> shall, comply with an emission stage that expired not more than 20 years before the placing on the market of those engines and that is at least as stringent as the emission limits that the engine to be replaced had to meet when it was placed on the market originally.</p></td><td><p>Where applicable, Type approval in accordance with Directive 97/68/EC approval number and issue date</p></td><td><p>TR-REE</p></td><td><p>REPLACEMENT ENGINE</p></td></tr><tr><td><div><a>(<span>*1</span>)   </a><p>Only applicable to replacement engines of category NRE with a reference power no less than 19 kW and no greater than 560 kW.</p></div><div><a>(<span>1</span>)   </a><p>Directive 2014/34/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to equipment and protective systems intended for use in potentially explosive atmospheres (OJ L 96, 29.3.2014, p. 309).</p></div><div><a>(<span>2</span>)   </a><p>Directive 2008/57/EC of the European Parliament and of the Council of 17 June 2008 on the interoperability of the rail system within the Community (OJ L 191, 18.7.2008, p. 1).</p></div></td></tr></tbody></table>
ANNEX III
Templates for the marking of engines
1. General requirements
<table><col/><col/><tr><td><p>1.1.</p></td><td><p>All text included in the statutory and temporary markings shall be provided in ISO 8859 series (Information technology — 8-bit single-byte coded graphic character sets) characters (for Bulgarian language in Cyril characters, for Greek language in Greek characters) and Arabic numerals.</p></td></tr></table>
<table><col/><col/><tr><td><p>1.2.</p></td><td><p>The manufacturer shall affix to each engine the statutory marking set out in Section A before the engine leaves the production line.</p><table><col/><col/><tr><td><p>1.2.1.</p></td><td><p>Notwithstanding point 1.2, manufacturers shall amend the statutory marking of an engine after it left the production line when the mandatory essential information and, where applicable, the supplementary information required for that engine has changed before it is placed on the market.</p></td></tr></table></td></tr></table>
SECTION A — STATUTORY MARKING
1. Mandatory essential information and supplementary information
The information on the statutory marking shall contain at least the information set out in Table 1 of Appendix 1. The character ‘X’ indicates the mandatory essential information and, where applicable, the supplementary information required for the marking of engines as set out in Art 32 of Regulation (EU) 2016/1628.
2. Location of the statutory marking
<table><col/><col/><tr><td><p>2.1.</p></td><td><p>The statutory marking shall be located so as to be readily visible after the engine has been completed with all the auxiliaries necessary for engine operation.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.2.</p></td><td><p>The location of the statutory marking shall be declared in the information document set out in Annex I.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.3.</p></td><td><p>Where required for the purpose of Article 8(6) of regulation (EU) 2016/1628 the OEM shall be provided with a duplicate of the statutory marking to be affixed to the engine or non-road mobile machinery in a readily visible and easily accessible position when the engine is installed in the non-road mobile machinery.</p></td></tr></table>
3. Method of affixing the statutory marking
<table><col/><col/><tr><td><p>3.1.</p></td><td><p>The statutory marking shall be affixed to an engine part necessary for normal engine operation and not normally requiring replacement during engine life.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.2.</p></td><td><p>It shall be affixed in such a manner that will remain durable for the emission durability period of the engine and shall be clearly legible and indelible.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.3.</p></td><td><p>If labels or plates are used, they must be affixed in such a manner that they cannot be removed without being destroyed or defaced.</p></td></tr></table>
SECTION B — TEMPORARY MARKINGS
1. Mandatory essential information
The temporary marking set out in Article 33(1) and (2) of Regulation (EU) 2016/1628 shall be affixed before the engine is placed on the market and shall include at least the following information:
<table><col/><col/><tr><td><p>1.1.</p></td><td><p>For engines delivered separately from its exhaust after-treatment system the wording ‘Separate Shipment Art 34(3)*2016/1628’.</p></td></tr></table>
<table><col/><col/><tr><td><p>1.2.</p></td><td><p>For engines that are not yet in conformity with the approved type and that are being delivered to the manufacturer of that engine:</p><div><div><span>(a) </span></div><div><p>the name or trademark of the manufacturer;</p></div></div><div><div><span>(b) </span></div><div><p>the part identification number of the not-in-conformity engine; and</p></div></div><div><div><span>(c) </span></div><div><p>the wording ‘Not-in-Conformity Art 33(2)*2016/1628’.</p></div></div></td></tr></table>
2. Method of affixing the temporary marking
The temporary marking shall remain affixed to the engine by a removable label or a robust separate tag (e.g. a laminated sheet attached with a wire-tie) until the engine is in conformity with the approved type.
Appendix 1
Table 1
Mandatory essential information and, where applicable, supplementary information in the statutory marking of engines
<table><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Mandatory essential information and, where applicable, supplementary information</p></td><td><p>Stage V engines EU type-approved in accordance with Regulation (EU) 2016/1628 <a>(<span>1</span>)</a></p></td><td><p>Stage V engines provisionally EU type-approved in accordance with Article 35 of Regulation (EU) 2016/1628 <a>(<span>1</span>)</a></p></td><td><p>Engines using the exemption or transition provision set out in Article 32(2) of Regulation (EU) 2016/1628</p></td></tr><tr><td><p>Paragraph number of Article 34 of Regulation (EU) 2016/1628</p></td><td><p>Paragraph number of Article 58 of Regulation (EU) 2016/1628</p></td></tr><tr><td><p>1</p></td><td><p>2</p></td><td><p>4</p></td><td><p>5</p></td><td><p>6</p></td><td><p>7</p></td><td><p>8</p></td><td><p>5 <a>(<span>1</span>)</a></p></td><td><p>10</p></td><td><p>11(a)</p></td><td><p>11(b)</p></td></tr><tr><td><p>Name, registered trade name or registered trade mark of manufacturer</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Engine type designation or, in the case of an engine type within an engine family, either the FT or the engine family designation</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Unique engine identification number unequivocally attributed to the particular engine</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>EU type-approval number as described in Annex V, or alternatively the mark of the EU type-approval number set out in Appendix 2</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Engine production date <a>(<span>2</span>)</a></p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Lower case letter ‘e’ followed by the distinguishing number of the Member State informed of the field testing program, as set out in point 2.1 of Annex V</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Markings in accordance with the applicable legislation on 5 October 2016</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>EC type-approval number issued in accordance with Directive 97/68/EC <a>(<span>3</span>)</a></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>X</p></td><td><p> </p><div/></td></tr><tr><td><p><span><a><span>►M1</span></a></span> Applicable exemption code (EM) or transition code (TR) from column 4 of Table 1 of Appendix 2 to Annex II<span> ◄</span></p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><p>Applicable text for supplementary information from column 5 of Table 1 of Appendix 2 to Annex II</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td><td><p> </p><div/></td><td><p>X</p></td><td><p>X</p></td><td><p>X</p></td></tr><tr><td><div><a>(<span>1</span>)   </a><p>Including engines exempted by Article 34(3) of Regulation (EU) 2016/1628.</p></div><div><a>(<span>2</span>)   </a><p>Alternatively, for engine categories NRSh and NRS excluding sub-categories NRS-v-2b and NRS-v-3 and where engine and non-road mobile machinery are fully integrated and cannot be identified as separate components, indicate the non-road mobile machinery production date.</p></div><div><a>(<span>3</span>)   </a><p>Alternatively, indicate the EC type-approval number of the equivalent EC type-approval set out in Annex XII to Directive 97/68/EC.</p></div></td></tr></tbody></table>
Appendix 2
Mark of the EU type-approval number
1. The mark of the EU type-approval number may be used in the statutory marking instead of the EU type-approval number; it shall consist of:
1.1. A rectangle surrounding the lower case letter ‘e’, followed by the distinguishing number of the Member State which has granted the EU type-approval, as set out in point 2.1 of Annex V;
1.2. In the vicinity of the rectangle:
(a) the applicable Engine Category Identification Code from column 4 of Table 1 in Appendix 1 to Annex V followed by a slash (‘/’) and the applicable Fuelling Type Code from column 3 of Table 2 of Appendix 1 to Annex V;
(b) the character ‘V’ representing the compliance with the provisions of Regulation (EU) 2016/1628 followed by a hyphen (‘-’) and the sequential number of the EU type-approval set out in point 2.4 of Annex V.
2. Examples of the lay-out of the mark of the EU type-approval number with fictive sequential numbers for explanation purposes shown in various lay-outs:
2.1. Example 1
Mark of the EU type-approval number:
e4*2016/1628*2017/RRRSHB3/P*0078*03
<table><col/><col/><col/><tbody><tr><td><p><img/></p></td><td><p><img/></p></td><td><p><img/></p></td></tr><tr><td><p><span>Lay-out 1</span></p></td><td><p><span>Lay-out 2</span></p></td><td><p><span>Lay-out 3</span></p></td></tr></tbody></table>
2.2. Example 2
Mark of the EU type-approval number:
e2*2016/1628*2017/RRREC3/1A7*0003*00
<table><col/><col/><col/><tbody><tr><td><p><img/></p></td><td><p><img/></p></td><td><p><img/></p></td></tr><tr><td><p><span>Lay-out 1</span></p></td><td><p><span>Lay-out 2</span></p></td><td><p><span>Lay-out 3</span></p></td></tr></tbody></table>
2.3. Example 3
Mark of the EU type-approval number:
e12*2016/1628*2017/RRRLV1S/D*0331*02
<table><col/><col/><col/><tbody><tr><td><p><img/></p></td><td><p><img/></p></td><td><p><img/></p></td></tr><tr><td><p><span>Lay-out 1</span></p></td><td><p><span>Lay-out 2</span></p></td><td><p><span>Lay-out 3</span></p></td></tr></tbody></table>
ANNEX IV
Templates for the EU type-approval certificate
EU TYPE-APPROVAL CERTIFICATE
EU TYPE-APPROVAL CERTIFICATE FOR AN ENGINE TYPE OR AN ENGINE FAMILY FOR NON-ROAD MOBILE MACHINERY IN ACCORDANCE WITH REGULATION (EU) 2016/1628
Identification of approval authority
Communication concerning the:
<table><col/><col/><col/><tbody><tr><td><p>—  EU type-approval (<span>1</span>)</p><p>—  extension of EU type-approval (<span>1</span>)</p><p>—  refusal of EU type-approval (<span>1</span>)</p><p>—  withdrawal of EU type-approval (<span>1</span>)</p></td><td><table><col/><tbody><tr><td><img/></td></tr></tbody></table></td><td><p>of an engine type/ engine family (<span>1</span>)</p></td></tr></tbody></table>
with regard to gaseous and particulate pollutant emission pursuant to Regulation (EU) 2016/1628, as last amended by (Commission Delegated) ( 1 ) Regulation …/… ( 1 ) ( 2 ) (of the European Parliament and of the Council) ( 1 )
EU type-approval number ( 3 ): …
Reason for extension/refusal/withdrawal ( 1 ): …
SECTION I
1.1. Make (trade name(s) of manufacturer): …
1.2. Commercial name(s) (if applicable): …
1.3. Company name and address of manufacturer: …
1.4. Name and address of manufacturer's authorised representative (if any): …
1.5. Name(s) and address(es) of assembly/manufacture plant(s): …
1.6. Engine type designation/engine family designation/FT ( 1 ): …
1.7. Category and sub-category of the engine type/engine family ( 1 ) ( 4 ): …
1.8. Emissions durability period category: Not Applicable/Cat 1/Cat 2/Cat 3 ( 1 )
1.9. Emissions stage: V/ SPE
1.10. Engine for snow throwers ( 5 ): Yes/No ( 1 )
SECTION II
1. Technical service responsible for carrying out the test(s): …
2. Date(s) of the test report(s): …
3. Number(s) of the test report(s): …
SECTION III
The undersigned hereby certifies the accuracy of the manufacturer's description in the attached information document of the engine type/engine family ( 1 ) described above, for which one or more representative samples, selected by the approval authority, have been submitted as prototypes and that the attached test results apply to the engine type/engine family ( 1 ).
1. The engine type/engine family ( 1 ) meets/does not meet ( 1 ) the requirements laid down in Regulation (EU) 2016/1628.
2. The approval is granted/extended/refused/withdrawn ( 1 )
3. The approval is granted in accordance with Article 35 of Regulation (EU) 2016/1628 and the validity of the approval is thus limited to dd/mm/yyyy ( 3 )
4. Restrictions to validity ( 3 ) ( 6 ): …
5. Exemptions applied ( 3 ) ( 6 ): …
Place: …
Date: …
Name and signature (or visual representation of an ‘advanced electronic signature’ according to Regulation (EU) No 910/2014, including data for verification): …
Attachments:
Information package
Test report(s)
Where applicable, the name(s) and specimen(s) of the signature(s) of the person(s) authorised to sign statement of conformity and a statement of their position in the company
Where applicable, a completed specimen of a statement of conformity
NB: If this model is used for EU type-approval of an engine as an exemption for new technologies or new concepts, pursuant to Article 35(4) of Regulation (EU) 2016/1628, the heading of the certificate shall read ‘PROVISIONAL EU TYPE-APPROVAL CERTIFICATE VALID ONLY ON THE TERRITORY OF … ( 7 )’.
Addendum
EU type-approval number: …
PART A — CHARACTERISTICS OF THE ENGINE TYPE/ENGINE FAMILY ( 1 )
2. Common design parameters of the engine type/engine family ( 1 )
<table><col/><col/><tr><td><p>2.1.</p></td><td><p>Combustion Cycle: four stroke cycle/two stroke cycle/rotary/other: … (describe) (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.2.</p></td><td><p>Ignition Type: Compression ignition/spark ignition (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.3.1.</p></td><td><p>Position of the cylinders in the block: V/in-line/radial/other(describe) (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.6</p></td><td><p>Main Cooling medium: Air/Water/Oil (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.7.</p></td><td><p>Method of air aspiration: naturally aspirated/pressure charged/pressure charged with charge cooler (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.8.1.</p></td><td><p>Fuel Type(s): Diesel (non-road gas-oil)/Ethanol for dedicated compression ignition engines (ED95)/Petrol (E10)/Ethanol (E85)/(Natural gas/Biomethane)/Liquid Petroleum Gas (LPG) (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.8.1.1.</p></td><td><p>Sub Fuel type (Natural gas/Biomethane only): Universal fuel — high calorific fuel (H-gas) and low calorific fuel (L-gas)/Restricted fuel — high calorific fuel (H-gas)/Restricted fuel — low calorific fuel (L-gas)/Fuel specific (LNG);</p></td></tr></table>
<table><col/><col/><tr><td><p>2.8.2.</p></td><td><p>Fuelling arrangement: Liquid-fuel only/Gaseous-fuel only/Dual-fuel type 1A/Dual-fuel type 1B/Dual-fuel type 2A/Dual-fuel type 2B/Dual-fuel type 3B (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.8.3.</p></td><td><p>List of additional fuels compatible with use by the engine declared by the manufacturer in accordance with point 1 of Annex I to Delegated Regulation (EU) 2017/654 (provide reference to recognised standard or specification): …</p></td></tr></table>
<table><col/><col/><tr><td><p>2.8.4.</p></td><td><p>Lubricant added to fuel: Yes/No (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.8.5.</p></td><td><p>Fuel supply type: Pump (high pressure) line and injector/in-line pump or distributor pump/Unit injector/Common rail/Carburettor)/port injector/direct injector/Mixing unit/other(specify) (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.9.</p></td><td><p>Engine management systems: mechanical/electronic control strategy (<span>1</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>2.10.</p></td><td><span><span>Miscellaneous devices: Yes/No</span></span> (<span>1</span>)<table><col/><col/><tr><td><p>2.10.1.</p></td><td><p>Exhaust gas recirculation (EGR): Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>2.10.2.</p></td><td><p>Water injection: Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>2.10.3.</p></td><td><p>Air injection: Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>2.10.4.</p></td><td><p>Others (specify): …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>2.11.</p></td><td><span><span>Exhaust after-treatment system: Yes/No</span></span> (<span>1</span>)<table><col/><col/><tr><td><p>2.11.1.</p></td><td><p>Oxidation catalyst: Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.2.</p></td><td><p>DeNO<span>x</span> system with selective reduction of NO<span>x</span> (addition of reducing agent): Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.3.</p></td><td><p>Other DeNO<span>x</span> systems: Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.4.</p></td><td><p>Three-way catalyst combining oxidation and NO<span>x</span> reduction: Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.5.</p></td><td><p>Particulate after-treatment system with passive regeneration: Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.6.</p></td><td><p>Particulate after-treatment system with active regeneration: Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>2.11.7.</p></td><td><p>Other particulate after-treatment systems: Yes/No (<span>1</span>)</p></td></tr></table><p><a>▼M1</a></p><table><col/><col/><tr><td><p>2.11.8.</p></td><td><p>Other after-treatment devices (specify): …</p></td></tr></table><table><col/><col/><tr><td><p>2.11.9.</p></td><td><p>Other devices or features that have a strong influence on emissions (specify): …</p></td></tr></table><p><a>▼B</a></p></td></tr></table>
3. Essential characteristics of the engine type(s)
<table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Item Number</p></td><td><p>Item Description</p></td><td><p>Parent Engine / Engine type</p></td><td><p>Engine types within the family (if applicable)</p></td></tr><tr><td><p>3.1.1.</p></td><td><p>Engine Type Designation:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.1.2.</p></td><td><p>Engine type designation shown on engine mark: Yes/No (<span>1</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.1.3.</p></td><td><p>Location of the manufacturer's statutory marking:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.1.</p></td><td><p>Declared rated speed (rpm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.1.2.</p></td><td><p>Declared rated net Power (kW):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.2.</p></td><td><p>Maximum power speed (rpm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.2.2.</p></td><td><p>Maximum net power (kW):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.3.</p></td><td><p>Declared maximum torque speed (rpm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.2.3.2.</p></td><td><p>Declared maximum torque (Nm):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.3.</p></td><td><p>Number of Cylinders:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.6.4.</p></td><td><p><span><a><span>►M1</span></a></span> Engine total swept volume (cm<span>3</span>):<span> ◄</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.5.</p></td><td><p>Device for recycling crankcase gases: Yes/No (<span>1</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.12.</p></td><td><p>Consumable reagent: Yes/No (<span>1</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.12.1.</p></td><td><p>Type and concentration of reagent needed for catalytic action:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.13.</p></td><td><p>NO<span>x</span> sensor(s): Yes/No (<span>1</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.3.14.</p></td><td><p>Oxygen sensor: Yes/No (<span>1</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.4.7.</p></td><td><p>Fuel borne catalyst (FBC): Yes/No (<span>1</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Particular conditions to be respected in the installation of the engine on non-road mobile machinery:</p></td></tr><tr><td><p>3.8.1.1.</p></td><td><p>Maximum allowable intake depression at 100 % engine speed and at 100 % load (kPa) with clean air cleaner:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.3.2.</p></td><td><p>Maximum charge air cooler outlet temperature at 100 % speed and 100 % load (deg. C):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.8.3.3.</p></td><td><p>Maximum allowable pressure drop across charge cooler at 100 % engine speed and at 100 % load (kPa) (if applicable):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.9.3.</p></td><td><p>Maximum permissible exhaust gas back-pressure at 100 % engine speed and at 100 % load (kPa):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.9.3.1.</p></td><td><p>Location of measurement:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.1.2</p></td><td><p>Maximum temperature drop from exhaust system or turbine outlet to first exhaust after-treatment system (deg. C) if stated:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>3.11.1.2.1.</p></td><td><p>Test conditions for measurement:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table>
PART B — TEST RESULTS
<table><col/><col/><tr><td><p>3.8.</p></td><td><p>Manufacturer intends to use ECU torque signal for in-service monitoring: Yes/No (<span>1</span>)</p><table><col/><col/><tr><td><p>3.8.1.</p></td><td><p>Dynamometer torque greater than or equal to 0,93 × ECU torque: Yes/No (<span>1</span>)</p></td></tr></table><table><col/><col/><tr><td><p>3.8.2.</p></td><td><p>ECU torque correction factor in case that dynamometer torque less than 0,93 × ECU torque:</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>11.1</p></td><td>Cycle emissions results<p><br/></p><div><p><br/></p><table><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Emissions</p></td><td><p>CO (g/kWh)</p></td><td><p>HC (g/kWh)</p></td><td><p>NO<span>x</span> (g/kWh)</p></td><td><p>HC+NO<span>x</span> (g/kWh)</p></td><td><p>PM (g/kWh)</p></td><td><p>PN #/kWh</p></td><td><p>Test Cycle (<span>8</span>)</p></td></tr><tr><td><p>NRSC final result with DF.</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>NRTC Final test result with DF</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table>
<table><col/><col/><tr><td><p>11.2</p></td><td><p>CO<span>2</span> result:</p></td></tr></table>
<table><col/><col/><tr><td><p>11.3.</p></td><td>In service monitoring reference values (<span>9</span>)<div><p>11.3.1.<span> </span>Reference work (kWh): …</p></div><div><p>11.3.2.<span> </span>Reference CO<span>2</span> mass (g): …</p></div></td></tr></table>
Explanatory notes to Annex IV:
(Footnote markers, footnotes and explanatory notes not to be stated on the EU type-approval certificate)
( 1 ) Strike out the unused options, or only show the used option(s).
( 2 ) Indicate only the latest amendment in case of an amendment of one or more Articles of Regulation (EU) 2016/1628, according to the amendment applied for the EU type-approval.
( 3 ) Delete this entry when not applicable.
( 4 ) Indicate the applicable option for the category and sub-category in accordance with entry 1.7 of the information document set out in Part A of Appendix 3 to Annex I.
( 5 ) Indicate whether the approval is for a NRS (< 19 kW) engine family consisting exclusively of engine types for snow throwers.
( 6 ) Applicable only for EU type-approval of an engine type or an engine family as an exemption for new technologies or new concepts, pursuant to Article 35 of Regulation (EU) 2016/1628.
( 7 ) Indicate the Member State.
( 8 ) Indicate the test cycle in accordance with the fifth column of the Tables set out in Annex IV to Regulation (EU) 2016/1628.
( 9 ) Only applicable to engines of sub-categories NRE-v-5 and NRE-v-6 tested on NRTC.
ANNEX V
Numbering system of the EU type-approval certificate
<table><col/><col/><tr><td><p>1.</p></td><td><p>EU type-approval certificates shall be numbered in accordance with the method set out in this Annex.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.</p></td><td><p>The EU type-approval number shall consist of a total of five sections as detailed below. In all cases, the sections shall be separated by an asterisk (‘*’).</p><table><col/><col/><tr><td><p>2.1.</p></td><td><p>Section 1 denotes the Member State issuing the EU type-approval; begins with the lower-case letter ‘e’ and is followed by the distinguishing number of the Member State, applicable for all EU type-approval numbers:</p><p><br/></p><div><p><br/></p><table><col/><col/><col/><col/><tbody><tr><td><p>1</p></td><td><p>Germany</p></td><td><p>19</p></td><td><p>Romania</p></td></tr><tr><td><p>2</p></td><td><p>France</p></td><td><p>20</p></td><td><p>Poland</p></td></tr><tr><td><p>3</p></td><td><p>Italy</p></td><td><p>21</p></td><td><p>Portugal</p></td></tr><tr><td><p>4</p></td><td><p>The Netherlands</p></td><td><p>23</p></td><td><p>Greece</p></td></tr><tr><td><p>5</p></td><td><p>Sweden</p></td><td><p>24</p></td><td><p>Ireland</p></td></tr><tr><td><p>6</p></td><td><p>Belgium</p></td><td><p>25</p></td><td><p>Croatia</p></td></tr><tr><td><p>7</p></td><td><p>Hungary</p></td><td><p>26</p></td><td><p>Slovenia</p></td></tr><tr><td><p>8</p></td><td><p>Czech Republic</p></td><td><p>27</p></td><td><p>Slovakia</p></td></tr><tr><td><p>9</p></td><td><p>Spain</p></td><td><p>29</p></td><td><p>Estonia</p></td></tr><tr><td><p>11</p></td><td><p>United Kingdom</p></td><td><p>32</p></td><td><p>Latvia</p></td></tr><tr><td><p>12</p></td><td><p>Austria</p></td><td><p>34</p></td><td><p>Bulgaria</p></td></tr><tr><td><p>13</p></td><td><p>Luxembourg</p></td><td><p>36</p></td><td><p>Lithuania</p></td></tr><tr><td><p>17</p></td><td><p>Finland</p></td><td><p>49</p></td><td><p>Cyprus</p></td></tr><tr><td><p>18</p></td><td><p>Denmark</p></td><td><p>50</p></td><td><p>Malta</p></td></tr></tbody></table></div></td></tr></table><table><col/><col/><tr><td><p>2.2.</p></td><td><p>Section 2: denotes the number Regulation (EU) 2016/1628 of the European Parliament and of the Council in the form 2016/1628.</p></td></tr></table><table><col/><col/><tr><td><p>2.3.</p></td><td><p>Section 3 denotes three separate elements:</p><div><div><span>2.3.1. </span></div><div><p>the number of the latest amending Regulation applicable to the EU type-approval. If there is no amending Regulation, the Regulation referred to in point 2.2 is repeated;</p></div></div><div><div><span>2.3.2. </span></div><div><p>this number is followed by the applicable Engine Category Identification Code from column 4 of Table 1 in Appendix 1;</p></div></div><div><div><span>2.3.3. </span></div><div><p>to be further followed by a slash (‘/’) and the applicable Fuel Type Code from column 3 of Table 2 of Appendix 1;</p></div></div><div><div><span>2.3.3.1. </span></div><div><p>in the case of dual fuel engines, the applicable Duel Fuel Suffix from column 2 of Table 3 is added to denote the gaseous fuel;</p></div></div></td></tr></table><table><col/><col/><tr><td><p>2.4.</p></td><td><p>Section 4: denotes the EU type-approval number and consists of a sequential number with leading zeros (as applicable) and four digits starting from ‘0001’;</p></td></tr></table><table><col/><col/><tr><td><p>2.5.</p></td><td><p>Section 5: denotes the extension number of the EU type-approval and consists of a two-digit sequential number, with leading zero (as applicable) starting from ‘00’.</p></td></tr></table><table><col/><col/><tr><td><p>2.6.</p></td><td><p>Where used on the engine's statutory marking only, section 2.5 shall be omitted.</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>3.</p></td><td>Lay-out of the EU type-approval numbers, with fictive sequential numbers for explanation purposes<table><col/><col/><tr><td><p>3.1.</p></td><td><p><span><a><span>►M1</span></a></span> Example of a EU type-approval number of an NRSh-v-1b engine operating on petrol fuel, issued by the Netherlands, which has been extended three times:<span> ◄</span></p><p>e4*2016/1628*2017/RRRSHB3/P*0078*03</p><p>e4 = The Netherlands (section 1)</p><p>2016/1628 = Regulation (EU) 2016/1628 (section 2)</p><p>2017/RRRSHB3/P = Regulation (EU) 2017/RRR to denote the latest amending Regulation and the characters ‘SHB3/P’ to indicate that is an engine of category and subcategory NRSh-v-1b, with EDP Category 3, operating on petrol, in accordance with the Codes set out in Tables 1 and 2 of Appendix 1 respectively (section 3).</p><p>0078 = EU type-approval sequential number (section 4)</p><p>03 = extension number (section 5)</p><p>Where used for statutory marking this number would be displayed as:</p><p>e4*2016/1628*2017/RRRSHB3/P*0078</p></td></tr></table><table><col/><col/><tr><td><p>3.2.</p></td><td><p><span><a><span>►M1</span></a></span> Example of a EU type-approval number of a NRE-c-3 type 1A dual fuel engine operating on gaseous fuel of type LN2 (a specific liquefied natural gas/liquefied biomethane composition resulting in a λ-shift factor not differing by more than 3 per cent the λ-shift factor of the G20 gas specified in Annex I to Delegated Regulation (EU) 2017/654 and the ethane content of which does not exceed 1,5 per cent), which has not yet been extended, issued by France:<span> ◄</span></p><p>e2*2016/1628*2016/1628EC3/1A7*0003*00</p><p>e2 = France (section 1)</p><p>2016/1628 = Regulation (EU) 2016/1628 (section 2)</p><p>2016/1628EC3/1A7 = repeats Regulation (EU) 2016/1628 to denote that it has not been amended. The characters ‘EC3’ denote that is a NRE-c-3 engine. The characters ‘1A’ denote it is a dual fuel engine of type ‘1A’. The suffix 7 to denote that the gaseous fuel is of type ‘LN2’ (a specific liquefied natural gas / liquefied biomethane composition resulting in a λ-shift factor not differing by more than 3 per cent the λ-shift factor of the G<span>20</span> gas specified in Annex I to Delegated Regulation (EU) 2017/654 and the ethane content of which does not exceed 1,5 per cent), in accordance with the Codes set out in Tables 1 to 3 of Appendix 1 respectively (section 3).</p><p>0003 = EU type-approval sequential number (section 4)</p><p>00 = extension number (section 5)</p><p>Where used for statutory marking this number would be displayed as:</p><p>e2*2016/1628*2016/1628 EC3/1A7*0003</p></td></tr></table><table><col/><col/><tr><td><p>3.3.</p></td><td><p><span><a><span>►M1</span></a></span> Example of a EU type-approval number of a RLL-v-1 engine according to the SPE emission limits operating on diesel fuel, issued by Austria, which has been extended 2 times:<span> ◄</span></p><p>e12*2016/1628*2017/RRRLV1S/D*0331*02</p><p>e12 = Austria (section 1)</p><p>2016/1628 = Regulation (EU) 2016/1628 (section 2)</p><p>2017/RRRLV1S/D = Regulation (EU) 2017/RRR to denote the latest amending Regulation and the characters ‘LV1S/D’ to indicate that is a locomotive engine meeting the SPE emission limits type-approved to run on diesel, in accordance with the Codes set out in Tables 1 and 2 of Appendix 1 respectively (section 3).</p><p>0331 = EU type-approval sequential number (section 4)</p><p>02 = extension number (section 5)</p><p>Where used for statutory marking this number would be displayed as:</p><p>e12*2016/1628*2017/RRRLV1S/D*0331</p></td></tr></table></td></tr></table>
Appendix 1
Engine Category Identification Code for type approval mark
Table 1
Engine Category Identification Code for type approval mark
<table><col/><col/><col/><col/><tbody><tr><td><p>Engine Category</p><p>(column 1)</p></td><td><p>Engine Subcategory</p><p>(column 2)</p></td><td><p>EDP Category</p><p>(where applicable)</p><p>(column 3)</p></td><td><p>Engine Category Identification Code</p><p>(column 4)</p></td></tr><tr><td><p>Engines Subject to the exhaust emission limits in Annex II to Regulation (EU) 2016/1628</p></td></tr><tr><td><p>NRE</p></td><td><p>NRE-v-1</p></td><td><p> </p><div/></td><td><p>EV1</p></td></tr><tr><td><p>NRE-v-2</p></td><td><p> </p><div/></td><td><p>EV2</p></td></tr><tr><td><p>NRE-v-3</p></td><td><p> </p><div/></td><td><p>EV3</p></td></tr><tr><td><p>NRE-v-4</p></td><td><p> </p><div/></td><td><p>EV4</p></td></tr><tr><td><p>NRE-v-5</p></td><td><p> </p><div/></td><td><p>EV5</p></td></tr><tr><td><p>NRE-v-6</p></td><td><p> </p><div/></td><td><p>EV6</p></td></tr><tr><td><p>NRE-v-7</p></td><td><p> </p><div/></td><td><p>EV7</p></td></tr><tr><td><p>NRE-c-1</p></td><td><p> </p><div/></td><td><p>EC1</p></td></tr><tr><td><p>NRE-c-2</p></td><td><p> </p><div/></td><td><p>EC2</p></td></tr><tr><td><p>NRE-c-3</p></td><td><p> </p><div/></td><td><p>EC3</p></td></tr><tr><td><p>NRE-c-4</p></td><td><p> </p><div/></td><td><p>EC4</p></td></tr><tr><td><p>NRE-c-5</p></td><td><p> </p><div/></td><td><p>EC5</p></td></tr><tr><td><p>NRE-c-6</p></td><td><p> </p><div/></td><td><p>EC6</p></td></tr><tr><td><p>NRE-c-7</p></td><td><p> </p><div/></td><td><p>EC7</p></td></tr><tr><td><p>NRG</p></td><td><p>NRG-v-1</p></td><td><p> </p><div/></td><td><p>GV1</p></td></tr><tr><td><p>NRG-c-1</p></td><td><p> </p><div/></td><td><p>GC1</p></td></tr><tr><td><p>NRSh</p></td><td><p>NRSh-v-1a</p></td><td><p>Cat 1</p></td><td><p>SHA1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>SHA2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>SHA3</p></td></tr><tr><td><p>NRSh-v-1b</p></td><td><p>Cat 1</p></td><td><p>SHB1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>SHB2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>SHB3</p></td></tr><tr><td><p>NRS</p><p>(Other than those engines tested at low temperature only for use in snow throwers)</p></td><td><p>NRS-vr-1a</p></td><td><p>Cat 1</p></td><td><p>SRA1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>SRA2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>SRA3</p></td></tr><tr><td><p>NRS-vr-1b</p></td><td><p>Cat 1</p></td><td><p>SRB1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>SRB2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>SRB3</p></td></tr><tr><td><p>NRS-vi-1a</p></td><td><p>Cat 1</p></td><td><p>SYA1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>SYA2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>SYA3</p></td></tr><tr><td><p>NRS-vi-1b</p></td><td><p>Cat 1</p></td><td><p>SYB1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>SYB2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>SYB3</p></td></tr><tr><td><p>NRS-v-2a</p></td><td><p>Cat 1</p></td><td><p>SVA1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>SVA2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>SVA3</p></td></tr><tr><td><p>NRS-v-2b</p></td><td><p>Cat 1</p></td><td><p>SVB1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>SVB2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>SVB3</p></td></tr><tr><td><p>NRS-v-3</p></td><td><p>Cat 1</p></td><td><p>SV31</p></td></tr><tr><td><p>Cat 2</p></td><td><p>SV32</p></td></tr><tr><td><p>Cat 3</p></td><td><p>SV33</p></td></tr><tr><td><p>NRS</p><p>(Engines tested at low temperature only for use in snow thrower)</p></td><td><p>NRS-vr-1a</p></td><td><p>Cat 1</p></td><td><p>TRA1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>TRA2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>TRA3</p></td></tr><tr><td><p>NRS-vr-1b</p></td><td><p>Cat 1</p></td><td><p>TRB1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>TRB2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>TRB3</p></td></tr><tr><td><p>NRS-vi-1a</p></td><td><p>Cat 1</p></td><td><p>TYA1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>TYA2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>TYA3</p></td></tr><tr><td><p>NRS-vi-1b</p></td><td><p>Cat 1</p></td><td><p>TYB1</p></td></tr><tr><td><p>Cat 2</p></td><td><p>TYB2</p></td></tr><tr><td><p>Cat 3</p></td><td><p>TYB3</p></td></tr><tr><td><p>IWP</p></td><td><p>IWP-v-1</p></td><td><p> </p><div/></td><td><p>PV1</p></td></tr><tr><td><p>IWP-v-2</p></td><td><p> </p><div/></td><td><p>PV2</p></td></tr><tr><td><p>IWP-v-3</p></td><td><p> </p><div/></td><td><p>PV3</p></td></tr><tr><td><p>IWP-v-4</p></td><td><p> </p><div/></td><td><p>PV4</p></td></tr><tr><td><p>IWP-c-1</p></td><td><p> </p><div/></td><td><p>PC1</p></td></tr><tr><td><p>IWP-c-2</p></td><td><p> </p><div/></td><td><p>PC2</p></td></tr><tr><td><p>IWP-c-3</p></td><td><p> </p><div/></td><td><p>PC3</p></td></tr><tr><td><p>IWP-c-4</p></td><td><p> </p><div/></td><td><p>PC4</p></td></tr><tr><td><p>IWA</p></td><td><p>IWA-v-1</p></td><td><p> </p><div/></td><td><p>AV1</p></td></tr><tr><td><p>IWA-v-2</p></td><td><p> </p><div/></td><td><p>AV2</p></td></tr><tr><td><p>IWA-v-3</p></td><td><p> </p><div/></td><td><p>AV3</p></td></tr><tr><td><p>IWA-v-4</p></td><td><p> </p><div/></td><td><p>AV4</p></td></tr><tr><td><p>IWA-c-1</p></td><td><p> </p><div/></td><td><p>AC1</p></td></tr><tr><td><p>IWA-c-2</p></td><td><p> </p><div/></td><td><p>AC2</p></td></tr><tr><td><p>IWA-c-3</p></td><td><p> </p><div/></td><td><p>AC3</p></td></tr><tr><td><p>IWA-c-4</p></td><td><p> </p><div/></td><td><p>AC4</p></td></tr><tr><td><p>RLL</p></td><td><p>RLL-v-1</p></td><td><p> </p><div/></td><td><p>LV1</p></td></tr><tr><td><p>RLL-c-1</p></td><td><p> </p><div/></td><td><p>LC1</p></td></tr><tr><td><p>RLR</p></td><td><p>RLR-v-1</p></td><td><p> </p><div/></td><td><p>RV1</p></td></tr><tr><td><p>RLR-c-1</p></td><td><p> </p><div/></td><td><p>RC1</p></td></tr><tr><td><p>SMB</p></td><td><p>SMB-v-1</p></td><td><p> </p><div/></td><td><p>SM1</p></td></tr><tr><td><p>ATS</p></td><td><p>ATS-v-1</p></td><td><p> </p><div/></td><td><p>AT1</p></td></tr><tr><td><p>Engines Subject to the exhaust emission limits in Annex VI to Regulation (EU) 2016/1628</p><p>SPE</p></td></tr><tr><td><p>SPE-NRE</p></td><td><p>SPE-NRE-v-1</p></td><td><p> </p><div/></td><td><p>EV1S</p></td></tr><tr><td><p>SPE-NRE-v-2</p></td><td><p> </p><div/></td><td><p>EV2S</p></td></tr><tr><td><p>SPE-NRE-v-3</p></td><td><p> </p><div/></td><td><p>EV3S</p></td></tr><tr><td><p>SPE-NRE-v-4</p></td><td><p> </p><div/></td><td><p>EV4S</p></td></tr><tr><td><p>SPE-NRE-v-5</p></td><td><p> </p><div/></td><td><p>EV5S</p></td></tr><tr><td><p>SPE-NRE-v-6</p></td><td><p> </p><div/></td><td><p>EV6S</p></td></tr><tr><td><p>SPE-NRE-v-7</p></td><td><p> </p><div/></td><td><p>EV7S</p></td></tr><tr><td><p>SPE-NRE-c-1</p></td><td><p> </p><div/></td><td><p>EC1S</p></td></tr><tr><td><p>SPE-NRE-c-2</p></td><td><p> </p><div/></td><td><p>EC2S</p></td></tr><tr><td><p>SPE-NRE-c-3</p></td><td><p> </p><div/></td><td><p>EC3S</p></td></tr><tr><td><p>SPE-NRE-c-4</p></td><td><p> </p><div/></td><td><p>EC4S</p></td></tr><tr><td><p>SPE-NRE-c-5</p></td><td><p> </p><div/></td><td><p>EC5S</p></td></tr><tr><td><p>SPE-NRE-c-6</p></td><td><p> </p><div/></td><td><p>EC6S</p></td></tr><tr><td><p>SPE-NRE-c-7</p></td><td><p> </p><div/></td><td><p>EC7S</p></td></tr><tr><td><p>SPE-NRG</p></td><td><p>SPE-NRG-v-1</p></td><td><p> </p><div/></td><td><p>GV1S</p></td></tr><tr><td><p>SPE-NRG-c-1</p></td><td><p> </p><div/></td><td><p>GC1S</p></td></tr><tr><td><p>SPE-RLL</p></td><td><p>SPE-RLL-v-1</p></td><td><p> </p><div/></td><td><p>LV1S</p></td></tr><tr><td><p>SPE-RLL-c-1</p></td><td><p> </p><div/></td><td><p>LC1S</p></td></tr></tbody></table>
Table 2
Fuelling type codes for approval marks
<table><col/><col/><col/><tbody><tr><td><p>Engine Fuel type</p><p>(column 1)</p></td><td><p>Sub-type, where applicable</p><p>(column 2)</p></td><td><p>Fuel Type Code</p><p>(column 3)</p></td></tr><tr><td><p>Diesel (non-road gas-oil) fuelled CI engine</p></td><td><p> </p><div/></td><td><p>D</p></td></tr><tr><td><p>Dedicated Ethanol (ED95) fuelled CI engine</p></td><td><p> </p><div/></td><td><p>ED</p></td></tr><tr><td><p>Ethanol (E85) fuelled SI engine</p></td><td><p> </p><div/></td><td><p>E85</p></td></tr><tr><td><p>Petrol (E10) fuelled SI engine</p></td><td><p> </p><div/></td><td><p>P</p></td></tr><tr><td><p>LPG fuelled SI engine</p></td><td><p> </p><div/></td><td><p>Q</p></td></tr><tr><td><p>Natural gas/biomethane fuelled SI engine</p></td><td><p>Engine approved and calibrated for the H-range of gases</p></td><td><p>H</p></td></tr><tr><td><p>Engine approved and calibrated for the L-range of gases</p></td><td><p>L</p></td></tr><tr><td><p>Engine approved and calibrated for both the H-range and L-range of gases</p></td><td><p>HL</p></td></tr><tr><td><p>Engine approved and calibrated for a specific gas composition in the H-range of gases and transformable to another specific gas in the H-range of gases by fine tuning of the engine fuelling</p></td><td><p>HT</p></td></tr><tr><td><p>Engine approved and calibrated for a specific gas composition in the L-range of gases and transformable to another specific gas in the L-range of gases after fine tuning of the engine fuelling</p></td><td><p>LT</p></td></tr><tr><td><p>Engine approved and calibrated for a specific gas composition in either the H-range or the L-range of gases and transformable to another specific gas in either the H-range or the L-range of gases by fine tuning of the engine fuelling</p></td><td><p>HLT</p></td></tr><tr><td><p>Engine approved and calibrated for a specific liquefied natural gas / liquefied biomethane composition resulting in a λ-shift factor not differing by more than 3 per cent the λ-shift factor of the G<span>20</span> gas specified in Annex I to Delegated Regulation (EU) 2017/654 and the ethane content of which does not exceed 1,5 per cent</p></td><td><p>LN2</p></td></tr><tr><td><p>Engine approved and calibrated for any other (than above) liquefied natural gas / liquefied biomethane composition.</p></td><td><p>LNG</p></td></tr><tr><td><p>Dual-fuel engines</p></td><td><p>for dual-fuel engines of Type 1A</p></td><td><p>1A# <a>(<span>*1</span>)</a></p></td></tr><tr><td><p>for dual-fuel engines of Type 1B</p></td><td><p>1B# <a>(<span>*1</span>)</a></p></td></tr><tr><td><p>for dual-fuel engines of Type 2A</p></td><td><p>2A# <a>(<span>*1</span>)</a></p></td></tr><tr><td><p>for dual-fuel engines of Type 2B</p></td><td><p>2B# <a>(<span>*1</span>)</a></p></td></tr><tr><td><p>for dual-fuel engines of Type 3B</p></td><td><p>3B# <a>(<span>*1</span>)</a></p></td></tr><tr><td><div><a>(<span>*1</span>)   </a><p>Replace ‘#’ with approved gas specification from Table 3.</p></div></td></tr></tbody></table>
Table 3
Dual Fuel Suffix
<table><col/><col/><tbody><tr><td><p>Approved Gas specification</p></td><td><p>Dual Fuel Suffix</p><p>(column 2)</p></td></tr><tr><td><p>Dual fuel engine approved and calibrated for the H-range of gases as gaseous component of fuel</p></td><td><p>1</p></td></tr><tr><td><p>Dual fuel engine approved and calibrated for te L-range of gases as gaseous component of fuel</p></td><td><p>2</p></td></tr><tr><td><p>Dual fuel engine being and calibrated for both the H-range and L-range of gases as gaseous component of fuel</p></td><td><p>3</p></td></tr><tr><td><p>Dual fuel engine approved and calibrated for a specific gas composition in the H-range of gases and transformable to another specific gas in the H-range of gases by fine tuning of the engine fuelling as gaseous component of fuel</p></td><td><p>4</p></td></tr><tr><td><p>Dual fuel engine approved and calibrated for a specific gas composition in the L-range of gases and transformable to another specific gas in the L-range of gases after fine tuning of the engine fuelling as gaseous component of fuel</p></td><td><p>5</p></td></tr><tr><td><p>Dual fuel engine approved and calibrated for a specific gas composition in either the H-range or the L-range of gases and transformable to another specific gas in either the H-range or the L-range of gases by fine tuning of the engine fuelling as gaseous component of fuel</p></td><td><p>6</p></td></tr><tr><td><p>Dual fuel engine approved and calibrated for a specific liquefied natural gas / liquefied biomethane composition resulting in a λ-shift factor not differing by more than 3 per cent the λ-shift factor of the G<span>20</span> gas specified in Annex I to Delegated Regulation (EU) 2017/654 and the ethane content of which does not exceed 1,5 per cent as gaseous component of fuel</p></td><td><p>7</p></td></tr><tr><td><p>Dual fuel engine approved and calibrated for any other (than above) liquefied natural gas / liquefied biomethane composition as gaseous component of fuel</p></td><td><p>8</p></td></tr><tr><td><p>Dual fuel engine approved for operation on LPG as gaseous component of fuel</p></td><td><p>9</p></td></tr></tbody></table>
ANNEX VI
The single format of the test report
1. General requirements
One test report shall be completed for each tests required for EU type-approval.
Each additional (e.g. a second speed on a constant speed engine) or supplementary test (e.g. another fuel is tested) will require an additional or supplementary test report.
2. Explanatory notes on creation of a test report
<table><col/><col/><tr><td><p>2.1.</p></td><td><p>A test report shall contain at least the information set out in Appendix 1;</p></td></tr></table>
<table><col/><col/><tr><td><p>2.2.</p></td><td><p>Notwithstanding point 2.1, only those sections or sub-sections relevant for the particular test and for the particular engine family, engine types within the engine family or engine type tested need to be stated in the test report (e.g. if a NRTC is not run this section may be omitted);</p></td></tr></table>
<table><col/><col/><tr><td><p>2.3.</p></td><td><p>The test report may contain more information than that requested in point 2.1 but in any case, shall adhere to the proposed numbering system;</p></td></tr></table>
<table><col/><col/><tr><td><p>2.4.</p></td><td><p>Where several options separated by forward slash are given for an entry, the unused options shall be struck out, or only the used option(s) shall be shown;</p></td></tr></table>
<table><col/><col/><tr><td><p>2.5.</p></td><td><p>Where a ‘type’ of a component is requested, the information supplied shall uniquely identify the component; this may be a list of characteristic, a manufacturers' name and part or drawing number, a drawing, or a combination of the aforementioned or other methods that achieves the same result.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.6.</p></td><td><p>The test report may be delivered on paper or in an electronic format agreed between the manufacturer, technical service and approval authority.</p></td></tr></table>
Appendix 1
Template for the single format of the test report
TEST REPORT FOR NON-ROAD ENGINES
1. General Information
<table><col/><col/><tr><td><p>1.1.</p></td><td><p>Make(s) (trade name(s) of manufacturer): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.2.</p></td><td><p>Commercial name(s) (if applicable): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.3.</p></td><td><p>Company name and address of manufacturer: …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.4.</p></td><td><p>Name of technical service: …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.5.</p></td><td><p>Address of technical service: …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.6.</p></td><td><p>Location of test: …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.7.</p></td><td><p>Date of test: …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.8.</p></td><td><p>Test report number: …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.9.</p></td><td><p>Information document reference number (if available): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.10.</p></td><td><p>Test report type: Primary test/additional test/supplementary test</p><table><col/><col/><tr><td><p>1.10.1.</p></td><td><p>Description of the purpose of the test: …</p></td></tr></table></td></tr></table>
2. General engine information (test engine)
<table><col/><col/><tr><td><p>2.1.</p></td><td><p>Engine type designation/engine family designation/FT: …</p></td></tr></table>
<table><col/><col/><tr><td><p>2.2.</p></td><td><p>Engine identification number: …</p></td></tr></table>
<table><col/><col/><tr><td><p>2.3.</p></td><td><p>Engine Category and subcategory: NRE-v-1/NRE-v-2/NRE-v-3/NRE-v-4/NRE-v-5/NRE-v-6/NRE-v-7/NRE-c-1/NRE-c-2/NRE-c-3/NRE-c-4/NRE-c-5/NRE-c-6/NRE-c-7/NRG-v-1/NRG-c-1/NRSh-v-1a/NRSh-v-1b/NRS-vr-1a/NRS-vr-1b/ NRS-vi-1a/NRS-vi-1b/NRS-v-2a/NRS-v-2b/NRS-v-3/IWP-v-1/IWP-v-2/IWP-v-3/IWP-v-4/IWP-c-1/IWP-c-2/IWP-c-3/IWP-c-4/IWA-v-1/IWA-v-2/IWA-v-3/IWA-v-4/IWA-c-1/IWA-c-2/IWA-c-3/IWA-c-4/RLL-v-1/RLL-C-1/RLR-v-1/RLR-C-1/SMB-v-1/ATS-v-1</p></td></tr></table>
3. Documentation and information Check list (primary test only)
<table><col/><col/><tr><td><p>3.1.</p></td><td><p>Engine mapping documentation reference: …</p></td></tr></table>
<table><col/><col/><tr><td><p>3.2.</p></td><td><p>Deterioration factor determination documentation reference: …</p></td></tr></table>
<table><col/><col/><tr><td><p>3.3.</p></td><td><p>Infrequent regeneration factors determination documentation reference, where applicable: …</p></td></tr></table>
<table><col/><col/><tr><td><p>3.4.</p></td><td><p>NO<span>x</span> control diagnostic demonstration documentation reference, where applicable: …</p></td></tr></table>
<table><col/><col/><tr><td><p>3.5.</p></td><td><p>Particulate control diagnostic demonstration documentation reference, where applicable:</p></td></tr></table>
<table><col/><col/><tr><td><p>3.6.</p></td><td><p>For engine types and engine families that use an ECU as part of the emission control system anti-tampering declaration documentation reference: …</p></td></tr></table>
<table><col/><col/><tr><td><p>3.7.</p></td><td><p>For engine types and engine families that use mechanical devices as part of the emission control system anti-tampering and adjustable parameters declaration and demonstration documentation reference: …</p></td></tr></table>
<table><col/><col/><tr><td><p>3.8.</p></td><td><p>Manufacturer intends to use ECU torque signal for in-service monitoring: Yes/No</p><table><col/><col/><tr><td><p>3.8.1.</p></td><td><p>dynamometer torque greater than or equal to 0,93 × ECU torque: Yes/No</p></td></tr></table><table><col/><col/><tr><td><p>3.8.2.</p></td><td><p>ECU torque correction factor in case that dynamometer torque less than 0,93 × ECU torque: …</p></td></tr></table></td></tr></table>
4. Reference fuel(s) used for test (complete relevant subparagraph(s))
4.1. Liquid fuel for spark-ignition engines
<table><col/><col/><tr><td><p>4.1.1.</p></td><td><p>Make: …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.1.2.</p></td><td><p>Type: …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.1.3.</p></td><td><p>Octane number RON: …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.1.4.</p></td><td><p>Octane number MON: …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.1.5.</p></td><td><p>Ethanol content ( %): …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.1.6.</p></td><td><p>Density at 15 Deg.C (kg/m<span>3</span>): …</p></td></tr></table>
4.2. Liquid fuel for compression-ignition engines
<table><col/><col/><tr><td><p>4.2.1.</p></td><td><p>Make: …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.2.2.</p></td><td><p>Type: …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.2.3.</p></td><td><p>Cetane number: …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.2.4.</p></td><td><p>Fame content ( %): …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.2.5.</p></td><td><p>Density at 15 Deg.C (kg/m<span>3</span>): …</p></td></tr></table>
4.3. Gaseous fuel — LPG
<table><col/><col/><tr><td><p>4.3.1.</p></td><td><p>Make: …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.3.2.</p></td><td><p>Type: …</p></td></tr></table>
<table><col/><col/><tr><td><p>4.3.3.</p></td><td><p>Reference fuel type: Fuel A/Fuel B</p></td></tr></table>
<table><col/><col/><tr><td><p>4.3.4.</p></td><td><p>Octane number MON: …</p></td></tr></table>
4.4. Gaseous fuel- Methane/biomethane
<table><col/><col/><tr><td><p>4.4.1.</p></td><td><p>Reference fuel type: G<span>R</span>/G<span>23</span>/G<span>25</span>/G<span>20</span></p></td></tr></table>
<table><col/><col/><tr><td><p>4.4.2.</p></td><td><p>Source of reference gas: specific reference fuel/pipeline gas with admixture</p></td></tr></table>
<table><col/><col/><tr><td><p>4.4.3.</p></td><td>For specific reference fuel<table><col/><col/><tr><td><p>4.4.3.1.</p></td><td><p>Make: …</p></td></tr></table><table><col/><col/><tr><td><p>4.4.3.2.</p></td><td><p>Type: …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>4.4.4.</p></td><td>For pipeline gas with admixture<table><col/><col/><tr><td><p>4.4.4.1.</p></td><td><p>Admixture(s): Carbon dioxide/Ethane/Methane/Nitrogen/Propane</p></td></tr></table><table><col/><col/><tr><td><p>4.4.4.2.</p></td><td><p>The value of Sλ for the resulting fuel blend: …</p></td></tr></table><table><col/><col/><tr><td><p>4.4.4.3.</p></td><td><p>The Methane Number (MN) of the resulting fuel blend: …</p></td></tr></table></td></tr></table>
4.5. Dual fuel engine (in addition to relevant sections above)
<table><col/><col/><tr><td><p>4.5.1.</p></td><td><p>Gas energy ratio on test cycle: …</p></td></tr></table>
5. Lubricant
<table><col/><col/><tr><td><p>5.1.</p></td><td><p>Make(s): …</p></td></tr></table>
<table><col/><col/><tr><td><p>5.2.</p></td><td><p>Type(s): …</p></td></tr></table>
<table><col/><col/><tr><td><p>5.3.</p></td><td><p>SAE viscosity: …</p></td></tr></table>
<table><col/><col/><tr><td><p>5.4.</p></td><td><p>Lubricant and fuel are mixed: yes/no</p><table><col/><col/><tr><td><p>5.4.1.</p></td><td><p>Percentage of oil in mixture: …</p></td></tr></table></td></tr></table>
6. Engine Speed
<table><col/><col/><tr><td><p>6.1.</p></td><td><p>100 % speed (rpm): …</p><table><col/><col/><tr><td><p>6.1.1.</p></td><td><p>100 % speed determined by: Declared rated speed/Declared maximum test speed (MTS)/Measured MTS</p></td></tr></table><table><col/><col/><tr><td><p>6.1.2.</p></td><td><p>Adjusted MTS if applicable (rpm): …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>6.2.</p></td><td><p>Intermediate speed: …</p><table><col/><col/><tr><td><p>6.2.1.</p></td><td><p>Intermediate speed determined by: Declared intermediate speed/Measured intermediate speed/60 % of 100 % speed/75 % of 100 % speed/85 % of 100 % speed</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>6.3.</p></td><td><p>Idle speed: …</p></td></tr></table>
7. Engine Power
7.1. Engine driven equipment (if applicable)
<table><col/><col/><tr><td><p>7.1.1.</p></td><td><p>Power absorbed at indicated engine speeds by necessary auxiliaries for engine operation that cannot be fitted for the test (as specified by the manufacturer) to be stated in Table 1:</p><p><br/></p><div><p><br/></p><p><span>Table 1</span></p><p><span>Power absorbed by engine auxiliaries</span></p><table><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Auxiliary type and identifying details</p></td><td><p>Power absorbed by auxiliary (kW) at indicated engine speed</p><p>(complete relevant columns)</p></td></tr><tr><td><p>Idle</p></td><td><p>63 %</p></td><td><p>80 %</p></td><td><p>91 %</p></td><td><p>Inter-mediate</p></td><td><p>Max. power</p></td><td><p>100 %</p></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Total (P<span>f,i</span>):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table>
<table><col/><col/><tr><td><p>7.1.2.</p></td><td><p>Power absorbed at indicated engine speeds by auxiliaries linked with the operation of the non-road mobile machinery that cannot be removed for the test (as specified by the manufacturer) to be stated in Table 2:</p><p><br/></p><div><p><br/></p><p><span>Table 2</span></p><p><span>Power absorbed by non-road mobile machinery auxiliaries</span></p><table><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Auxiliary type and identifying details</p></td><td><p>Power absorbed by auxiliary (kW) at indicated engine speed</p><p>(complete relevant columns)</p></td></tr><tr><td><p>Idle</p></td><td><p>63 %</p></td><td><p>80 %</p></td><td><p>91 %</p></td><td><p>Inter-mediate</p></td><td><p>Max. power</p></td><td><p>100 %</p></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Total (P<span>r,i</span>):</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table>
<table><col/><col/><tr><td><p>7.2.</p></td><td><p>Engine net power to be stated in Table 3:</p><p><br/></p><div><p><br/></p><p><span>Table 3</span></p><p><span>Engine net power</span></p><table><col/><col/><col/><col/><tbody><tr><td><p>Condition</p></td><td><p>Engine net power (kW) at indicated engine speed</p><p>(complete relevant columns)</p></td></tr><tr><td><p>Intermediate</p></td><td><p>Max. power</p></td><td><p>100 %</p></td></tr><tr><td><p>Reference power measured at specified test speed (P<span>m,i</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Total auxiliary power from Table 1 (P<span>f,i</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Total auxiliary power from Table 2 (P<span>r,i</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Engine net power</p><p>Pi = P<span>m,I</span> – P<span>f,i</span> + P<span>r,i</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table>
8. Conditions at test
<table><col/><col/><tr><td><p>8.1.</p></td><td><p><span>f</span><span>a</span> within range 0,93 to 1,07: Yes/No</p><table><col/><col/><tr><td><p>8.1.1.</p></td><td><p>If<span>f</span><span>a</span> is not within specified range state altitude of test facility and dry atmospheric pressure: …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>8.2.</p></td><td><p>Applicable intake air temperature range: 20 to 30/0 to – 5(snow throwers only)/– 5 to – 15(snowmobiles only)/20 to 35(NRE greater than 560 kW only)</p></td></tr></table>
9. Information concerning the conduct of the NRSC test:
<table><col/><col/><tr><td><p>9.1.</p></td><td><p>Cycle (mark cycle used with X) to be stated in Table 4:</p><p><br/></p><div><p><br/></p><p><span>Table 4</span></p><p><span>NRSC test cycle</span></p><table><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Cycle</p></td><td><p>C1</p></td><td><p>C2</p></td><td><p>D2</p></td><td><p>E2</p></td><td><p>E3</p></td><td><p>F</p></td><td><p>G1</p></td><td><p>G2</p></td><td><p>G3</p></td><td><p>H</p></td></tr><tr><td><p>Discrete mode</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>RMC</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>N/A</p></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table>
<table><col/><col/><tr><td><p>9.2.</p></td><td><p>Dynamometer setting (kW) to be stated in Table 5:</p><p><br/></p><div><p><br/></p><p><span>Table 5</span></p><p><span>Dynamometer setting</span></p><table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>% Load at point or % of rated power (as applicable)</p></td><td><p>Dynamometer setting (kW) at indicated engine speed after adjustment for auxiliary power <a>(<span>1</span>)</a></p><p>(complete relevant columns)</p></td></tr><tr><td><p>Idle</p></td><td><p>63 %</p></td><td><p>80 %</p></td><td><p>91 %</p></td><td><p>Inter-mediate</p></td><td><p>100 %</p></td></tr><tr><td><p>5 %</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>10 %</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>25 %</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>50 %</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>75 %</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>100 %</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><div><a>(<span>1</span>)   </a><p>The dynamometer setting shall be determined using the procedure set out in point 7.7.1.3 of Annex VI to Delegated Regulation (EU) 2017/654. The auxiliary power in that point shall be determined using the total values set out in Tables 1 and 2 of this Appendix.</p></div></td></tr></tbody></table></div></td></tr></table>
<table><col/><col/><tr><td><p>9.3.</p></td><td>NRSC Emissions results<table><col/><col/><tr><td><p>9.3.1.</p></td><td><p>Deterioration Factor (DF): calculated/assigned</p></td></tr></table><table><col/><col/><tr><td><p>9.3.2.</p></td><td><p>DF values and the cycle weighted emissions results to be stated in Table 6:</p><p><span>Note:</span> In the event that a discrete mode NRSC is run where the K<span>ru</span> or K<span>rd</span> factors have been established for individual modes then a table showing each mode and the applied K<span>ru</span> or K<span>rd</span> should replace the shown table</p><p><br/></p><div><p><br/></p><p><span>Table 6</span></p><p><span>NRSC cycle DF values and weighted emissions results</span></p><table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>DF</p><p>mult/add</p></td><td><p>CO</p></td><td><p>HC</p></td><td><p>NO<span>x</span></p></td><td><p>HC+NO<span>x</span></p></td><td><p>PM</p></td><td><p>PN</p></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Emissions</p></td><td><p>CO (g/kWh)</p></td><td><p>HC (g/kWh)</p></td><td><p>NO<span>x</span> (g/kWh)</p></td><td><p>HC+NO<span>x</span> (g/kWh)</p></td><td><p>PM (g/kWh)</p></td><td><p>PN #/kWh</p></td></tr><tr><td><p>Test result with/without regeneration</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>k</span><span>ru</span>/<span>k</span><span>rd</span></p><p>mult/add</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>test result with infrequent regeneration adjustment factors (IRAFs)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Final test result with DF</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table><table><col/><col/><tr><td><p>9.3.3.</p></td><td><p>Cycle weighted CO<span>2</span> (g/kWh): …</p></td></tr></table><table><col/><col/><tr><td><p>9.3.4.</p></td><td><p>Cycle weighted NH<span>3</span> (ppm): …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>9.4.</p></td><td><p>Additional control area test points (if applicable) to be stated in Table 7:</p><p><br/></p><div><p><br/></p><p><span>Table 7</span></p><p><span>Additional control area test points</span></p><table><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Emissions at test point</p></td><td><p>Engine Speed</p></td><td><p>Load (%)</p></td><td><p>CO (g/kWh)</p></td><td><p>HC (g/kWh)</p></td><td><p>NO<span>x</span> (g/kWh)</p></td><td><p>HC+NO<span>x</span> (g/kWh)</p></td><td><p>PM (g/kWh)</p></td><td><p>PN n/kWh</p></td></tr><tr><td><p>Test result 1</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Test result 2</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Test result 3</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table>
<table><col/><col/><tr><td><p>9.5.</p></td><td><p>Sampling systems used for the NRSC test: …</p><table><col/><col/><tr><td><p>9.5.1.</p></td><td><p>Gaseous emissions: …</p></td></tr></table><table><col/><col/><tr><td><p>9.5.2.</p></td><td><p>PM: …</p><table><col/><col/><tr><td><p>9.5.2.1.</p></td><td><p>Method: single/multiple filter</p></td></tr></table></td></tr></table><table><col/><col/><tr><td><p>9.5.3.</p></td><td><p>Particle number: …</p></td></tr></table></td></tr></table>
10. Information concerning the conduct of the transient test (if applicable)
<table><col/><col/><tr><td><p>10.1.</p></td><td><p>Cycle (mark cycle with X) to be stated in Table 8:</p><p><br/></p><div><p><br/></p><p><span>Table 8</span></p><p><span>Transient test cycle</span></p><table><col/><col/><tbody><tr><td><p>NRTC</p></td><td><p> </p><div/></td></tr><tr><td><p>LSI-NRTC</p></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table>
<table><col/><col/><tr><td><p>10.2.</p></td><td><p>Transient test deterioration factors:</p><div><div><span>10.2.1. </span></div><div><p>Deterioration Factor (DF): calculated/fixed</p></div></div><div><div><span>10.2.2. </span></div><div><p>DF values and the emissions results to be stated in Table 9 or Table 10</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>10.3.</p></td><td><p>NRTC emission results:</p><p><br/></p><div><p><br/></p><p><span>Table 9</span></p><p><span>DF values and the emissions results for NRTC</span></p><table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>DF</p><p>mult/add</p></td><td><p>CO</p></td><td><p>HC</p></td><td><p>NO<span>x</span></p></td><td><p>HC+NO<span>x</span></p></td><td><p>PM</p></td><td><p>PN</p></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Emissions</p></td><td><p>CO (g/kWh)</p></td><td><p>HC (g/kWh)</p></td><td><p>NO<span>x</span> (g/kWh)</p></td><td><p>HC+NO<span>x</span> (g/kWh)</p></td><td><p>PM (g/kWh)</p></td><td><p>PN (#/kWh)</p></td></tr><tr><td><p>Cold start</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Hot start test result</p><p>with/without regeneration</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Weighted test result</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>k</span><span>ru</span>/<span>k</span><span>rd</span></p><p>mult/add</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Weighted test result with IRAFs</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Final test result with DF</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div><div><div><span>10.3.1. </span></div><div><p>Hot cycle CO<span>2</span> (g/kWh):</p></div></div><div><div><span>10.3.2. </span></div><div><p>Cycle average NH<span>3</span> (ppm):</p></div></div><div><div><span>10.3.3. </span></div><div><p>Cycle work for hot start test (kWh):</p></div></div><div><div><span>10.3.4. </span></div><div><p>Cycle CO<span>2</span> for hot start test (g):</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>10.4.</p></td><td><p>LSI-NRTC emission results</p><p><br/></p><div><p><br/></p><p><span>Table 10</span></p><p><span>DF values and the emissions results for LSI- NRTC</span></p><table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>DF</p><p>mult/add</p></td><td><p>CO</p></td><td><p>HC</p></td><td><p>NO<span>x</span></p></td><td><p>HC+NO<span>x</span></p></td><td><p>PM</p></td><td><p>PN</p></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Emissions</p></td><td><p>CO (g/kWh)</p></td><td><p>HC (g/kWh)</p></td><td><p>NO<span>x</span> (g/kWh)</p></td><td><p>HC+NO<span>x</span> (g/kWh)</p></td><td><p>PM (g/kWh)</p></td><td><p>PN (#/kWh)</p></td></tr><tr><td><p>test result</p><p>with/without regeneration</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>k</span><span>ru</span>/<span>k</span><span>rd</span></p><p>mult/add</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Test result with IRAFs</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Final test result with DF</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div><div><div><span>10.4.1. </span></div><div><p>Cycle CO<span>2</span> (g/kWh):</p></div></div><div><div><span>10.4.2. </span></div><div><p>Cycle average NH<span>3</span> (ppm):</p></div></div><div><div><span>10.4.3. </span></div><div><p>Cycle work (kWh):</p></div></div><div><div><span>10.4.4. </span></div><div><p>Cycle CO<span>2</span> (g):</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>10.5.</p></td><td><p>Sampling system used for the transient test:</p><div><div><span>10.5.1. </span></div><div><p>Gaseous emissions:</p></div></div><div><div><span>10.5.2. </span></div><div><p>PM:</p></div></div><div><div><span>10.5.3. </span></div><div><p>Particle number:</p></div></div></td></tr></table>
11. Final emissions results
<table><col/><col/><tr><td><p>11.1.</p></td><td><p>Cycle emissions results to be stated in Table 11.</p><p><br/></p><div><p><br/></p><p><span>Table 11</span></p><p><span>Final emissions results</span></p><table><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Emissions</p></td><td><p>CO</p><p>(g/kWh)</p></td><td><p>HC</p><p>(g/kWh)</p></td><td><p>NO<span>x</span></p><p>(g/kWh)</p></td><td><p>HC+NO<span>x</span></p><p>(g/kWh)</p></td><td><p>PM</p><p>(g/kWh)</p></td><td><p>PN</p><p>(#/kWh)</p></td><td><p>Test Cycle (<span>1</span>)</p></td></tr><tr><td><p>NRSC final result with DF (<span>2</span>).</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Final transient test result with DF (<span>3</span>)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table>
<table><col/><col/><tr><td><p>11.2.</p></td><td><p>CO<span>2</span> result (<span>4</span>):</p></td></tr></table>
<table><col/><col/><tr><td><p>11.3.</p></td><td><p>In service monitoring reference values (<span>5</span>)</p><table><col/><col/><tr><td><p>11.3.1.</p></td><td><p>Reference work (kWh) (<span>6</span>):</p></td></tr></table><table><col/><col/><tr><td><p>11.3.2.</p></td><td><p>Reference CO<span>2</span> mass (g) (<span>7</span>):</p></td></tr></table></td></tr></table>
Explanatory notes to Appendix 1:
(Footnote markers, footnotes and explanatory notes not to be stated on the test report)
( 1 ) For NRSC indicate the cycle noted in point 9.1 (Table 4); for transient test indicate cycle noted in point 10.1 (Table 8).
( 2 ) Copy the ‘Final test result with DF’ results from Table 6.
( 3 ) Copy ‘Final test result with DF’ results from Table 9 or 10, as applicable.
( 4 ) For an engine type or engine family that is tested on both the NRSC and a transient cycle, indicate the hot cycle CO 2 emissions values from the NRTC noted in point 10.3.4 or the CO 2 emissions values from the LSI-NRTC noted in point 10.4.4. For an engine only tested on an NRSC indicate the CO 2 emissions values given in that cycle noted in point 9.3.3.
( 5 ) Only applicable to engines of sub-categories NRE-v-5 and NRE-v-6 tested on NRTC.
( 6 ) Indicate the cycle work for hot start test value from the NRTC noted in point 10.3.3.
( 7 ) Indicate the cycle CO 2 for hot start test value from the NRTC noted in point 10.3.4.
ANNEX VII
Format for the list of engines referred to in Article 37(1) of Regulation (EU) 2016/1628
<table><col/><col/><tr><td><p>1.1.</p></td><td><p>Make(s) (trade name(s) of manufacturer): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.2.</p></td><td><p>Commercial name(s) (if applicable): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.3.</p></td><td><p>Company name and address of manufacturer: …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.4.</p></td><td><p>Name and address of manufacturer's authorised representative (if any): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.5.</p></td><td><p>Name(s) and address(es) of assembly/manufacture plant(s): …</p></td></tr></table>
<table><col/><col/><tr><td><p>1.7.</p></td><td><p>List number (<span>0</span>): …</p><table><col/><col/><tr><td><p>1.7.1</p></td><td><p>Reason for list submission (<span>1</span>): Yearly/Stage V/TAA (<span>2</span>)</p></td></tr></table><table><col/><col/><tr><td><p>1.7.2</p></td><td><p>List period start date (dd/mm/yyyy): …</p></td></tr></table><table><col/><col/><tr><td><p>1.7.3</p></td><td><p>List period end date (dd/mm/yyyy): …</p></td></tr></table></td></tr></table>
<table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Engine family designation / Engine type designation (<span>3</span>)</p></td><td><p>Category and sub category (<span>4</span>)</p></td><td><p>Number of engines produced during list period</p></td><td><p>Engine identification number (<span>5</span>)</p></td><td><p>Month and year of cease of production (mm/yyyy) (<span>6</span>)</p></td></tr><tr><td><p>First engine</p></td><td><p>Last engine</p></td></tr><tr><td><p>Engine family 1</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Type 1</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Type …</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Type i</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Engine family …</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Type 1</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Type …</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Type j</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Engine family n</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Type 1</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Type …</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>Type k</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table>
Explanatory notes to Annex VII:
(Footnote markers, footnotes and explanatory notes not to be stated on the list of engines produced in accordance with the EU type-approvals granted)
( 0 ) Use the following code: yyyy/nn Where yyyy is the year of production of the list and nn is the sequential number of the lists presented during that year.
( 1 ) Indicate one of the following codes:
<table><col/><col/><tr><td><p><span>Yearly</span></p></td><td><p>for lists submitted within 45 days following the end of each calendar year;</p></td></tr></table>
<table><col/><col/><tr><td><p><span>Stage V</span></p></td><td><p>for lists submitted immediately after each of the dates for the placing on the market of engines referred to in Annex III to Regulation (EU) 2016/1628;</p></td></tr></table>
<table><col/><col/><tr><td><p><span>TAA</span></p></td><td><p>for lists submitted any other date that the approval authority may stipulate.</p></td></tr></table>
( 2 ) Strike out the unused options, or only show the used option(s).
( 3 ) Indicate the engine type designation /engine family designation in accordance with entries 1.6 and 3.1.1 of the information document set out in Appendix 3 to Annex I.
( 4 ) Indicate the applicable option for the category and sub-category in accordance with entry 1.7 of the information document set out in Part A of Appendix 3 to Annex I.
( 5 ) Only applicable when the correlation of the engine identification number to the corresponding engine types and, where applicable, engine families and to the EU type-approval numbers is not identified by the engine coding system (engine type designation/ engine family designation).
( 6 ) Only applicable when the manufacturer ceases to produce an approved engine type or engine family; in this case, indicate the month and year of production of the last engine.
ANNEX VIII
Templates and data structure for the exchange of data by means of IMI
The IMI system shall allow for the exchange of at least the following data between approval authorities; the structure and numbering of the data shall be respected.
<table><col/><col/><tr><td><p>1.</p></td><td><p>Make(s) (trade name(s) of manufacturer): …</p></td></tr></table>
<table><col/><col/><tr><td><p>2.</p></td><td><p>Commercial name(s) (if applicable): …</p></td></tr></table>
<table><col/><col/><tr><td><p>3.</p></td><td><p>Company name of manufacturer: …</p><table><col/><col/><tr><td><p>3.1.</p></td><td><p>Postal address / Street and number of manufacturer: …</p><table><col/><col/><tr><td><p>3.1.1.</p></td><td><p>Postal code: …</p></td></tr></table><table><col/><col/><tr><td><p>3.1.2.</p></td><td><p>Country / Region: …</p></td></tr></table></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>4.</p></td><td><p>Name of manufacturer's authorised representative (if any): …</p><table><col/><col/><tr><td><p>4.1.</p></td><td><p>Postal address / Street and number of manufacturer's authorised representative: …</p><table><col/><col/><tr><td><p>4.1.1.</p></td><td><p>Postal code: …</p></td></tr></table><table><col/><col/><tr><td><p>4.1.2.</p></td><td><p>Country / Region: …</p></td></tr></table></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>5.</p></td><td><p>Name(s) of assembly/manufacture plant(s): …</p><table><col/><col/><tr><td><p>5.1.</p></td><td><p>Postal address (es) / Street(s) and number(s) of assembly/manufacture plant(s): …</p><table><col/><col/><tr><td><p>5.1.1.</p></td><td><p>Postal code(s): …</p></td></tr></table><table><col/><col/><tr><td><p>5.1.2.</p></td><td><p>Country (ies) / Region(s): …</p></td></tr></table></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>6.</p></td><td><p>Engine type designation/engine family designation /FT (<span>1</span>) (<span>2</span>): …</p></td></tr></table>
<table><col/><col/><tr><td><p>7.</p></td><td><p>Category and sub-category of the engine type/engine family (<span>1</span>) (<span>3</span>): …</p><table><col/><col/><tr><td><p>7.1.</p></td><td><p>Engine identification number of tested engine (<span>4</span>): …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>8.</p></td><td><p>EU type-approval: granted/extended/revised/refused/ withdrawn (<span>1</span>) (<span>5</span>)</p><table><col/><col/><tr><td><p>8.1.</p></td><td><p>Date of granting/extending/revising/refusing/withdrawing (<span>1</span>) the EU type-approval (<span>5</span>)</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>9.</p></td><td><p>Number of the EU type-approval (except if refused) (<span>5</span>): …</p></td></tr></table>
<table><col/><col/><tr><td><p>10.</p></td><td><p>Emissions stage: V/ SPE (<span>1</span>) (<span>5</span>)</p></td></tr></table>
<table><col/><col/><tr><td><p>11.</p></td><td><p>Exemption for new technologies or new concepts in accordance with Article 35 of Regulation (EU) 2016/1628 (<span>5</span>) (<span>6</span>)</p><table><col/><col/><tr><td><p>11.1</p></td><td><p>Validity of the approval limited to dd/mm/yyyy (<span>5</span>) (<span>6</span>)</p></td></tr></table><table><col/><col/><tr><td><p>11.2.</p></td><td><p>Restrictions to validity (<span>5</span>) (<span>6</span>): …</p></td></tr></table><table><col/><col/><tr><td><p>11.3.</p></td><td><p>Exemptions applied (<span>5</span>) (<span>6</span>): …</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>12.</p></td><td><span>Final emissions result</span> (<span>7</span>)<table><col/><col/><tr><td><p>12.1</p></td><td><p>Cycle emissions results</p><p><br/></p><div><p><br/></p><table><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Emissions</p></td><td><p>CO (g/kWh)</p></td><td><p>HC (g/kWh)</p></td><td><p>NO<span>x</span> (g/kWh)</p></td><td><p>HC+NO<span>x</span> (g/kWh)</p></td><td><p>PM (g/kWh)</p></td><td><p>PN #/kWh</p></td><td><p>Test Cycle</p></td></tr><tr><td><p>NRSC final result with DF</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p>NRTC Final test result with DF</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr></tbody></table></div></td></tr></table><table><col/><col/><tr><td><p>12.2</p></td><td><p>CO<span>2</span> result: …</p></td></tr></table></td></tr></table>
Explanatory notes to Annex VIII:
(Footnote markers, footnotes and explanatory notes not to be stated)
( 1 ) Strike out the unused options, or only show the used option(s).
( 2 ) Indicate the engine type designation /engine family designation in accordance with entries 1.6 and 3.1.1 of the information document set out in Appendix 3 to Annex I.
( 3 ) Indicate the applicable option for the category and sub-category in accordance with entry 1.7 of the information document set out in Part A of Appendix 3 to Annex I.
( 4 ) Indicate the information from entry 2.2 of Appendix 1 to Annex VI (test report).
( 5 ) Indicate the applicable value of the EU type-approval certificate as set out in Annex IV.
( 6 ) State this entry only for EU type-approvals of an engine type or an engine family as an exemption for new technologies or new concepts, pursuant to Article 35 of Regulation (EU) 2016/1628.
( 7 ) Indicate the information from section 11 of Appendix 1 to Annex VI (test report).
ANNEX IX
Parameters for the definition of engine types and engine families, and their operation modes
1. Engine type
The technical features of an engine type shall be those defined in its information document drafted in accordance with the template set out in Annex I.
1.1. Operating mode (speed operation)
An engine type may be EU type-approved as a constant speed engine or as a variable speed engine, as defined in Articles 3(21) and 3(22) of Regulation (EU) 2016/1628.
1.1.1. Variable speed engines
<table><col/><col/><tr><td><p>1.1.1.1.</p></td><td><p>In the case that, as allowed by Article 4(2) of Regulation (EU) 2016/1628, a variable-speed engine of a particular category is used in place of a constant-speed engine of the same category, the parent engine (for the purposes of EU type-approval) and all engine types within the engine family (for the purposes of conformity of production), shall be tested using the applicable variable speed NRSC and additionally, where required by Article 24(9) or Article 24(10) of Regulation (EU) 2016/1628, the applicable transient cycle. As set out in Article 24(5) of Regulation (EU) 2016/1628, except in the case of engines of category IWP, a variable speed engine of a particular category used in a constant speed operation of the same category need not be additionally tested using the applicable constant speed NRSC.</p></td></tr></table>
<table><col/><col/><tr><td><p>1.1.1.2.</p></td><td>Variable speed engines of category IWP for use in one or more other inland waterway applications<p>In the case that a variable speed engine of category IWP is to be placed on the market for use in one or more other inland waterway application as permitted by Article 4 (2) of Regulation (EU) 2016/1628 (constant speed IWP) and Article 4 (1)(5)(b) of Regulation (EU) 2016/1628 (variable or constant speed IWA) the requirements of this paragraph shall additionally be met.</p><table><col/><col/><tr><td><p>1.1.1.2.1.</p></td><td><p>In the case that the engine type is the parent engine, in order to comply with Articles 24(5), 24(7) and 24(8) of Regulation (EU) 2016/1628 the engine shall, in addition to meeting the applicable limit values when tested on the E3 NRSC, also meet the applicable limit values when tested on each additional applicable NRSC (E2/C1/D2). Separate test reports shall be produced and included in the information package for each NRSC.</p></td></tr></table><table><col/><col/><tr><td><p>1.1.1.2.2.</p></td><td><p>In the case of all engine types within the engine family, when subject to a conformity of production emissions test the engine shall, in addition to meeting the applicable limit values when tested on the E3 NRSC, also meet the applicable limit values when tested on each applicable constant speed NRSC.</p></td></tr></table><table><col/><col/><tr><td><p>1.1.1.2.3.</p></td><td><p>Entry 3.4.3 of Appendix 3 of Annex I shall indicate each NRSC applicable for the engine type, together with the corresponding engine speeds.</p></td></tr></table><table><col/><col/><tr><td><p>1.1.1.2.4.</p></td><td><p>The instructions to the OEM set out in Annex XIV to Delegated Regulation (EU) 2017/654 shall set out each category and operating mode (speed operation) for which the engine may be installed.</p></td></tr></table></td></tr></table>
1.1.2. Constant speed engines
<table><col/><col/><tr><td><p>1.1.2.1.</p></td><td><p>The constant speed governor function shall be engaged during constant speed operation. The governors of constant speed engines may not be required to continuously maintain speed exactly constant. The speed may decrease below the speed at zero load, so that the minimum speed occurs near the engine's point of maximum power. This is typically in the region of 0,1 to 10 per cent.</p></td></tr></table>
<table><col/><col/><tr><td><p>1.1.2.2.</p></td><td><p>In the case that the engine type is equipped with an idle speed for start-up and shut-down as permitted by Article 3(21) of Regulation (EU) 2016/1628 the engine shall be installed in a manner to ensure that the constant speed governor function is engaged prior to increasing the load-demand to the engine from the no-load setting.</p></td></tr></table>
<table><col/><col/><tr><td><p>1.1.2.3.</p></td><td>Constant speed engine types equipped with alternative speeds<p>A constant speed engine shall not be designed to operate with variable speed. In the case that the engine type is equipped with alternative speeds as permitted by Article 3(21) of Regulation (EU) 2016/1628 the requirements of this paragraph shall additionally be met.</p><table><col/><col/><tr><td><p>1.1.2.3.1.</p></td><td><p>In the case that the engine type is the parent engine, in order to comply with Articles 24(5) and 24(6) of Regulation (EU) 2016/1628 the engine shall meet the applicable limit values when tested using the applicable NRSC test cycle at each constant speed applicable to the engine type. Separate test reports shall be produced and included in the information package for each NRSC.</p></td></tr></table><table><col/><col/><tr><td><p>1.1.2.3.2.</p></td><td><p>In the case of all engine types within the engine family, when subject to a conformity of production emissions test the engine shall meet the applicable limit values using the applicable NRSC test cycle at each constant speed applicable to the engine type.</p></td></tr></table><table><col/><col/><tr><td><p>1.1.2.3.3.</p></td><td><p>Each constant speed applicable to the engine type that is permitted by the manufacturer shall be listed in Section 3.2.1 of Appendix 3 to Annex I.</p></td></tr></table><table><col/><col/><tr><td><p>1.1.2.3.4.</p></td><td><p>The engine shall be installed in a manner to ensure that:</p><div><div><span>(a) </span></div><div><p>the engine is stopped prior to resetting the constant speed governor to an alternative speed; and,</p></div></div><div><div><span>(b) </span></div><div><p>the constant speed governor is only set to the alternative speeds permitted by the engine manufacturer.</p></div></div></td></tr></table><table><col/><col/><tr><td><p>1.1.2.3.5.</p></td><td><p>The instructions to the OEM and end-users set out in Annexes XIV and XV to Delegated Regulation (EU) 2017/654 shall include information on the correct installation and operation of the engine according to the requirements of paragraphs 1.1.2.2 and 1.1.2.3.</p></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>1.1.2.4.</p></td><td>Constant speed engines of category IWP for use in place of a constant speed engine of category IWA<p>In the case that a constant speed engine of category IWP is to be placed on the market for use in place of a constant speed engine of category IWA as permitted by Article 4 (1)(5)(b) of Regulation (EU) 2016/1628 the requirements of this paragraph shall additionally be met.</p><table><col/><col/><tr><td><p>1.1.2.4.1.</p></td><td><p>In the case that the engine type is the parent engine, in order to comply with Articles 24(5) and 24(8) of Regulation (EU) 2016/1628 the engine shall, in addition to meeting the applicable limit values when tested on the E2 NRSC, also meet the applicable limit values when tested on the D2 NRSC. Separate test reports shall be produced and included in the information package for each NRSC.</p></td></tr></table><table><col/><col/><tr><td><p>1.1.2.4.2.</p></td><td><p>In the case of all engine types within the engine family, when subject to a conformity of production emissions test the engine shall, in addition to meeting the applicable limit values when tested on the E2 NRSC, also meet the applicable limit values when tested on the D2 NRSC.</p></td></tr></table><table><col/><col/><tr><td><p>1.1.2.4.3.</p></td><td><p>Section 3.4.3 of Appendix 3 to Annex I shall indicate each NRSC applicable for the engine type, together with the corresponding engine speeds.</p></td></tr></table><table><col/><col/><tr><td><p>1.1.2.4.4.</p></td><td><p>The instructions to the OEMs set out in Annex XIV to Delegated Regulation (EU) 2017/654 shall set out each category and operating mode (speed operation) for which the engine may be installed.</p></td></tr></table></td></tr></table>
2. Engine family criteria
2.1. General
An engine family is characterised by design parameters. These shall be common to all engines within the engine family. The engine manufacturer may decide, which engines belong to an engine family, as long as the membership criteria listed in paragraph 2.4 are respected. The engine family shall be approved by the approval authority. The manufacturer shall provide to the approval authority the appropriate information relating to the emissions levels of the members of the engine family.
2.2. Engine categories, operating mode (speed operation) and power range
<table><col/><col/><tr><td><p>2.2.1.</p></td><td><p>An engine family shall only comprise engine types within the same engine category as set out in Article 4 (1) of Regulation (EU) 2016/1628.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.2.2.</p></td><td><p>The engine family shall comprise only engine types of the same speed operation as set out in Annex I to Regulation (EU) 2016/1628.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.2.3.</p></td><td>Engine families covering more than one power range<table><col/><col/><tr><td><p>2.2.3.1.</p></td><td><p>An engine family may cover more than one power range for the same speed operation within the same engine (sub-)category. Consistent with Article 18(2) of Regulation (EU) 2016/1628, in this case the parent engine (for the purposes of EU type-approval) and all engine types within the same engine family (for the purposes of conformity of production) shall, with respect to the applicable power ranges:</p><div><div><span>— </span></div><div><div>meet the most stringent emissions limit values;</div></div></div><div><div><span>— </span></div><div><div>be tested using the test cycles that correspond to the most stringent emissions limit values;</div></div></div><div><div><span>— </span></div><div><div>be subject to the earliest applicable dates for EU type-approval and placing on the market set out in Annex III to Regulation (EU) 2016/1628.</div></div></div><p>In order to maintain, when the engine is installed in the non-road mobile machinery, the principle of Article 18(2) of Regulation (EU) 2016/1628, the instructions for OEMs set out in Annex XIV to Delegated Regulation (EU) 2017/654 shall include the statement that the installation shall not permanently constrain an engine to only deliver power within the power range of a sub-category with a more stringent emissions limit than the sub-category in which the engine is type-approved.</p></td></tr></table><table><col/><col/><tr><td><p>2.2.3.2.</p></td><td><p>For the purpose of allocating a EU type-approval sub-category to an engine family covering more than one power range the manufacturer and approval authority shall decide the sub-category that most closely reflects the criteria in paragraph 2.2.3.1.</p></td></tr></table></td></tr></table>
2.3. Special cases
2.3.1. Interactions between parameters
In some cases there may be interaction between parameters, which may cause emissions to change. This shall be taken into consideration to ensure that only engines with similar exhaust emissions characteristics are included within the same engine family. These cases shall be identified by the manufacturer and notified to the approval authority. It shall then be taken into account as a criterion for creating a new engine family.
2.3.2. Devices or features having a strong influence on emissions
In case of devices or features, which are not listed in paragraph 2.4 and which have a strong influence on the level of emissions, this equipment shall be identified by the manufacturer using good engineering judgment, and shall be notified to the approval authority. It shall then be taken into account as a criterion for creating a new engine family.
2.3.3. Additional criteria
In addition to the parameters listed in paragraph 2.4, the manufacturer may introduce additional criteria allowing the definition of families of more restricted size. These parameters are not necessarily parameters that have an influence on the level of emissions.
2.4. Parameters defining the engine family
2.4.1. Combustion cycle
(a) 2-stroke cycle;
(b) 4-stroke cycle;
(c) Rotary engine;
(d) Others.
2.4.2. Configuration of the cylinders
2.4.2.1. Position of the cylinders in the block
(a) Single
(b) V;
(c) In-line;
(d) Opposed;
(e) Radial;
(f) Others (F, W, etc.).
2.4.2.2. Relative position of the cylinders
Engines with the same block may belong to the same engine family as long as their bore centre-to-centre dimensions are the same.
2.4.3. Main cooling medium
(a) Air;
(b) Water;
(c) Oil.
2.4.4. Swept volume per cylinder
2.4.4.1. Engine with a swept volume per cylinder ≥ 750 cm 3
In order for engines with a swept volume per cylinder of ≥ 750 cm 3 to be considered to belong to the same engine family, the spread of their swept volume per cylinder shall not exceed 15 per cent of the largest swept volume per cylinder within the engine family.
2.4.4.2. Engine with a swept volume per cylinder < 750 cm 3
In order for engines with an individual cylinder swept volume of < 750 cm 3 to be considered to belong to the same engine family, the spread of their swept volume per cylinder shall not exceed 30 per cent of the largest swept volume per cylinder within the engine family.
2.4.4.3. Engine with greater spread in swept volume per cylinder
Notwithstanding points 2.4.4.1 and 2.4.4.2, engines with a swept volume per cylinder that exceeds the spread defined in paragraphs 2.4.4.1 and 2.4.4.2 may be considered to belong to the same engine family subject to the approval of the approval authority. The approval shall be based on technical elements (calculations, simulations, experimental results etc.) showing that exceeding the spread does not have a significant influence on the exhaust emissions.
2.4.5. Method of air aspiration
(a) Naturally aspirated;
(b) Pressure charged;
(c) Pressure charged with charge cooler.
2.4.6. Fuel type
(a) Diesel (non-road gas-oil);
(b) Ethanol for dedicated compression ignition engines (ED95);
(c) Petrol (E10);
(d) Ethanol (E85).
(e) Natural gas/Biomethane:
(1) Universal fuel — high calorific fuel (H-gas) and low calorific fuel (L-gas);
(2) Restricted fuel — high calorific fuel (H-gas);
(3) Restricted fuel — low calorific fuel (L-gas);
(4) Fuel specific (LNG);
(f) Liquid Petroleum Gas (LPG);
2.4.7. Fuelling arrangement
(a) Liquid-fuel only;
(b) Gaseous-fuel only;
(c) Dual-fuel type 1A;
(d) Dual-fuel type 1B;
(e) Dual-fuel type 2A;
(f) Dual-fuel type 2B;
(g) Dual-fuel type 3B.
2.4.8. Combustion chamber type/design
(a) Open chamber;
(b) Divided chamber;
(c) Other types.
2.4.9. Ignition Type
(a) Spark ignition;
(b) Compression ignition.
2.4.10. Valves and porting
(a) Configuration;
(b) Number of valves per cylinder.
2.4.11. Fuel supply type
(a) Pump, (high pressure) line and injector;
(b) In-line pump or distributor pump;
(c) Unit injector;
(d) Common rail;
(e) Carburettor;
(f) Port injector;
(g) Direct injector;
(h) Mixing unit;
(i) Other.
2.4.12. Miscellaneous devices
(a) Exhaust gas recirculation (EGR);
(b) Water injection;
(c) Air injection;
(d) Others.
2.4.13. Electronic control strategy
The presence or absence of an ECU on the engine is regarded as a basic parameter of the engine family.
In the case of electronically controlled engines, the manufacturer shall present the technical elements explaining the grouping of these engines in the same engine family, i.e. the reasons why these engines can be expected to satisfy the same emissions requirements.
The electronic governing of speed does not need to be in a different engine family from those with mechanical governing. The need to separate electronic engines from mechanical engines should only apply to the fuel injection characteristics, such as timing, pressure, rate shape, etc.
2.4.14. Exhaust after-treatment systems
The function and combination of the following devices are regarded as membership criteria for an engine family:
(a) Oxidation catalyst;
(b) DeNO x system with selective reduction of NO x (addition of reducing agent);
(c) Other DeNO x systems;
(d) Particulate after-treatment system with passive regeneration:
(1) wall-flow,
(2) non-wall-flow;
(e) Particulate after-treatment system with active regeneration:
(1) wall-flow,
(2) non-wall-flow;
(f) Other particulate after-treatment systems;
(g) Other devices.
When an engine has been certified without exhaust after-treatment system, whether as parent engine or as member of the engine family, then this engine, when equipped with an oxidation catalyst (not with particulate after-treatment system), may be included in the same engine family, if it does not require different fuel characteristics.
If it requires specific fuel characteristics (e.g. particulate after-treatment systems requiring special additives in the fuel to ensure the regeneration process), the decision to include it in the same engine family shall be based on technical elements provided by the manufacturer. These elements shall indicate that the expected emissions level of the equipped engine complies with the same limit value as the non-equipped engine.
When an engine has been certified with exhaust after-treatment system, whether as parent engine or as member of an engine family, whose parent engine is equipped with the same exhaust after-treatment system, then this engine, when equipped without exhaust after-treatment system, shall not be added to the same engine family.
2.4.15. Dual-fuel engines
All engine types within a dual-fuel engine family shall belong to the same type of dual-fuel engines defined in section 2 (for example type 1A, type 2B, etc.), and operate with the same types of fuel or when appropriate with fuels declared according to this Regulation as being of the same range(s).
In addition to belonging to the same dual fuel type, they shall have a maximum gas energy ratio on the applicable test cycle (GER cycle ) within the range 70 to 100 per cent of that of the engine type with the highest GER cycle .
<table><col/><col/><tr><td><p>2.4.16.</p></td><td><p>Intake air temperature for engines of category NRS < 19 kW:</p><div><div><span>(a) </span></div><div><p>consisting of engine types to be used in snow throwers: engines shall be tested with intake air temperature between 0 °C and – 5 °C;</p></div></div><div><div><span>(b) </span></div><div><p>Not exclusively consisting of engine types to be used in snow throwers: engines shall be tested with intake temperature 25 ± 5 °C.</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>2.4.17.</p></td><td>Emissions Durability Period (EDP) Category<p>In case of engine categories in Table V-3 or V-4 of Annex V to Regulation (EU) 2016/1628 that have alternative values for EDP, the EDP category declared by the manufacturer:</p><div><div><span>(a) </span></div><div><p>Cat 1 (Consumer products);</p></div></div><div><div><span>(b) </span></div><div><p>Cat 2 (Semi-professional products);</p></div></div><div><div><span>(c) </span></div><div><p>Cat 3 (Professional products).</p></div></div></td></tr></table>
3. Choice of the parent engine
3.1. General
<table><col/><col/><tr><td><p>3.1.1.</p></td><td><p>Once the engine family has been agreed by the approval authority, the parent engine of the engine family shall be selected using the primary criterion of the highest fuel delivery per stroke per cylinder at the declared maximum torque speed. In the event that two or more engines share this primary criterion, the parent engine shall be selected using the secondary criterion of highest fuel delivery per stroke at rated speed.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.1.2.</p></td><td><p>The approval authority may conclude that the worst-case emissions rate of the engine family can best be characterised by testing an alternative or an additional engine. In this case, the parties involved shall have the appropriate information to determine the engines within the engine family likely to have the highest emissions level.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.1.3.</p></td><td><p>If engines within the engine family incorporate other variable features which may be considered to affect exhaust emissions, these features shall also be identified and taken into account in the selection of the parent engine.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.1.4.</p></td><td><p>If engines within the engine family meet the same emissions values over different emissions durability periods, this shall be taken into account in the selection of the parent engine.</p></td></tr></table>
3.2. Special cases
<table><col/><col/><tr><td><p>3.2.1.</p></td><td><p>In order to select the parent engine in the case of any variable speed engine family of category IWP containing one or more engine types to be placed on the market for other inland waterway applications in accordance with paragraph 1.1.1.2, the requirements of paragraph 3.1.1 shall be applied based upon the E3 NRSC. The evaluation of the requirements of paragraphs 3.1.2, 3.1.3 and 3.1.4 shall consider all NRSC for which an engine type is being type-approved.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.2.2.</p></td><td><p>In order to select the parent engine in the case of any constant speed engine family containing one or more engine types with alternative constant speeds as set out in paragraph 1.1.2.3, the evaluation of the requirements of paragraph 3.1 shall be applied to each constant speed of each engine type.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.2.3.</p></td><td><p>In order to select the parent engine in the case of any constant speed engine family of category IWP containing one or more engine types to be placed on the market for constant speed IWA applications in accordance with paragraph 1.1.2.4, the requirements of paragraph 3.1.1 shall be applied based upon the E2 NRSC. The evaluation of the requirements of paragraphs 3.1.2, 3.1.3 and 3.1.4 shall consider all NRSC for which an engine type is being type-approved.</p></td></tr></table>
ANNEX X
Technical details for prevention of tampering
<table><col/><col/><tr><td><p>1.</p></td><td><p>For engine types and engine families that use an ECU as part of the emission control system the manufacturer shall provide to the approval authority a description of the provisions taken to prevent tampering with and modification of the ECU including the facility for updating using a manufacturer-approved programme or calibration;</p></td></tr></table>
<table><col/><col/><tr><td><p>2.</p></td><td><p>For engine types and engine families that use mechanical devices as part of the emission control system the manufacturer shall provide to the approval authority a description of the provisions taken to prevent tampering with and modification of the adjustable parameters of the emission control system. This shall include the tamper resistant components such as carburettor limiter caps or sealing of carburettor screws or special screws not adjustable by user.</p><table><col/><col/><tr><td><p>2.1.</p></td><td><p>The manufacturer shall demonstrate to the technical service that the adjustable parameters of the emission control system cannot be easily tampered by applying reasonable forces, either:</p><div><div><span>— </span></div><div><div>using the tools supplied together with the engine; or,</div></div></div><div><div><span>— </span></div><div><div>using ordinary tools such as screwdriver, pliers (including cutting pliers) or wrenches.</div><div>Ordinary tools do not include: most cutting or grinding tools, drills and rotary cutters, or tools that generate excessive heat or flame.</div></div></div></td></tr></table></td></tr></table>
<table><col/><col/><tr><td><p>3.</p></td><td><p>For the purpose of this Annex, engines from different engine families may be further combined into families based upon the type and design of tamper prevention measures utilised. In order to place engines from different engine families into the same tamper prevention engine family the manufacturer shall provide confirmation to the approval authority that the measures used to prevent tampering are similar. In this case the requirements of points 1 and 2 may be performed for one representative engine and the corresponding documentation used during the type approval of all engines in the same tamper prevention engine family.</p></td></tr></table>
<table><col/><col/><tr><td><p>4.</p></td><td><p>Manufacturers shall provide a warning in the operator's manual stating that tampering with the engine voids the EU type-approval of that particular engine.</p></td></tr></table>
<note>
( 1 ) Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery (OJ L 59, 27.2.1998, p. 1).
( 2 ) Commission Delegated Regulation (EU) 2017/654 of 19 December 2016 supplementing Regulation (EU) 2016/1628 of the European Parliament and of the Council with regard to technical and general requirements relating to emission limits and type-approval for internal combustion engines for non-road mobile machinery (see page 1 of this Official Journal).
( 3 ) Commission Implementing Regulation (EU) 2018/988 of 27 April 2018 amending and correcting Implementing Regulation (EU) 2017/656 laying down the administrative requirements relating to emission limits and type-approval of internal combustion engines for non-road mobile machinery in accordance with Regulation (EU) 2016/1628 of the European Parliament and of the Council (OJ L 182, 18.7.2018, p. 46).
( 4 ) Commission Delegated Regulation (EU) 2017/655 of 19 December 2016 supplementing Regulation (EU) 2016/1628 of the European Parliament and of the Council with regard to monitoring of gaseous pollutant emissions from in-service internal combustion engines installed in non-road mobile machinery (see page 334 of this Official Journal).
( 5 ) Regulation (EU) 2016/1628 of the European Parliament and of the Council of 14 September 2016 on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC (OJ L 252, 16.9.2016, p. 53).
( 6 ) Commission Delegated Regulation (EU) 2017/654 of 19 December 2016 supplementing Regulation (EU) 2016/1628 of the European Parliament and of the Council with regard to technical and general requirements relating to emission limits and type-approval for internal combustion engines for non-road mobile machinery (OJ L 102, 13.4.2017, p. 1).
( 7 ) Commission Delegated Regulation (EU) 2017/655 of 19 December 2016 supplementing Regulation (EU) 2016/1628 of the European Parliament and of the Council with regard to monitoring of gaseous pollutant emissions from in-service internal combustion engines installed in non-road mobile machinery (OJ L 102, 13.4.2017, p. 334).
( 8 ) Commission Implementing Regulation (EU) 2017/656 of 19 December 2016 laying down the administrative requirements relating to emission limits and type-approval of internal combustion engines for non-road mobile machinery in accordance with Regulation (EU) 2016/1628 of the European Parliament and of the Council (OJ L 102, 13.4.2017, p. 364).
( 9 ) Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC (OJ L 257, 28.8.2014, p. 73).
( 10 ) Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC (OJ L 257, 28.8.2014, p. 73).
</note> | ENG | 02017R0656-20180807 |
<table><col/><col/><col/><col/><tbody><tr><td><p>29.11.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 443/29</p></td></tr></tbody></table>
Statement of revenue and expenditure of the Research Executive Agency for the financial year 2016 — amending budget No 1
(2016/C 443/09)
REVENUE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Budget 2016</p></td><td><p>Amending budget No 1</p></td><td><p>New amount</p></td></tr><tr><td><p><span>2</span></p></td><td><p><span>COMMISSION SUBSIDY</span></p></td></tr><tr><td><p>2 0</p></td><td><p>COMMISSION SUBSIDY</p></td><td><p>62 910 490</p></td><td><p>–3 213 695,54</p></td><td><p>59 696 794,46</p></td></tr><tr><td><p> </p></td><td><p><span>Title 2 — Total</span></p></td><td><p><span>62 910 490</span></p></td><td><p><span>–3 213 695,54</span></p></td><td><p><span>59 696 794,46</span></p></td></tr><tr><td><p><span>3</span></p></td><td><p><span>SURPLUS AVAILABLE FROM THE PRECEDING FINANCIAL YEAR</span></p></td></tr><tr><td><p>3 0</p></td><td><p>SURPLUS AVAILABLE FROM THE PRECEDING FINANCIAL YEAR</p></td><td><p>—</p></td><td><p> </p></td><td><p>—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 3 — Total</span></p></td><td><p><span>—</span></p></td><td><p> </p></td><td><p><span>—</span></p></td></tr><tr><td><p><span>4</span></p></td><td><p><span>REVENUE FROM OTHER INSTITUTIONS OR BODIES OF THE EUROPEAN UNION</span></p></td></tr><tr><td><p>4 0</p></td><td><p>REVENUE ACCRUING FROM THE SUPPLY OF SERVICES AND FROM PAYMENTS CONNECTED WITH LETTINGS FOR OTHER INSTITUTIONS OR BODIES OF THE EUROPEAN UNION</p></td><td><p>—</p></td><td><p> </p></td><td><p>—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 4 — Total</span></p></td><td><p><span>—</span></p></td><td><p> </p></td><td><p><span>—</span></p></td></tr><tr><td><p><span>9</span></p></td><td><p><span>MISCELLANEOUS REVENUE</span></p></td></tr><tr><td><p>9 0</p></td><td><p>MISCELLANEOUS REVENUE</p></td><td><p>—</p></td><td><p>99 050,54</p></td><td><p>99 050,54</p></td></tr><tr><td><p> </p></td><td><p><span>Title 9 — Total</span></p></td><td><p><span>—</span></p></td><td><p><span>99 050,54</span></p></td><td><p><span>99 050,54</span></p></td></tr><tr><td><p> </p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>62 910 490</span></p></td><td><p><span>–3 114 645</span></p></td><td><p><span>59 795 845</span></p></td></tr></tbody></table>
EXPENDITURE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Appropriations 2016</p></td><td><p>Amending budget No 1</p></td><td><p>New amount</p></td></tr><tr><td><p><span>1</span></p></td><td><p><span>STAFF EXPENDITURE</span></p></td></tr><tr><td><p>1 1</p></td><td><p>REMUNERATIONS, ALLOWANCES AND CHARGES</p></td><td><p>42 680 575</p></td><td><p>–2 562 045</p></td><td><p>40 118 530</p></td></tr><tr><td><p>1 2</p></td><td><p>PROFESSIONAL DEVELOPMENT AND SOCIAL EXPENDITURE</p></td><td><p>2 321 000</p></td><td><p>8 790</p></td><td><p>2 329 790</p></td></tr><tr><td><p> </p></td><td><p><span>Title 1 — Total</span></p></td><td><p><span>45 001 575</span></p></td><td><p><span>–2 553 255</span></p></td><td><p><span>42 448 320</span></p></td></tr><tr><td><p><span>2</span></p></td><td><p><span>INFRASTRUCTURE AND OPERATING EXPENDITURE</span></p></td></tr><tr><td><p>2 1</p></td><td><p>BUILDING EXPENDITURE</p></td><td><p>6 373 000</p></td><td><p>– 225 115</p></td><td><p>6 147 885</p></td></tr><tr><td><p>2 2</p></td><td><p>ICT EXPENDITURE</p></td><td><p>2 570 260</p></td><td><p>29 805</p></td><td><p>2 600 065</p></td></tr><tr><td><p>2 3</p></td><td><p>MOVABLE PROPERTY AND CURRENT OPERATING EXPENDITURE</p></td><td><p>524 760</p></td><td><p>–65 580</p></td><td><p>459 180</p></td></tr><tr><td><p> </p></td><td><p><span>Title 2 — Total</span></p></td><td><p><span>9 468 020</span></p></td><td><p><span>– 260 890</span></p></td><td><p><span>9 207 130</span></p></td></tr><tr><td><p><span>3</span></p></td><td><p><span>PROGRAMME SUPPORT EXPENDITURE</span></p></td></tr><tr><td><p>3 1</p></td><td><p>PROGRAMME MANAGEMENT EXPENDITURE</p></td><td><p>2 167 885</p></td><td><p>– 163 325</p></td><td><p>2 004 560</p></td></tr><tr><td><p>3 2</p></td><td><p>COMMON SUPPORT SERVICES EXPENDITURE</p></td><td><p>6 273 010</p></td><td><p>– 137 175</p></td><td><p>6 135 835</p></td></tr><tr><td><p> </p></td><td><p><span>Title 3 — Total</span></p></td><td><p><span>8 440 895</span></p></td><td><p><span>– 300 500</span></p></td><td><p><span>8 140 395</span></p></td></tr><tr><td><p> </p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>62 910 490</span></p></td><td><p><span>–3 114 645</span></p></td><td><p><span>59 795 845</span></p></td></tr></tbody></table> | ENG | 32016B1129(09) |
<table><col/><col/><col/><col/><tbody><tr><td><p>7.1.2015   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 3/34</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2015/10
of 6 January 2015
on criteria for applicants for rail infrastructure capacity and repealing Implementing Regulation (EU) No 870/2014
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area ( 1 ) , and in particular Article 41(3) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 41(2) of Directive 2012/34/EU provides for the possibility for infrastructure managers to set requirements with regard to applicants to ensure that their legitimate expectations about future revenues and utilisation of the infrastructure are safeguarded.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Those requirements should be appropriate, transparent and non-discriminatory. They can only include the provision of a financial guarantee that should not exceed an appropriate level proportional to the contemplated level of activity, and assurance of the capability of the applicant to prepare compliant bids for infrastructure capacity.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Financial guarantees could take the form of advance payments or guarantees provided by financial institutions</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The appropriateness of the requirements referred to in Article 41(2) of Directive 2012/34/EU should take account of the fact that the infrastructure of competing transport modes, such as road and air transport, sea ships and inland waterways, is often free of user charges and hence also free of financial guarantees thereon. In order to ensure fair competition between transport modes, financial guarantees should be limited to the strict minimum in terms of level and duration.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Those financial guarantees are only appropriate if they are necessary for the purpose of reassuring the infrastructure manager about the future revenues and utilisation of the infrastructure. Considering that infrastructure managers are able to rely on the checks and surveillance of the financial fitness of railway undertakings under the licensing procedure in accordance with Chapter III of Directive 2012/34/EU, and in particular Article 20 of that Directive, the need for financial guarantees is further reduced.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The principle of non-discrimination applies to those guarantees, therefore there should be no distinction between the guarantee requirements for privately and publicly owned applicants.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Guarantees should be commensurate with the level of risk posed by the applicant for the infrastructure manager at different stages of capacity allocation. The risk is considered generally to be low as long as the capacity can be re-allocated to other railway undertakings.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>A guarantee which is requested in relation to the preparation of compliant bids can only be considered as appropriate, transparent and non-discriminatory if the infrastructure manager sets out clear and transparent rules for preparing a capacity request in the network statement, and offers the necessary support tools to applicants. Since it is not possible to objectively determine the capability of preparing compliant bids before the application procedure, any lack of capability can only be determined after that procedure, on the basis of a repeated failure to put forward those bids or provide the necessary information to the infrastructure manager. The applicant should be responsible for that failure which carries a sanction involving the exclusion of the applicant from the application for a specific train path.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>Commission Implementing Regulation (EU) No 870/2014<a> (<span>2</span>)</a> was mistakenly adopted in a version other than that which had received the positive opinion of the Committee. Implementing Regulation (EU) No 870/2014 should accordingly be repealed.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Committee referred to in Article 62(1) of Directive 2012/34/EU,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Subject matter
This Regulation sets out the requirements for financial guarantees that an infrastructure manager may request to ensure that its legitimate expectations about future revenues are met without exceeding a level proportional to the level of activities contemplated by the applicant. The requirements include in particular the conditions when a guarantee or an advance payment may be requested and the level and duration of a financial guarantee. In addition, this Regulation sets out certain details as regards the criteria to assess the capability of an applicant to prepare compliant bids for infrastructure capacity.
Article 2
Definitions
For the purpose of this Regulation, the following definition applies:
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>‘financial guarantee’ means (a) advance payments to reduce and anticipate future obligations to pay infrastructure charges or (b) contractual arrangements by which a financial institution such as bank commits to ensure that such payments are effected once they are due.</p></td></tr></tbody></table>
Article 3
Conditions for financial guarantees
1. The applicant may choose to meet a request for financial guarantee by means of either advance payment or contractual arrangement in the meaning of Article 2. If an applicant provides an advance payment for infrastructure charges, the infrastructure manager shall not at the same time request other financial guarantees for the same contemplated activities.
2. The infrastructure manager may request applicants to provide financial guarantees where the credit rating of the applicant suggests that he might have difficulties in effecting regular payments for infrastructure charges. The infrastructure manager shall mention such credit ratings in the section on charging principles of its network statement, if applicable. The infrastructure manager shall base his request for a financial guarantee on ratings not older than two years provided by a credit rating agency or another professional rating or credit scoring entity.
3. The infrastructure manager shall not request a financial guarantee:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>from the designated railway undertaking if a financial guarantee has already been granted or paid by the applicant, which is not a railway undertaking, to cover future payments for the same contemplated activities;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>if the infrastructure charge is to be paid directly to the infrastructure manager by a competent authority pursuant to Regulation (EC) No 1370/2007 of the European Parliament and of the Council<a> (<span>3</span>)</a>.</p></td></tr></tbody></table>
Article 4
Level and duration of financial guarantees
1. The level of financial guarantees regarding one applicant shall not exceed the estimated amount of charges incurred during two months of train operations requested.
2. An infrastructure manager shall not require that a financial guarantee takes effect or is paid more than 10 days before the first of the month in which the railway undertaking starts the train operations in relation to the infrastructure charges which this financial guarantee is to cover. If the capacity is allocated after this point in time, the infrastructure manager may request the financial guarantee at short notice.
Article 5
Capability to prepare compliant bids for infrastructure capacity
The infrastructure manager shall not reject an application for a specific train path on grounds of failing to provide assurance of the capability to prepare a compliant bid for infrastructure capacity, within the meaning of Article 41(2) of Directive 2012/34/EU, unless:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the applicant has failed to answer two subsequent requests requiring the provision of the missing information or has repeatedly responded in a way that does not satisfy the conditions set out in the network statement referred to in Article 27 of Directive 2012/34/EU and in Annex IV to that Directive regarding the application procedures for train paths and</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the infrastructure manager is able to demonstrate at the request of and to the satisfaction of the regulatory body that it has taken all reasonable steps to support the correct and timely submission of applications.</p></td></tr></tbody></table>
Article 6
Transitional provision
Where necessary, infrastructure managers shall align their network statements to the provisions of this Regulation for the first time table period following the entry into force of this Regulation.
Article 7
Implementing Regulation (EU) No 870/2014 is repealed.
Article 8
This Regulation shall enter into force on the twentieth day following that of its publication the Official Journal of the European Union .
It shall apply from 16 June 2015, with the exception of Article 7, which shall apply from the date of entry into force.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 6 January 2015.
For the Commission
The President
Jean-Claude JUNCKER
<note>
( 1 ) OJ L 343, 14.12.2012, p. 32 .
( 2 ) Commission Implementing Regulation (EU) No 870/2014 of 11 August 2014 on criteria for applicants for rail infrastructure capacity ( OJ L 239, 12.8.2014, p. 11 ).
( 3 ) Regulation (EC) No 1370/2007 of the European Parliament and of the Council of 23 October 2007 on public passenger transport services by rail and by road and repealing Council Regulations (EEC) Nos 1191/69 and 1107/70 ( OJ L 315, 3.12.2007, p. 1 ).
</note> | ENG | 32015R0010 |
<table><col/><col/><col/><col/><tbody><tr><td><p>10.3.2023   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 73/5</p></td></tr></tbody></table>
COMMISSION DELEGATED DIRECTIVE (EU) 2023/544
of 16 December 2022
amending Directive 2000/53/EC of the European Parliament and of the Council as regards the exemptions for the use of lead in aluminium alloys for machining purposes, in copper alloys and in certain batteries
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Directive 2000/53/EC of the European Parliament and of the Council of 18 September 2000 on end-of-life vehicles ( 1 ) , and in particular Article 4(2), point (b), thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Pursuant to Article 4(2), point (a), of Directive 2000/53/EC, Member States are to ensure that materials and components of vehicles put on the market after 1 July 2003 do not contain lead, mercury, cadmium or hexavalent chromium.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Annex II to Directive 2000/53/EC lists vehicle materials and components that are exempt from the prohibition pursuant to Article 4(2), point (a), thereof.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The Commission assessed the exemption set out in entry 2(c)(i) of Annex II to Directive 2000/53/EC regarding aluminium alloys for machining purposes in view of technical and scientific progress. This assessment led to the conclusion that there are suitable alternatives available, but that a transitional period is needed to replace the use of lead in all the materials and components covered by that exemption. The use of lead in the materials and components concerned, including lead in wrought aluminium, could be phased out by the end of 2027. It is therefore appropriate to provide for an expiry date for that exemption.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The Commission assessed the exemption set out in entry 3 of Annex II to Directive 2000/53/EC regarding copper alloys in view of technical and scientific progress. This assessment led to the conclusion that there are still no suitable alternatives to the use of lead in the materials and components covered by that exemption. Taking into account the progress made in the development of substitutes to lead in the materials and components concerned, it is appropriate to provide for a new review date for that exemption.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The Commission assessed the exemption set out in entry 5(b) of Annex II to Directive 2000/53/EC regarding lead in batteries for battery applications not included in entry 5(a) of that Annex, which concerns batteries in high voltage systems, in view of technical and scientific progress. This assessment led to the conclusion that the use of lead in batteries for battery applications not included in entry 5(a) of Annex II to Directive 2000/53/EC can be avoided for some applications but not for batteries used in 12 V applications. In order to apply a consistent regulatory framework for batteries, including those that are not falling under the exemption set out in entry 5(a) of Annex II to Directive 2000/53/EC and are not used in 12 V applications, it is appropriate to provide for two separate entries 5(b)(i) and 5(b)(ii) instead of a single entry 5(b).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Entry 5(b)(i) should provide an exemption for the use of lead in batteries used in 12 V applications and for the use of lead in batteries used in 24 V applications in special purpose vehicles as defined in Article 3 of Regulation (EU) 2018/858 of the European Parliament and of the Council <a>(<span>2</span>)</a>. Taking into account the progress made in the development of substitutes to the use of lead in the batteries concerned, it is appropriate to provide for a review date for those exemptions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Entry 5(b)(ii) should provide for an exemption for the use of lead in batteries for other battery applications that are not included in entry 5(a) and entry 5(b)(i)of Annex II to Directive 2000/53/EC. The assessment led to the conclusion that lead-based batteries for those applications are avoidable given the progress made in the development of substitutes to the use of lead in batteries used in such applications. It is therefore appropriate to provide for an expiry date for that exemption that allows phasing out of the use of lead in the batteries concerned.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Directive 2000/53/EC should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS DIRECTIVE:
Article 1
Annex II to Directive 2000/53/EC is replaced by the text set out in the Annex to this Directive.
Article 2
1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 1 June 2023. They shall forthwith communicate to the Commission the text of those provisions.
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 twentieth day following that of its publication in the Official Journal of the European Union .
Article 4
This Directive is addressed to the Member States.
Done at Brussels, 16 December 2022.
For the Commission
The President
Ursula VON DER LEYEN
( 1 ) OJ L 269, 21.10.2000, p. 34 .
( 2 ) Regulation (EU) 2018/858 of the European Parliament and of the Council of 30 May 2018 on the approval and market surveillance of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles, amending Regulations (EC) No 715/2007 and (EC) No 595/2009 and repealing Directive 2007/46/EC ( OJ L 151, 14.6.2018, p. 1 ).
ANNEX
‘ANNEX II
Materials and components exempt from Article 4(2), point (a)
A maximum concentration value of substances up to 0,1 % by weight in homogeneous material for lead, hexavalent chromium and mercury and up to 0,01 % by weight in homogeneous material for cadmium shall be tolerated.
Spare parts put on the market after 1 July 2003 which are used for vehicles put on the market before 1 July 2003, except for wheel balance weights, carbon brushes for electric motors and brake linings, shall be exempted from Article 4(2), point (a), of Directive 2000/53/EC.
<table><col/><col/><col/><tbody><tr><td><p>Materials and components</p></td><td><p>Scope and expiry date of the exemption</p></td><td><p>To be labelled or made identifiable in accordance with Article 4(2), point (b)(iv)</p></td></tr><tr><td><p><span>Lead as an alloying element</span></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>1(a).</p></td><td><p>Steel for machining purposes and batch hot dip galvanised steel components containing up to 0,35 % lead by weight</p></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>1(b).</p></td><td><p>Continuously galvanised steel sheet containing up to 0,35 % lead by weight</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2016 and spare parts for these vehicles</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>2(a).</p></td><td><p>Aluminium for machining purposes with a lead content up to 2 % by weight</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 1 July 2005</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>2(b).</p></td><td><p>Aluminium with a lead content up to 1,5 % by weight</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 1 July 2008</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>2(c)(i).</p></td><td><p>Aluminium alloys for machining purposes with a lead content up to 0,4 % by weight</p></td></tr></tbody></table></td><td><p>Vehicles type-approved before 1 January 2028 and spare parts for these vehicles</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>2(c)(ii).</p></td><td><p>Aluminium alloys not included in entry 2(c)(i) with a lead content up to 0,4 % by weight<a> (<span>2</span>)</a></p></td></tr></tbody></table></td><td><p><a> (<span>1</span>)</a></p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>Copper alloys containing up to 4 % lead by weight</p></td></tr></tbody></table></td><td><p><a> (<span>3</span>)</a></p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>4(a).</p></td><td><p>Bearing shells and bushes</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 1 July 2008</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>4(b).</p></td><td><p>Bearing shells and bushes in engines, transmissions and air conditioning compressors</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 1 July 2011</p></td><td><p> </p></td></tr><tr><td><p><span>Lead and lead compounds in components</span></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>5(a).</p></td><td><p>Lead in batteries used in high-voltage systems<a> (<span>4</span>)</a> that are used only for propulsion in M1 and N1 vehicles</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2019 and spare parts for these vehicles</p></td><td><p>X</p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>5(b)(i).</p></td><td><p>Lead in batteries:</p><table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>used in 12 V applications</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>used in 24 V applications in special purpose vehicles as defined in Article 3 of Regulation (EU) 2018/858<a> (<span>7</span>)</a> of the European Parliament and of the Council</p></td></tr></tbody></table></td></tr></tbody></table></td><td><p><a> (<span>3</span>)</a></p></td><td><p>X</p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>5(b)(ii).</p></td><td><p>Lead in batteries used in applications not included in entry 5(a) or entry 5(b)(i)</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2024 and spare parts for these vehicles</p></td><td><p>X</p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>Vibration dampers</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2016 and spare parts for these vehicles</p></td><td><p>X</p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>7(a).</p></td><td><p>Vulcanising agents and stabilisers for elastomers in brake hoses, fuel hoses, air ventilation hoses, elastomer/metal parts in the chassis applications, and engine mountings</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 1 July 2005</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>7(b).</p></td><td><p>Vulcanising agents and stabilisers for elastomers in brake hoses, fuel hoses, air ventilation hoses, elastomer/metal parts in the chassis applications, and engine mountings containing up to 0,5 % lead by weight</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 1 July 2006</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>7(c).</p></td><td><p>Bonding agents for elastomers in powertrain applications containing up to 0,5 % lead by weight</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 1 July 2009</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(a).</p></td><td><p>Lead in solders to attach electrical and electronic components to electronic circuit boards and lead in finishes on terminations of components other than electrolyte aluminium capacitors, on component pins and on electronic circuit boards</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2016 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(b).</p></td><td><p>Lead in solders in electrical applications other than soldering on electronic circuit boards or on glass</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2011 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(c).</p></td><td><p>Lead in finishes on terminals of electrolyte aluminium capacitors</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2013 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(d).</p></td><td><p>Lead used in soldering on glass in mass airflow sensors</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2015 and spare parts of these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(e).</p></td><td><p>Lead in high melting temperature type solders (i.e. lead-based alloys containing 85 % by weight or more lead)</p></td></tr></tbody></table></td><td><p><a> (<span>1</span>)</a></p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(f)(i).</p></td><td><p>Lead in compliant pin connector systems</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2017 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(f)(ii).</p></td><td><p>Lead in compliant pin connector systems other than the mating area of vehicle harness connectors</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2024 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(g)(i).</p></td><td><p>Lead in solders to complete a viable electrical connection between semiconductor die and carrier within integrated circuit flip chip packages</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 October 2022 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(g)(ii).</p></td><td><p>Lead in solders to complete a viable electrical connection between the semiconductor die and the carrier within integrated circuit flip chip packages where that electrical connection consists of any of the following:</p><table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>a semiconductor technology node of 90 nm or larger;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>a single die of 300 mm<span><span>2</span></span> or larger in any semiconductor technology node;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>stacked die packages with dies of 300 mm<span><span>2</span></span> or larger, or silicon interposers of 300mm<span><span>2</span></span> or larger.</p></td></tr></tbody></table></td></tr></tbody></table></td><td><p><a> (<span>1</span>)</a></p><p>Vehicles type-approved from 1 October 2022 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(h).</p></td><td><p>Lead in solder to attach heat spreaders to the heat sink in power semiconductor assemblies with a chip size of at least 1 cm<span>2</span> of projection area and a nominal current density of at least 1 A/mm<span>2</span> of silicon chip area</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2016 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(i).</p></td><td><p>Lead in solders in electrical glazing applications on glass except for soldering in laminated glazing</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2016 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(j).</p></td><td><p>Lead in solders for soldering of laminated glazing</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2020 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8(k).</p></td><td><p>Soldering of heating applications with 0,5 A or more of heat current per related solder joint to single panes of laminated glazings not exceeding wall thickness of 2,1 mm. This exemption does not cover soldering to contacts embedded in the intermediate polymer.</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2024 and spare parts for these vehicles</p></td><td><p>X<a> (<span>5</span>)</a></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>9.</p></td><td><p>Valve seats</p></td></tr></tbody></table></td><td><p>As spare parts for engine types developed before 1 July 2003</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>10(a).</p></td><td><p>Electrical and electronic components, which contain lead in a glass or ceramic, in a glass or ceramic matrix compound, in a glass-ceramic material, or in a glass-ceramic matrix compound.</p><p>This exemption does not cover the use of lead in:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>glass in bulbs and glaze of spark plugs,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>dielectric ceramic materials of components listed under 10(b), 10(c) and 10(d).</p></td></tr></tbody></table></td></tr></tbody></table></td><td><p> </p></td><td><p>X<a> (<span>6</span>)</a> (for components other than piezo in engines)</p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>10(b).</p></td><td><p>Lead in PZT based dielectric ceramic materials of capacitors being part of integrated circuits or discrete semiconductors</p></td></tr></tbody></table></td><td><p> </p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>10(c).</p></td><td><p>Lead in dielectric ceramic materials of capacitors with a rated voltage of less than 125 V AC or 250 V DC</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2016 and spare parts for these vehicles</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>10(d).</p></td><td><p>Lead in the dielectric ceramic materials of capacitors compensating the temperature-related deviations of sensors in ultrasonic sonar systems</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2017 and spare parts for these vehicles</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>11.</p></td><td><p>Pyrotechnic initiators</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 July 2006 and spare parts for these vehicles</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>12.</p></td><td><p>Lead-containing thermoelectric materials in automotive electrical applications to reduce CO<span>2</span> emissions by recuperation of exhaust heat</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 January 2019 and spare parts for these vehicles</p></td><td><p>X</p></td></tr><tr><td><p><span>Hexavalent chromium</span></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>13(a).</p></td><td><p>Corrosion preventive coatings</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 1 July 2007</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>13(b).</p></td><td><p>Corrosion preventive coatings related to bolt and nut assemblies for chassis applications</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 1 July 2008</p></td><td><p> </p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>14.</p></td><td><p> </p></td></tr></tbody></table><p>Hexavalent chromium as an anti-corrosion agent of the carbon steel cooling system in absorption refrigerators up to 0,75 % by weight in the cooling solution:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>designed to operate fully or partly with electrical heater, having an average utilised electrical power input < 75W at constant running conditions;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>designed to operate fully or partly with electrical heater, having an average utilised electrical power input ≥ 75W at constant running conditions;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>designed to fully operate with non-electrical heater.</p></td></tr></tbody></table></td><td><p>For (a): Vehicles type approved before 1 January 2020 and spare parts for these vehicles</p><p>For (b): Vehicles type approved before 1 January 2026 and spare parts for these vehicles</p></td><td><p>X</p></td></tr><tr><td><p><span>Mercury</span></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>15(a).</p></td><td><p>Discharge lamps for headlight application</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 July 2012 and spare parts for these vehicles</p></td><td><p>X</p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>15(b).</p></td><td><p>Fluorescent tubes used in instrument panel displays</p></td></tr></tbody></table></td><td><p>Vehicles type approved before 1 July 2012 and spare parts for these vehicles</p></td><td><p>X</p></td></tr><tr><td><p><span>Cadmium</span></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>16.</p></td><td><p>Batteries for electrical vehicles</p></td></tr></tbody></table></td><td><p>As spare parts for vehicles put on the market before 31 December 2008</p></td><td><p> </p></td></tr><tr><td><p>Notes to the table:</p></td></tr></tbody></table>
<note>
( 1 ) This exemption shall be reviewed in 2024.
( 2 ) Applies to aluminium alloys where lead is not intentionally introduced, but is present due to the use of recycled aluminium.
( 3 ) This exemption shall be reviewed in 2025.
( 4 ) Systems that have a voltage of > 75 V DC as provided for in Article 1 of Directive 2014/35/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of electrical equipment designed for use within certain voltage limits ( OJ L 96, 29.3.2014, p. 357 ).
( 5 ) Dismantling if, in correlation with entry 10(a), an average threshold of 60 grams per vehicle is exceeded. For the purposes of this note electronic devices not installed by the manufacturer on the production line shall not be taken into account.
( 6 ) Dismantling if, in correlation with entries 8(a) to 8(k), an average threshold of 60 grams per vehicle is exceeded. For the purposes of this note electronic devices not installed by the manufacturer on the production line shall not be taken into account.’
( 7 ) Regulation (EU) 2018/858 of the European Parliament and of the Council of 30 May 2018 on the approval and market surveillance of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles, amending Regulations (EC) No 715/2007 and (EC) No 595/2009 and repealing Directive 2007/46/EC ( OJ L 151, 14.6.2018, p. 1 ).
</note> | ENG | 32023L0544 |
<table><col/><col/><col/><col/><tbody><tr><td><p>14.7.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 189/40</p></td></tr></tbody></table>
COMMISSION REGULATION (EU) 2016/1143
of 13 July 2016
amending Annex VI to Regulation (EC) No 1223/2009 of the European Parliament and of the Council on cosmetic products
(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 1223/2009 of the European Parliament and of the Council of 30 November 2009 on cosmetic products ( 1 ) , and in particular Article 31(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Titanium dioxide is authorised both as a colorant under entry 143 of Annex IV to Regulation (EC) No 1223/2009 and as a UV-filter under entry 27 of Annex VI to that Regulation. In accordance with point (3) of the Preamble to Annexes II to VI to Regulation (EC) No 1223/2009, the substances listed in Annexes III to VI to that Regulation do not cover nanomaterials, except where specifically mentioned. Titanium dioxide (nano) is currently not regulated.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>According to the opinion of the Scientific Committee on Consumer Safety (‘SCCS’) of 22 July 2013, which was revised on 22 April 2014<a> (<span>2</span>)</a>, the use of titanium dioxide (nano) as a UV-filter in sunscreens, with the characteristics as indicated in the opinion, and at a concentration up to 25 % w/w, can be considered to not pose any risk of adverse effects in humans after application on healthy, intact or sunburnt skin. In addition, considering the absence of a systemic exposure, the SCCS considers that the use of titanium dioxide (nano) in dermally applied cosmetic products should not pose any significant risk to the consumer.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The characteristics indicated by the SCCS in its opinion concern the physico-chemical properties of the material (such as purity, structure and physical appearance, particle number size distribution, aspect ratio, volume specific surface area and photocatalytic activity) and whether it is uncoated or coated with specific chemicals. Therefore, these physico-chemical properties and requirements regarding coatings should be reflected in Regulation (EC) No 1223/2009.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The SCCS also considered that, on the basis of available information, the use of titanium dioxide (nano) in spray products cannot be considered safe. In addition, the SCCS indicated, in a further opinion of 23 September 2014 for clarification of the meaning of the term ‘sprayable applications/products’ for the nano forms of carbon black CI 77266, titanium dioxide and zinc oxide<a> (<span>3</span>)</a>, that its concern is limited to spray applications that might lead to exposure of the consumer's lungs to titanium dioxide (nano) by inhalation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>In light of the SCCS opinions mentioned above, titanium dioxide (nano), according to the SCCS's specifications, should be authorised for use as a UV-filter in cosmetic products at a maximum concentration of 25 % w/w, except in applications that may lead to exposure of the end-user's lungs by inhalation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Annex VI to Regulation (EC) No 1223/2009 should be amended for the purpose of adapting it to technical and scientific progress.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Cosmetic Products,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Annex VI to Regulation (EC) No 1223/2009 is 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, 13 July 2016.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 342, 22.12.2009, p. 59 .
( 2 ) SCCS/1516/13 Revision of 22 April 2014, http://ec.europa.eu/health/scientific_committees/consumer_safety/docs/sccs_o_136.pdf
( 3 ) SCCS/1539/14 23 September 2014 Revision of 25 June 2015 http://ec.europa.eu/health/scientific_committees/consumer_safety/docs/sccs_o_163.pdf
ANNEX
Annex VI to Regulation (EC) No 1223/2009 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>entry 27 is replaced by the following entry:</p><table><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Substance Identification</p></td><td><p>Conditions</p></td><td><p> </p></td></tr><tr><td><p>Reference number</p></td><td><p>Chemical name/INN/XAN</p></td><td><p>Name of Common Ingredients Glossary</p></td><td><p>CAS number</p></td><td><p>EC number</p></td><td><p>Product type, Body parts</p></td><td><p>Maximum concentration in ready for use preparation</p></td><td><p>Other</p></td><td><p>Wording of conditions of use and warnings</p></td></tr><tr><td><p>a</p></td><td><p>b</p></td><td><p>c</p></td><td><p>d</p></td><td><p>e</p></td><td><p>f</p></td><td><p>g</p></td><td><p>h</p></td><td><p>i</p></td></tr><tr><td><p>‘27</p></td><td><p>Titanium dioxide<a> (<span>*</span>)</a></p></td><td><p>Titanium Dioxide</p></td><td><p>13463-67-7/</p><p>1317-70-0/</p><p>1317-80-2</p></td><td><p>236-675-5/</p><p>215-280-1/</p><p>215-282-2</p></td><td><p> </p></td><td><p>25 %<a> (<span>**</span>)</a></p></td><td><p> </p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>entry 27a is inserted:</p><table><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Substance Identification</p></td><td><p>Conditions</p></td><td><p> </p></td></tr><tr><td><p>Reference number</p></td><td><p>Chemical name/INN/XAN</p></td><td><p>Name of Common Ingredients Glossary</p></td><td><p>CAS number</p></td><td><p>EC number</p></td><td><p>Product type, Body parts</p></td><td><p>Maximum concentration in ready for use preparation</p></td><td><p>Other</p></td><td><p>Wording of conditions of use and warnings</p></td></tr><tr><td><p>a</p></td><td><p>b</p></td><td><p>c</p></td><td><p>d</p></td><td><p>e</p></td><td><p>f</p></td><td><p>g</p></td><td><p>h</p></td><td><p>i</p></td></tr><tr><td><p>‘27a</p></td><td><p>Titanium dioxide<a> (<span>***</span>)</a></p></td><td><p>Titanium Dioxide (nano)</p></td><td><p>13463-67-7/</p><p>1317-70-0/</p><p>1317-80-2</p></td><td><p>236-675-5/</p><p>215-280-1/</p><p>215-282-2</p></td><td><p> </p></td><td><p>25 %<a> (<span>****</span>)</a></p></td><td><p>Not to be used in applications that may lead to exposure of the end-user's lungs by inhalation</p><p>Only nanomaterials having the following characteristics are allowed:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>purity ≥ 99 %,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>rutile form, or rutile with up to 5 % anatase, with crystalline structure and physical appearance as clusters of spherical, needle, or lanceolate shapes,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>median particle size based on number size distribution ≥ 30 nm,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>aspect ratio from 1 to 4,5, and volume specific surface area ≤ 460 m<span>2</span>/cm<span>3</span>,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>coated with Silica, Hydrated Silica, Alumina, Aluminium Hydroxide, Aluminium Stearate, Stearic Acid, Trimethoxycaprylylsilane, Glycerin, Dimethicone, Hydrogen Dimethicone, Simethicone;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>photocatalytic activity ≤ 10 % compared to corresponding non-coated or non-doped reference,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>nanoparticles are photostable in the final formulation.</p></td></tr></tbody></table></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table>
<note>
( * ) For use as a colorant, see Annex IV, No 143.
( ** ) In case of combined use of Titanium Dioxide and Titanium Dioxide (nano), the sum shall not exceed the limit given in column g.’;
( *** ) For use as a colorant, see Annex IV, No 143.
( **** ) In case of combined use of Titanium Dioxide and Titanium Dioxide (nano), the sum shall not exceed the limit given in column g.’
</note> | ENG | 32016R1143 |
<table><col/><col/><col/><col/><tbody><tr><td><p>23.6.2023   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>LI 159/526</p></td></tr></tbody></table>
COUNCIL DECISION (CFSP) 2023/1218
of 23 June 2023
amending Decision 2014/145/CFSP concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Article 29 thereof,
Having regard to the proposal from the High Representative of the Union for Foreign Affairs and Security Policy,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 17 March 2014, the Council adopted Decision 2014/145/CFSP <a>(<span>1</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The Union remains unwavering in its support for Ukraine’s sovereignty and territorial integrity.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>In its conclusions of 23 March 2023, the European Council reiterated its resolute condemnation of Russia’s war of aggression against Ukraine, which constitutes a manifest violation of the Charter of the United Nations. The European Council also reiterated that the Union remains committed to maintaining and increasing collective pressure on Russia, including through possible further restrictive measures. The European Council also underlined the importance and urgency of stepping up efforts to ensure the effective implementation of sanctions at European and national level and its firm commitment to effectively preventing and countering their circumvention in and by third countries. It invited the Council and the Commission to strengthen all necessary enforcement instruments and to develop, together with Member States, a fully coordinated approach to that effect.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The Council considers that circumventing the restrictive measures adopted by the Union in response to Russia’s war of aggression against Ukraine, or otherwise significantly frustrating such restrictive measures by third country operators not bound by those measures in such a way as to contribute to Russia’s capacity to wage war, may undermine the purpose and effectiveness of those measures. Indications of cases of frustrating the Union’s restrictive measures could include, inter alia, the fact that the main activity of a third country operator consists of purchasing restricted goods in the Union that reach Russia, the involvement of Russian persons or entities at any stage, the recent creation of a company for purposes related to restricted goods reaching Russia, or a drastic increase in the turnover of a third country operator involved in such activities.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The Council has also assessed that information warfare constitutes a key means by which Russia implements its war of aggression against Ukraine and commits gross violations of international law and the principles of the Charter of the United Nations. Companies in the IT sector that provide critical technology and software to the Russian intelligence community hold a licence from the Federal Security Service of the Russian Federation (FSB), which enables them to work with information at the Russian security level of ‘state secret’. Additionally, such companies often hold a particular ‘weapons and military equipment’ license administered by the Russian Ministry of Industry and Trade. The Council therefore considers that the criteria for designation should be extended in order to cover legal persons, entities, or bodies operating in the Russian IT sector that hold a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets or a ‘weapons and military equipment’ license administered by the Russian Ministry of Industry and Trade.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Moreover, in view of the gravity of the situation, the Council considers that 71 persons and 33 entities responsible for actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine should be added to the list of persons, entities and bodies subject to restrictive measures set out in the Annex to Decision 2014/145/CFSP.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>It is appropriate to extend to two newly listed financial institutions a derogation from the asset freeze and from the prohibition on making funds and economic resources available that was applicable to previously-listed financial institutions pursuant to Decision 2014/145/CFSP. It is also appropriate to introduce a further derogation from the asset freeze and the prohibition on making funds and economic resources available to certain listed entities to allow for divestment from Russian companies and the disposal of certain types of securities held with specified listed entities. It is also appropriate to introduce a derogation allowing for the setting-up, certification or evaluation of a firewall that removes the control exercised by a listed person over the assets of a non-listed Union entity which the listed person owns or controls and that ensures that no benefit accrues to the latter, thus allowing that entity to continue its business operations. With a view to safeguarding maritime safety, it is appropriate to introduce an exemption from the asset freeze and the prohibition on making funds and economic resources available to allow for the provision of pilot services in specific circumstances.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Further action by the Union is needed in order to implement certain measures.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>Decision 2014/145/CFSP should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
Decision 2014/145/CFSP is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 1 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>in paragraph 1, point (f) is replaced by the following:</p><table><col/><col/><tbody><tr><td><p>‘(f)</p></td><td><p>natural persons:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>facilitating infringements of the prohibition against circumvention of the provisions of this Decision, or of Decisions 2014/386/CFSP<a> (<span>*1</span>)</a>, 2014/512/CFSP<a> (<span>*2</span>)</a>, or (CFSP) 2022/266<a> (<span>*3</span>)</a>, or of Council Regulations (EU) No 269/2014<a> (<span>*4</span>)</a>, (EU) No 692/2014<a> (<span>*5</span>)</a>, (EU) No 833/2014<a> (<span>*6</span>)</a> or (EU) 2022/263<a> (<span>*7</span>)</a>; or</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>otherwise significantly frustrating those provisions,</p></td></tr></tbody></table></td></tr></tbody></table><p><a>(<span>*1</span>)</a>  Council Decision 2014/386/CFSP of 23 June 2014 concerning restrictive measures in response to the illegal annexation of Crimea and Sevastopol (<a>OJ L 183, 24.6.2014, p. 70</a>)."</p><p><a>(<span>*2</span>)</a>  Council Decision 2014/512/CFSP of 31 July 2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine (<a>OJ L 229, 31.7.2014, p. 13</a>)."</p><p><a>(<span>*3</span>)</a>  Council Decision (CFSP) 2022/266 of 23 February 2022 concerning restrictive measures in response to the illegal recognition, occupation or annexation by the Russian Federation of certain non-government controlled areas of Ukraine (<a>OJ L 42 I, 23.2.2022, p. 109</a>)."</p><p><a>(<span>*4</span>)</a>  Council Regulation (EU) No 269/2014 of 17 March 2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine (<a>OJ L 78, 17.3.2014, p. 6</a>)."</p><p><a>(<span>*5</span>)</a>  Council Regulation (EU) No 692/2014 of 23 June 2014 concerning restrictive measures in response to the illegal annexation of Crimea and Sevastopol (<a>OJ L 183, 24.6.2014, p. 9</a>)."</p><p><a>(<span>*6</span>)</a>  Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine (<a>OJ L 229, 31.7.2014, p. 1</a>)."</p><p><a>(<span>*7</span>)</a>  Council Regulation (EU) 2022/263 of 23 February 2022 concerning restrictive measures in response to the illegal recognition, occupation or annexation by the Russian Federation of certain non-government controlled areas of Ukraine (<a>OJ L 42 I, 23.2.2022, p. 77</a>).’;"</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in paragraph 1, the wording ‘and natural persons associated with them, as listed in the Annex.’ is replaced by the following:</p><p>‘and natural persons associated with them or with the legal persons, entities or bodies listed under Article 2(1)(i), as listed in the Annex.’;</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Article 2 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>in paragraph 1, point (h) is replaced by the following:</p><table><col/><col/><tbody><tr><td><p>‘(h)</p></td><td><p>natural or legal persons, entities or bodies:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>facilitating infringements of the prohibition against circumvention of the provisions of this Decision, or of Decisions 2014/386/CFSP, 2014/512/CFSP or (CFSP) 2022/266, or of Regulations (EU) No 269/2014, (EU) No 692/2014, (EU) No 833/2014 or (EU) 2022/263; or</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>otherwise significantly frustrating those provisions; or’;</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in paragraph 1, the following point is added:</p><table><col/><col/><tbody><tr><td><p>‘(i)</p></td><td><p>legal persons, entities or bodies operating in the Russian IT-sector with a license administered by the Federal Security Service of the Russian Federation (FSB) Center for Licensing, Certification, and Protection of State Secrets or a “weapons and military equipment” license administered by the Russian Ministry of Industry and Trade,’;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the first subparagraph of paragraph 17 is replaced by the following:</p><div><p>‘17.   By way of derogation from paragraphs 1 and 2, the competent authorities of a Member State may authorise the release of certain frozen funds or economic resources belonging to the entities listed under entry numbers 53, 54, 55, 79, 80, 81, 82, 108, 126, 127, 198, 199, 200, 214 and 215 under the heading “Entities” in the Annex, or the making available of certain funds or economic resources to those entities, under such conditions as the competent authorities deem appropriate and after having determined that such funds or economic resources are necessary for the purchase, import or transport of agricultural and food products, including wheat and fertilisers.’</p></div>;</td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>paragraph 22 is replaced by the following:</p><div><p>‘22.   By way of derogation from paragraphs 1 and 2, the competent authorities of the Member States may, under such conditions as they deem appropriate, authorise the release of certain frozen funds or economic resources belonging to the entities listed under entry numbers 82 and 101 under the heading ‘Entities’ in the Annex, or the making available of certain funds or economic resources to those entities, after having determined that:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>such funds or economic resources are necessary for the disposal or the transfer of securities by an entity established in the Union, currently or previously controlled by the entity listed under entry number 82 under the heading ‘Entities’ in the Annex;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>such disposal or transfer is completed by 31 December 2023; and</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>such disposal or transfer is carried out on the basis of operations, contracts or other agreements concluded with, or otherwise involving, the entities listed under entry numbers 82 and 101 under the heading ‘Entities’ in the Annex, before 3 June 2022.’</p></td></tr></tbody></table></div>;</td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the following paragraphs are added:</p><div><p>‘24.   By way of derogation from paragraphs 1 and 2, the competent authorities of a Member State may authorise the release of certain frozen funds or economic resources belonging to the natural person listed under entry number 695 under the heading “Persons” in the Annex, or the making available of certain funds or economic resources to this natural person or an entity owned by this natural person, under such conditions as the competent authorities deem appropriate and after having determined that such funds or economic resources are necessary for the completion of transactions, including sales, which are strictly necessary for the wind-down, by 31 August 2023, of a joint venture or similar legal arrangement established in Russia with this natural person or an entity owned by this natural person before 28 February 2022.</p></div><div><p>25.   By way of derogation from paragraphs 1 and 2, the competent authorities of a Member State may authorise the conversion by 24 December 2023 by nationals or residents of a Member State, or an entity established in the Union, of a depositary receipt with Russian underlying security held with the entity listed under entry number 101 under the heading ‘Entities’ in the Annex for the purpose of selling the underlying security and the making available of funds linked to the conversion of the depositary receipt and to the sale of the underlying security directly or indirectly to that entity in Russia, under such conditions as the competent authorities deem appropriate and after having determined that:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the depositary receipt was issued before 3 June 2022;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the relevant request for authorisation is submitted by 24 September 2023;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the holder of the depositary receipt is able to demonstrate that such conversion is necessary for the sale of the underlying security;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the sale of the underlying security is compliant with the prohibition under Decision 2014/512/CFSP, including Articles 1 and 1d thereof;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>no funds will be made available to any other entity listed in the Annex.</p></td></tr></tbody></table></div><div><p>26.   By way of derogation from paragraphs 1 and 2, the competent authorities of a Member State may authorise the release of certain frozen funds or economic resources belonging to, owned, held or controlled by a natural or legal person, entity or body listed in the Annex, or the provision of services to such a natural or legal person, entity or body, under such conditions as they deem appropriate and after having determined that this is strictly necessary for the setting-up, certification or evaluation of a firewall which:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>removes the control by the natural or legal person, entity or body listed in the Annex over the assets of a non-listed legal person, entity or body incorporated or constituted under the law of a Member State and which is owned or controlled by the former, and</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>ensures that no further funds or economic resources accrue for the benefit of the listed natural or legal person, entity or body.</p></td></tr></tbody></table></div><div><p>27.   The prohibitions set out in paragraphs 1 and 2 shall not apply to funds or economic resources that are needed for the provision of pilot services to vessels in innocent passage as defined by international law which are necessary for reasons of maritime safety.’</p></div>;</td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>the Annex to Decision 2014/145/CFSP is amended in accordance with the Annex to this Decision.</p></td></tr></tbody></table>
Article 2
This Decision shall enter into force on the date of its publication in the Official Journal of the European Union .
Done at Brussels, 23 June 2023.
For the Council
The President
J. ROSWALL
( 1 ) Council Decision 2014/145/CFSP of 17 March 2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine ( OJ L 78, 17.3.2014, p. 16 ).
ANNEX
The following persons and entities are added to the list of persons, entities and bodies set out in the Annex to Decision 2014/145/CFSP:
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>Persons</p><div><table><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Name</p></td><td><p>Identifying information</p></td><td><p>Statement of Reasons</p></td><td><p>Date of listing</p></td></tr><tr><td><p>‘1502.</p></td><td><p>Vyacheslav Alekseevich BOCHAROV</p><p>(Вячеслав Алексеевич БОЧАРОВ)</p></td><td><p>DOB: 17.10.1955</p><p>POB: Donskoy, Tula Oblast, Russian SFSR, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Member of the working group special military operation; First Deputy President of the Public Chamber of the Russian Federation</p></td><td><p>Vyacheslav Bocharov is a member of the working group established by President Putin in December 2022 that is tasked with coordinating the mobilization efforts of the Russian Federation to support its war of aggression against Ukraine. Beyond his role in the working group he serves as the First Deputy President of the Public Chamber of the Russian Federation and has actively expressed vocal support for the Russian invasion of Ukraine.</p><p>Therefore, Vyacheslav Bocharov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1503.</p></td><td><p>Oleg Vladimirovich GORSHENIN</p><p>(Олег Владимирович ГОРШЕНИН)</p></td><td><p>DOB: 8.7.1978</p><p>POB: Schwerin, Germany</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Member of the “working group special military operation” established per decree by President Putin; Head of the National Defense Control Center of the Russian Federation, Major General.</p></td><td><p>Oleg Gorshenin is a member and secretary of the working group established by President Putin in December 2022 that is tasked with coordinating the mobilization efforts of the Russian Federation to support its war of aggression against Ukraine. Beyond his role in the working group he serves as the head of the National Defense Control Center of the Russian Federation in the rank of Major General which is tasked with coordinating activities of the Russian military forces including those deployed in the Russian war of aggression against Ukraine.</p><p>Therefore, Oleg Gorshenin is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1504.</p></td><td><p>Valeriy Alexandrovich VOSTROTIN</p><p>(Валерий Александрович ВОСТРОТИН)</p></td><td><p>DOB: 20.11.1952</p><p>POB: Kasli, Kaslinsky District, Chelyabinsk Oblast, former USSR, (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Member and Secretary of the “working group special military operation”; Chairman of the Union of Paratroopers of Russia; retired Major General; retired member of the State Duma</p><p>Passport number, national ID number, other numbers of identity documents: 773001557964</p></td><td><p>Valeriy Vostrotin is a member and secretary of the working group established by President Putin in December 2022 that is tasked with coordinating the mobilization efforts of the Russian Federation to support its war of aggression against Ukraine. Beyond his role in the working group he is the leader of the Union of Paratroopers of Russia and is a co-founder of the All-Russia “Young Army” Military Patriotic Social Movement (Yunarmiya).</p><p>Therefore, Valeriy Vostrotin is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p>Associated individuals: Bekkhan Abdulkhamidovich Barakhoyev (Бекхан Абдулхамидович Барахоев), assistant in Vostrotin’s time as Deputy of the State Duma 2004-2011 (listed by the EU since 23.2.2022)</p><p>Associated entities: All-Russia “Young Army” Military Patriotic Social Movement (Yunarmiya), listed by the EU since 21.7.2022</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>1505.</p></td><td><p>Alexander Nikolaevich ZAKHARENKO</p><p>(Александр Николаевич ЗАХАРЕНКО)</p></td><td><p>DOB: 3.3.1979</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Secretary of the “working group special military operation” established per decree by President Putin; Director of the Department for Interaction with State Authorities and Work with the Regions of the State Corporation Roscosmos; Deputy Chair of the Public Council of “Roscosmos”</p></td><td><p>Alexander Zakharenko is a member and secretary of the working group established by President Putin in December 2022 that is tasked with coordinating the mobilization efforts of the Russian Federation to support its war of aggression against Ukraine. Beyond his role in the working group he has been the Director of the Department for Interaction with State Authorities and Work with the Regions of the State Corporation Roscosmos since 2015 which shows his experience in coordinating interdepartmental relations essential to the tasks of the working group.</p><p>Therefore, Alexander Zakharenko is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1506.</p></td><td><p>Alexander Petrovich KOLMAKOV</p><p>(Александр Петрович КОЛМАКОВ)</p></td><td><p>DOB: 31.7.1955</p><p>POB: Korolyov, Moscow Oblast, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Member of the “working group special military operation” established per decree by President Putin; Chairman of the All-Russian public-state organisation “Voluntary Society for Assistance to the Army, Aviation and Navy of Russia”; retired Colonel General</p></td><td><p>Alexander Kolmakov is a member of the working group established by President Putin in December 2022 that is tasked with coordinating the mobilization efforts of the Russian Federation to support its war of aggression against Ukraine. Beyond his role in the working group he serves as the chairman of the all-Russian public-state organisation “Voluntary Society for Assistance to the Army, Aviation and Navy of Russia” which acts as link between Russian military and society by facilitating the recruitment of young people into the military reserves.</p><p>Therefore, Alexander Kolmakov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1507.</p></td><td><p>Andrey Andreevich MEDVEDEV</p><p>(Андрей Андреевич МЕДВЕДЕВ)</p></td><td><p>DOB: 14.12.1975</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Member of the “working group special military operation” established per decree by President Putin; Deputy Chairman of the Moscow Duma, journalist, deputy general director of VGTRK</p><p>Passport number, national ID number, other numbers of identity documents: 771373760000</p></td><td><p>Andrey Medvedev is a member of the working group established by President Putin in December 2022 that is tasked with coordinating the mobilization efforts of the Russian Federation to support its war of aggression against Ukraine. Beyond his role in the working group he serves as the deputy chairman of the Moscow City Duma and regularly appears as a vocal supporter of Russia’s war of aggression against Ukraine in his function as journalist of the VGTRK.</p><p>Therefore, Andrey Medvedev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1508.</p></td><td><p>Evgeniy Evgenievich PODDUBNYY</p><p>(Евгений Евгеньевич ПОДДУБНЫЙ)</p></td><td><p>DOB: 22.8.1983</p><p>POB: Belgorod, former RSFSR, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Member of the “working group special military operation” established per decree by President Putin; Journalist, War correspondent for VGTRK</p><p>Passport number: 14 02 828183</p></td><td><p>Evgeniy Poddubnyy is a member of the working group established by President Putin in December 2022 that is tasked with coordinating the mobilization efforts of the Russian Federation to support its war of aggression against Ukraine. Beyond his role in the working group, he works as a war correspondent for the Russian state broadcaster VGTRK, spreading disinformation and pro-Kremlin propaganda about the Russian war of aggression against Ukraine.</p><p>Therefore, Evgeniy Poddubnyy is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1509.</p></td><td><p>Igor Yurievich CHAIKA</p><p>a.k.a. Igor Yurievich CHAYKA</p><p>(Игорь Юрьевич ЧАЙКА)</p></td><td><p>DOB: 13.12.1988</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Russian businessman</p><p>Associated individuals:Yury Chaika (father), Artem Chaika (brother)</p><p>Other identifying information: Awards: Certificate of Merit of the President of the Russian Federation</p></td><td><p>Igor Chaika is the younger son of Yuri Chaika, the ex-Prosecutor General and the Plenipotentiary Representative of the President of the Russian Federation in the North Caucasus Federal District.</p><p>Igor Chaika have amassed a huge business empire relying on state contracts and thanks to his father’s position. He also conducts business activities in the occupied Crimea.</p><p>Since 2022, Igor Chaika has been the Chairman of the Public Council under Rossotrudnichestvo, a Russian federal executive body responsible for rendering state services and managing state property to support and develop international relations between the Russian Federation and the member-states of the Commonwealth of Independent States and other foreign countries.</p><p>Therefore, Igor Chaika is supporting materially and benefiting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine. Furthermore, he is associated with Yury Chaika and Rossotrudnichestvo.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1510.</p></td><td><p>Artem Yurievich CHAIKA</p><p>a.k.a. Artyom CHAIKA</p><p>a.k.a. Artem CHAYKA</p><p>(Артем Юрьевич ЧАЙКА</p><p>a.k.a. Артём Юрьевич ЧАЙКА)</p></td><td><p>DOB: 25.9.1977</p><p>POB: former USSR (now Russian Federation)</p><p>Nationality: Russian, Swiss</p><p>Gender: male</p><p>Function: Russian lawyer and businessman</p><p>Associated individuals: Yury Chaika (father), ex-Prosecutor General of the Federation of Russia (designated 21.7.2022), Igor Chaika (brother)</p></td><td><p>Artem Chaika is the eldest son of Yury Chaika, the ex-Prosecutor General and the Plenipotentiary Representative of the President of the Russian Federation in the North Caucasus Federal District. He has built his businesses mainly on state contracts during the time his father was the Prosecutor General. Artem Chaika’s companies have repeatedly won public procurement tenders due to the removal of competitors by law enforcement agencies. Artem Chaika is the owner of the company PNK-Ural, the largest supplier of crushed stone for Russian Railways.</p><p>Ramzan Kadyrov, the head of the Chechen Republic and close ally of President Putin, appointed Artem Chaika as his advisor for humanitarian, social, and economic matters in October 2022.</p><p>Therefore, Artem Chaika is supporting materially and benefiting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine. Furthermore, he is associated with Ramzan Kadyrov.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1511.</p></td><td><p>Aleksandr Ivanovich UDALTSOV</p><p>(Александр Иванович УДАЛЬЦОВ)</p></td><td><p>DOB: 5.7.1951</p><p>POB: former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: The Executive Director of the Fund for Support and Protection of the Rights of Compatriots Living Abroad (Pravfond)</p><p>Associated entities: The Foundation for Support and Protection of the Rights of Compatriots Living Abroad</p></td><td><p>Alexandr Udaltsov is the Executive Director of the Foundation for Support and Protection of the Rights of Compatriots Living Abroad.</p><p>In January 2022, at the meeting of the Board of Trustees of the Foundation, Udaltsov noted that the Fund has become a kind of unique structure of Russia’s “soft power”, which has a significant impact on compatriots and their organisations around the world. In February 2022, at the opening of the exhibition “War Crimes and Violations of Human Rights in Ukraine (2017-2020)”, he emphasized that it is extremely important to tell the whole world the truth about the criminal essence and misanthropic practice of the Kyiv regime, essentially the beginning of official Kyiv’s aggression against the Donetsk and Lugansk People’s Republics. On 28 February 2022, at the videoconference hosted by the International Association of Russian-Speaking Lawyers (MARA), Udaltsov expressed his support for President Putin’s position that Russia was forced to make the decision to recognize the Donetsk People’s Republic and the Lugansk People’s Republic and launch a special military operation. He invited the participants of the conference to contribute to clarifying the Moscow’s position.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p>Therefore, Alexandr Udaltsov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p> </p></td></tr><tr><td><p>1512.</p></td><td><p>Sergey Alexandrovich KARAGANOV</p><p>(Сергей Александрович КАРАГАНОВ)</p></td><td><p>DOB: 10.9.1952</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Member of the Presidential Council for Civil Society and Human Rights; Scientific Supervisor of the Faculty of World Economy and International Affairs, Higher School of Economics; Honorary Chairman of the Presidium of the Council on Foreign and Defense Policy (SVOP)</p><p>Associated individuals: Valery Fadeyev</p></td><td><p>Sergey Karaganov is a Russian political scientist, honorary chairman of the Presidium of the Council on Foreign and Defense Policy (SVOP), and a member of the Presidential Council for Civil Society and Human Rights. Since the start of Russia’s war of aggression against Ukraine he has justified Russia’s invasion and spread Russian propaganda about the war, claiming that the West is willing to destroy Russia and that the military actions are aimed to denazify Ukraine and liberate the Donbas region.</p><p>Therefore, Sergey Karaganov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1513.</p></td><td><p>Rizvan Abdullayevich ZUBAIROV</p><p>(Ризван Абдуллаевич ЗУБАИРОВ)</p></td><td><p>DOB: 18.7.1979</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Judge of the Southern District Military Court in Rostov-on-Don</p><p>Address: Rostov-on-Don, pr-kt. Mikhail Nagibin 31B, apt. 40</p><p>Passport number: 3914864377, issued on 10.4.2015</p></td><td><p>Rizvan Zubairov is a judge of the Southern District Military Court in Rostov-on-Don. He took politically motivated decisions against the Ukrainian citizens who opposed the illegal annexation of Crimea and Sevastopol.</p><p>He handed down a 14 year prison term to Server Mustafayev, a Crimean Tatar human rights defender and civic journalist who served as the coordinator of Crimean Solidarity, a civil society organisation that monitors and documents the repression and human rights violations committed by the occupying Russian authorities in the illegally annexed Crimea.</p><p>Therefore, Rizvan Zubairov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1514.</p></td><td><p>Roman Viktorovich SAPRUNOV</p><p>(Роман Викторович САПРУНОВ)</p></td><td><p>DOB: 23.3.1973</p><p>Nationality: Russian</p><p>Gender: male</p><p>Function: Judge of the Southern District Military Court in Rostov-on-Don</p></td><td><p>Roman Saprunov is a judge of the Southern District Military Court in Rostov-on-Don. He took politically motivated decisions against the Ukrainian citizens who opposed the illegal annexation of Crimea and Sevastopol.</p><p>He handed down a 12 year prison term to Emir-Usein Kuku, a Crimean Tatar activist from the Crimean Human Rights Contact Group that monitored enforced disappearances in the illegally annexed Crimea and Sevastopol.</p><p>Therefore, Roman Saprunov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1515.</p></td><td><p>Viktor Ivanovich ZINKOV</p><p>(Виктор Иванович ЗИНЬКОВ)</p></td><td><p>DOB: 9.4.1970</p><p>Nationality: Ukrainian, Russian</p><p>Gender: male</p><p>Function: Judge of the “Supreme Court of the Republic of Crimea”</p><p>Address: Crimea, Simferopol, Krylova 37/72 app. 102, Ukraine</p><p>Passport number: Passport of the Russian Federation no. 3914857478, issued 20.4.2015</p></td><td><p>Viktor Zinkov is a judge of the “Supreme Court of the Republic of Crimea” established by Russia’s occupying force in the illegally annexed Crimea.</p><p>He took politically motivated decisions against the Ukrainian citizens who opposed the illegal annexation of Crimea and Sevastopol. He sentenced Nariman Dzhelyal, a pro-Ukrainian, Crimean Tatar politician, activist and Deputy Chairperson of the Crimean Tatar Mejlis, to 17 years imprisonment.</p><p>Therefore, Viktor Zinkov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1516.</p></td><td><p>Tatyana Anatolyevna MANEZHINA</p><p>a.k.a. Tetyana Anatoliivna MANEZHYNA</p><p>(Russian: Татьяна Анатольевна МАНЕЖИНА)</p><p>(Ukrainian: Тетяна Анатолiївна МАНЕЖИНА)</p></td><td><p>Function: So-called “Minister of Culture of the Republic of Crimea”</p><p>DOB: 14.6.1963</p><p>POB: Kopeysk, former USSR (now Russian Federation)</p><p>Nationality: Ukrainian, Russian</p><p>Gender: female</p></td><td><p>Tetyana Manezhyna was appointed on December 2021 as the so-called “Minister of Culture of the Republic of Crimea”. In accepting this role, she is working without the authorisation of the Ukrainian authorities in the illegally annexed Crimean peninsula. She has continued to pursue actions in the so-called Ministry, as instigated by her predecessor. Under her leadership and control, she is responsible for actions against the cultural legacy and monuments of the Crimean Tatars, which are conducted in contravention of international law and without appropriate expertise, thereby undermining the cultural legacy of Crimea.</p><p>In taking on and acting in this capacity, Tetyana Manezhyna is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1517.</p></td><td><p>Natalya Leonidovna DESYATOVA</p><p>(Russian: Наталья Леонидовна ДЕСЯТОВА)</p><p>(Ukrainian: Наталя Леонiдiвна ДЕСЯТОВА)</p></td><td><p>Function: So-called Director of the Kherson Fine Arts Museum</p><p>DOB: 11.7.1966</p><p>POB: Kherson, former USSR (now Ukraine)</p><p>Nationality: Russian</p><p>Gender: female</p></td><td><p>Natalya Desyatova was appointed in July 2022 as the director of the Kherson Fine Arts Museum by the Russian authorities. When Kherson was still under the control of the Russian Armed Forces, the cultural property of the Kherson Fine Arts Museum was removed from the museum in October and November 2022 and taken illegally to Simferopol, in illegally annexed Crimea. This was done under Desyatova’s control and with the assistance of Russian security forces.</p><p>In taking on and acting in this capacity, Natalya Desyatova is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1518.</p></td><td><p>Tatiana Georgievna BRATCHENKO</p><p>a.k.a. Tetiana Georgiivna BRATCHENKO</p><p>(Russian: Татьяна Георгиевна БРАТЧЕНКО)</p><p>(Ukrainian: Тетяна Георгiївна БРАТЧЕНКО)</p></td><td><p>Function: Director of the Kherson Regional Museum</p><p>DOB: 17.11.1949</p><p>Nationality: Ukrainian</p><p>Gender: female</p><p>Passport number, national ID number, other numbers of identity documents: Ukrainian passport number: 058980</p></td><td><p>Tatiana Bratchenko was the director of the Kherson Regional Museum. In this role, she voluntarily and deliberately helped the Russian security forces to empty the museum of its artefacts. She publicly supported Russia’s control over the Kherson region and supported the illegal annexation of the territory.</p><p>Tatiana Bratchenko is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1519.</p></td><td><p>Natalya Aleksandrovna KAPUSTNIKOVA</p><p>(Russian: Наталья Александровна КАПУСТНИКОВА)</p><p>(Ukrainian: Наталi Олександрiвна КАПУСНИКОВА)</p></td><td><p>Function: Director of the Mariupol Museum of Local History</p><p>DOB: 12.8.1977</p><p>POB: Mariupol, former USSR (now Ukraine)</p><p>Gender: female</p></td><td><p>Natalya Kapustnikova is the director of the Mariupol Museum of Local History. She discovered the location of artworks from the Kuindzhi Art Museum of Mariupol and gave those works willingly over to the Russian authorities, who facilitated their transfer to the Local History Museum of Donetsk. This was done without the knowledge or consent of the Ukrainian authorities or the Director of the Kuindzhi Art Museum.</p><p>In acting in this capacity, Natalya Kapustnikova is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1520.</p></td><td><p>Andrei Vitalyevich MALGIN</p><p>(Андрей Витальевич МАЛЬГИН)</p></td><td><p>Function: Director of the Central Museum of Taurida in Simferopol</p><p>DOB: 11.6.1965</p><p>POB: Simferopol, former USSR (now Ukraine)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Andrei Malgin is the director of the Central Museum of Taurida in Simferopol, in illegally annexed Crimea. Art works were transferred from the Kherson Fine Art Museum to the Central Museum of Taurida in Simferopol, where they are currently kept under his control.</p><p>In acting in this capacity, Andrei Malgin is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1521.</p></td><td><p>Alexey Vasilyevich TENSIN</p><p>(Russian: Алексей Васильевич ТЕНСИН)</p><p>(Ukrainian: Олексiй Васильович ТЕНСIН)</p></td><td><p>Function: Director of joint-stock company “PMC Wagner Centre”</p><p>DOB: 28.11.1971</p><p>Nationality: Russian</p><p>Gender: male</p><p>Associated entities: Wagner Group</p></td><td><p>Alexey Tensin is the appointed CEO of joint-stock company “PMC Wagner Centre”, a Russian commercial venture, aiming to support private sector investment and innovation in order to support and bolster Russia’s defence capabilities.</p><p>In taking on and acting in this capacity, Alexey Tensin is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1522.</p></td><td><p>Alexander Alexandrovich TRONIN</p><p>(Александр Александрович ТРОНИН)</p></td><td><p>Function: Founder and manager of youth group “Wagnerenok”, also known as “Leader”</p><p>DOB: 20.5.2004</p><p>Nationality: Russian</p><p>Gender: male</p><p>Passport number: 4018037770</p><p>Associated individuals: Yevgeniy Viktorovich Prigozhin</p><p>Associated entities: Wagner Group</p></td><td><p>Alexander Tronin is the founder and curator of a youth wing of the PMC Wagner Group, which operates in the premises of PMC Wagner Centre. The main aim of this club, formerly called “Wagnerenok” and currently “Leader”, is to recruit young Russians who wish to support the Russian Armed Forces in Ukraine and also the activities of PMC Wagner Group itself. Under the PMC Wagner Centre, they can be involved in projects, such as development and control of unmanned aerial vehicles, which are being used by Russia in its war of aggression against Ukraine.</p><p>In taking on and acting in this capacity, Alexander Tronin is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1523.</p></td><td><p>Sergei Fedorovich RUDSKOY</p><p>(Сергей Федорович РУДСКОЙ)</p></td><td><p>Function: Chief of the Main Operational Directorate of the General Staff of the Armed Forces of the Russian Federation; Colonel General</p><p>DOB: 2.10.1960</p><p>POB: Mykolaiv, former USSR (now Ukraine)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Colonel General Sergei Rudskoy is the Head of the Main Operational Directorate of the General Staff of the Armed Forces of the Russian Federation since 2015. Among its responsibilities, the Main Operational Directorate oversees strategic and operational planning for the use of the Armed Forces, including operational control of troops in peacetime and wartime. Therefore, the Directorate directly contributes to and facilitates Russia’s war of aggression against Ukraine.</p><p>In taking on and acting in this capacity, Colonel General Sergei Rudskoy is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1524.</p></td><td><p>Yevgeny Valeryevich NIKIFOROV</p><p>(Евгений Валерьевич НИКИФОРОВ)</p></td><td><p>Function: Commander of the Western Military District; Colonel General</p><p>DOB: 1.1.1970</p><p>POB: Aksha, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Colonel General Yevgeny Nikiforov is, since January 2023, the Commander of the Western Military District of the Russian Federation. Under his command, the Russian Armed Forces, including troops of the Western Military District, are continuing their attacks against Ukraine, in the context of Russia’s war of aggression against Ukraine.</p><p>In taking on and acting in this capacity, Colonel General Yevgeny Nikiforov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1525.</p></td><td><p>Sergei Yuryevich KUZOVLEV</p><p>(Сергей Юрьевич КУЗОВЛЕВ)</p></td><td><p>Function: Commander of the Southern Military District of the Russian Federation; Colonel General</p><p>DOB: 7.1.1967</p><p>POB: Michurinsk, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Colonel General Sergei Kuzovlev is the Commander of the Southern Military District of the Russian Federation since 23 January 2023. Under his command and control, the Russian Armed Forces, including troops of the Southern Military District, are engaged in fighting in Ukraine.</p><p>In taking on and acting in this capacity, Colonel General Sergei Kuzovlev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1526.</p></td><td><p>Andrey Nikolayevich MORDVICHEV</p><p>(Андрей Николаевич МОРДВИЧЕВ)</p></td><td><p>Function: Commander of the Central Military District of Russian Federation; Lieutenant General</p><p>DOB: 14.1.1976</p><p>POB: Pavlodar, former USSR (now Kazakhstan)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Lieutenant General Andrey Mordvichev is the Commander of the Central Military District of the Russian Federation since 17 February 2023. Under his command and control, the Russian Armed Forces, including troops of the Central Military District, are engaged in fighting in Ukraine.</p><p>In taking on and acting in this capacity, Lieutenant General Andrey Mordvichev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1527.</p></td><td><p>Aleksandr Pavlovich LAPIN</p><p>(Александр Павлович ЛАПИН)</p></td><td><p>Function: Chief of Staff of the Russian Ground Forces; Colonel General</p><p>DOB: 1.1.1964</p><p>POB: Kazan, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Passport or ID number: series 1808 No. 233282</p><p>Tax Identification Number: 344407793386</p></td><td><p>Colonel General Aleksandr Lapin is the Chief of Staff of the Russian Ground Forces since 10 January 2023. In this capacity, he is the Commander-in-Chief of the Russian ground troops directly participating in Russia’s war of aggression against Ukraine. He was previously the Commander of the Central Military District of the Russian Federation, including during Russia’s war against Ukraine. As such, he commanded the Russian 2022 offensive in the Chernihiv and Sumy directions.</p><p>In taking on and acting in this capacity, Colonel General Aleksandr Lapin is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1528.</p></td><td><p>Tatyana Viktorovna SHEVTSOVA</p><p>(Татьяна Викторовна ШЕВЦОВА)</p></td><td><p>Function: Deputy Minister of Defence of the Russian Federation</p><p>DOB: 22.7.1969</p><p>POB: Kozelsk, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: female</p></td><td><p>Tatyana Shevtsova is a Deputy Minister of Defence of the Russian Federation, responsible for the budget and financial activities of the Ministry. She oversees the handling of resources and is responsible for payments to mobilised soldiers fighting in Russia’s war of aggression against Ukraine. Military financiers under her control are directing resources to the illegally annexed territories of Ukraine.</p><p>In taking on and acting in this capacity, Tatyana Shevtsovais responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1529.</p></td><td><p>Yevgeniy Vladimirovich BURDINSKIY</p><p>(Евгений Владимирович БУРДИНСКИЙ)</p></td><td><p>Function: Head of the Main Organisational and Mobilization Directorate of the General Staff of the Armed Forces of the Russian Federation; Deputy Chief of the General Staff of the Armed Forces of the Russian Federation; Colonel General</p><p>DOB: 25.8.1960</p><p>POB: Belogorsk, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Colonel General Yevgeniy Burdinskiy is the Head of the Main Organisational and Mobilization Directorate of the General Staff of the Armed Forces of the Russian Federation and the Deputy Chief of the General Staff of the Armed Forces of the Russian Federation. In this role, he is directly responsible for helping facilitate the mobilisation of Russian citizens into the war.</p><p>In taking on and acting in this capacity, Colonel General Yevgeniy Burdinskiy is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1530.</p></td><td><p>Viktoria Alexandrovna SERDYUKOVA</p><p>(Виктория Александровна СЕРДЮКОВА)</p></td><td><p>Function: So-called “Commissioner for Human Rights in the Luhansk People’s Republic”</p><p>DOB: 9.6.1981 or 1982</p><p>POB: Severodonetsk, former USSR (now Ukraine)</p><p>Nationality: Russian</p><p>Gender: female</p></td><td><p>Viktoria Serdyukova has been the so-called “Commissioner for Human Rights of the Luhansk People’s Republic” since 5 October 2021. In this role, she has supported the war of aggression Russia launched against Ukraine on 24 February 2022. She has supported the illegal annexation of the territory of Luhansk and the adoption of Russian legislation in that and other illegally annexed territories.</p><p>In taking on and acting in this capacity, Viktoria Serdyukova is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1531.</p></td><td><p>Yevgeniy Ivanovich DIETRICH</p><p>a.k.a. Yevgeny Ivanovich DITRIKH</p><p>(Евгений Иванович ДИТРИХ)</p></td><td><p>Function: Director-general of JSC GTLK</p><p>DOB: 8.9.1973</p><p>POB: Mytishchi, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Associated entities: JSC GTLK</p></td><td><p>Yevgeniy Dietrich is the director-general of the joint-stock company “State Transport Leasing Company” (JSC GTLK), which is wholly owned by the Ministry of Transport of the Russian Federation. As a state-owned company, GTLK is financially benefitting from the Government and also provides services in the illegally annexed Crimea and the City of Sevastopol.</p><p>In taking on and acting in this capacity, Yevgeniy Dietrich is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1532.</p></td><td><p>Semyon Vladimirovich PEGOV</p><p>(Семён Владимирович ПЕГОВ)</p></td><td><p>Function: Military blogger</p><p>DOB: 9.9.1985</p><p>POB: Smolensk, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Other identifying information: TIN: 673110457100</p></td><td><p>Semyon Pegov is a Russian military blogger and runs one of the most popular pro-war social media channels in Russia, WarGonzo. He frequently appears in Russian state-controlled media. Semyon Pegov and WarGonzo spread anti-Ukrainian propaganda and promote the Russian military and PMC Wagner, depicting Ukrainian forces as Nazis and disseminating false information on NATO biological laboratories in Mariupol.</p><p>Semyon Pegov actively participates in the initiatives of the Russian authorities promoting the war and mobilisation and has been rewarded by the Russian authorities.</p><p>Therefore, Semyon Pegov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1533.</p></td><td><p>Aleksandra Vladimirovna KOSTERINA/</p><p>a.k.a. Aleksandra Vladimirovna KOSHARNITSKAYA/</p><p>a.k.a. Aleksandra Vladimirovna KOSHARNITSKAYA KOSTERINA</p><p>(Александра Владимировна КОШАРНИЦКАЯ/КОСТЕРИНА)</p></td><td><p>Function: First Deputy Director General, Director of the Information Directorate and Editor-in-Chief of NTV.</p><p>DOB: 26.2.1980</p><p>POB: Krasnodar, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: female</p></td><td><p>Aleksandra Kosterina (Kosharnitskaya) is a First Deputy Director General, Director of the Information Directorate and Editor-in-Chief of NTV (HTB), a major Russian TV channel which is direct control of the Russian Federation.</p><p>NTV amplifies and supports the policies of the Russian authorities through its propaganda activities. During the war of aggression against Ukraine, NTV has been among the most active and prominent instruments in spreading the Kremlin narrative and supporting the war with aggressive commentaries and unverified information.</p><p>As a Deputy Director General, Director of the Information Directorate and the Editor-In-Chief, Aleksandra Kosterina (Kosharnitskaya) has direct influence over the content on NTV and the way it informs people about Russia’s war of aggression against Ukraine and steps taken by Russian government.</p><p>Therefore, Aleksandra Kosterina (Kosharnitskaya) is supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1534.</p></td><td><p>Olga Nikolaevna BELOVA</p><p>(Ольга Николаевна БЕЛОВА)</p></td><td><p>Function: Host of the Zvezda TV channel</p><p>DOB: 19.7.1976</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: female</p><p>Associated individuals: Aleksei Viktorovich PIMANOV</p><p>Associated entities: Open Joint Stock Company TV and Radio Company of the Armed Forces of the Russian Federation “Zvezda”</p><p>ОАО ТРК ВС РФ “ЗВЕЗДА”</p></td><td><p>Olga BELOVA is a propagandist working at TV Zvezda, an outlet of the Russian Armed Forces. She is a host of TV Zvezda’s flagship programmes, which regularly spreads disinformation regarding Russia’s war of aggression against Ukraine, undermines Ukraine’s territorial integrity and sovereignty, and provides crucial media support for Kremlin policy. In particular, she has spread disinformation concerning Ukrainians being Nazis who are also preparing biological and chemical bombs against Russians.</p><p>She is also a member of a governing board of the “Mothers of Russia” organisation, which supports the war of aggression against Ukraine.</p><p>Therefore, Olga BELOVA is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1535.</p></td><td><p>Andrey Olegovich KONDRASHOV</p><p>(Андрей Олегович КОНДРАШОВ)</p></td><td><p>Function: First Deputy Director General of All-Russia Television and Radio Broadcasting Company (VGTRK)</p><p>DOB: 30.6.1973</p><p>POB: Alma-Ata, former USSR (now Kazakhstan)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Andrey Kondrashov is the First Deputy Director General of All-Russia Television and Radio Broadcasting Company (VGTRK), Russia’s largest media corporation.</p><p>Before becoming First Deputy director of VGTRK, he worked as the press secretary of Putin’s campaign headquarters and authored “documentaries” like “Crimea. The Way Home” and “Putin”. He received the Order of Friendship award from President Putin for “high professionalism and objectivity in covering events in the Republic of Crimea” in May 2014.</p><p>He has been in charge of the information policy of VGTRK and director of the Vesti – News programme. During the war of aggression against Ukraine, TV channels and other parts of the VGTRK holding have been among the most active and important instruments in spreading the Kremlin narrative and supporting the war with aggressive commentaries, undermining Ukraine’s territorial integrity and supporting the illegal annexation of Crimea.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p>Being one of its key executives, Andrey Kondrashov is directly responsible for actions of this media corporation. As the First Deputy Director General in charge of information and political broadcasting, he has a direct influence on the way VGTRK informs people about Russia’s war of aggression against Ukraine and the steps taken by the Russian Government.</p><p>Therefore, Andrey Kondrashov is supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p> </p></td></tr><tr><td><p>1536.</p></td><td><p>Mikhail Vladimirovich LEONTYEV</p><p>(Михаил Владимирович ЛЕОНТЬЕВ)</p></td><td><p>Function: Journalist, TV Presenter on Perviy Kanal, press-Secretary of “Rosneft”</p><p>DOB: 12.10.1958</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Mikhail Leontyev is a propagandist on Pervyi Kanal (Channel One), a major Russian TV channel which is under the permanent direct control of the Russian Federation. Pervyi Kanal amplifies and supports the policies of the Russian authorities through its propaganda activities. During the war of aggression against Ukraine, Pervyi Kanal has been among the most active and prominent instruments in spreading the Kremlin narrative and supporting the war with aggressive commentaries and undermining Ukraine’s territorial integrity, supporting the illegal annexation of Crimea, and Russia’s war of aggression against Ukraine. He is also a vice-president and press-secretary of Rosneft. Since 1999, he has been the author and a presenter of a flagship programme “Odnako” on Pervyi Kanal, where he routinely undermines the statehood of Ukraine and justifies the war of aggression against Ukraine.</p><p>Therefore, Mikhail Leontyev is responsible for supporting and implementing actions and policies which undermine the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1537.</p></td><td><p>Rifat Abdulvagapovich SABITOV</p><p>(Рифат Абдулвагапович САБИТОВ)</p></td><td><p>Function: Deputy Director General of All-Russia Television and Radio Broadcasting Company (VGTRK); Chairman of the Commission for the Development of the Information Society, Mass Media and Mass Communications of Civic Chamber of the RF</p><p>DOB: 30.4.1956</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Rifat Sabitov is the Deputy Director General of All-Russia Television and Radio Broadcasting Company (VGTRK), Russia’s largest media corporation. During the war against Ukraine, TV channels and other parts of VGTRK holding have been among the most active and important instruments in spreading the Kremlin narrative and supporting the war with aggressive commentaries and unverified information.</p><p>Being one of its key executives Rifat Sabitov is directly responsible for actions of VGTRK. As a Deputy Director General he has a direct influence on the way VGTRK informs people about Russia’s war of aggression against Ukraine and steps taken by Russian government.</p><p>Moreover, he is actively involved in shaping the restrictive information environment in Russia as a Chairman of the Commission for the Development of the Information Society, Mass Media and Mass Communications of Civic Chamber of the Russian Federation, Chairman of the Public Council under the Ministry of Digital Development of Russia and in numerous other bodies.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p>Associated individuals: Oleg Dobrodeev,</p><p>Evgeniy Bekasov</p><p>Associated entities: All-Russia Television and Radio Broadcasting Company (VGTRK)</p><p>Other identifying information: TIN: 773314059364</p></td><td><p>Therefore, Rifat Sabitov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p> </p></td></tr><tr><td><p>1538.</p></td><td><p>Viktor Sergeevich SINEOK</p><p>(Виктор Сергеевич СИНЕОК)</p></td><td><p>Function: Special correspondent and columnist of the Multimedia Information Center (MIC) Izvestia</p><p>DOB: 19.3.1980</p><p>POB: Rostov on Don, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Associated individuals: Balanova Svetlana Evgenievna, Tyulin (Tiulin) Vladimir Vladimirovich, Frolov Mikhail Evgenievich</p></td><td><p>Viktor Sineok is a correspondent and columnist for Multimedia Information Center (MIC) Izvestia, a project of the National Media Group (NMG) holding providing news services for the REN TV Channel, Channel Five and the Izvestia newspaper.</p><p>Viktor Sineok has been actively spreading propaganda and disinformation related to Russia’s war of aggression against Ukraine both before the full-fledged invasion of 24 February 2022 and after. He has been promoting Kremlin policies and actions, praising the Russian leadership, manipulating information about atrocities committed by the Russian army and applauding the annexations of Ukrainian regions.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p>Associated entities: National Media Group.</p><p>Other identifying information: TIN: 616404561125</p></td><td><p>He has repeatedly prepared reports and articles trying to persuade audiences that information about Russian atrocities committed in places like Bucha are staged and untrue. He has been contributing to inciting hatred towards Ukrainians by repeating Russian Government disinformation about genocide in Donbas and denying Ukrainian independence. In his reports, he has been advancing most of the main Russian disinformation narratives about Ukraine, including that on US run biolabs in the country.</p><p>Therefore, Viktor Sineok is supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p> </p></td></tr><tr><td><p>1539.</p></td><td><p>Boris Georgievich YANOVSKY</p><p>(Борис Георгиевич ЯНОВСКИЙ)</p></td><td><p>Function: Executive Producer of the Zvezda TV channel</p><p>DOB: 25.10.1968</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Associated individuals: Aleksei Viktorovich Pimanov</p></td><td><p>Boris Yanovsky is a propagandist and the general producer of TV Zvezda. As the general producer, Yanovsky is responsible for the production and promotion of content for TV Zvezda, which regularly spreads disinformation regarding Russia’s ongoing war of aggression against Ukraine and provides crucial media support for Kremlin policy. As general producer of TV Zvezda, he is involved in spreading disinformation concerning Ukrainians being Nazis and preparing biological and chemical bombs to be used against Russians.</p><p>For his activities, Yanovsky was personally awarded the medal “For Strengthening the Combat Commonwealth”.</p><p>Therefore, Boris Yanovsky is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1540.</p></td><td><p>Anton Andreevich ZLATOPOLSKIY</p><p>(Антон Андреевич ЗЛАТОПОЛЬСКИЙ)</p></td><td><p>Function: First Deputy Director General of All-Russia Television and Radio Broadcasting Company (VGTRK); Director General of Rossiya 1 TV Channel</p><p>DOB: 12.9.1966</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Associated individuals: Oleg Dobrodeev,</p><p>Evgeniy Bekasov</p><p>Associated entities: All-Russia Television and Radio Broadcasting Company (VGTRK)</p><p>Other identifying information: TIN: 772903574300</p></td><td><p>Anton Zlatopolskiy is the First Deputy Director General of All-Russia Television and Radio Broadcasting Company (VGTRK), Russia’s largest media corporation. He is also a long-term Director General of Rossiya 1 TV Channel. During the war of aggression against Ukraine, TV channels and other parts of the VGTRK holding have been among the most active and important instruments in spreading the Kremlin’s narrative and supporting the war with aggressive commentaries and unverified information.</p><p>As a long-time First Deputy Director General, he has a direct influence on the way VGTRK informs people about Russia’s war of aggression against Ukraine and the steps taken by Russian Government. He is also responsible for the propaganda activities of Rossiya 1 TV Channel.</p><p>Therefore, Anton Zlatopolskiy is supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1541.</p></td><td><p>Aleksandr Viktorovich GUSEV</p><p>(Russian: Александр Викторович ГУСЕВ)</p><p>(Ukrainian: Олександр Вiкторович ГУСЄВ)</p></td><td><p>Function: Governor of the Voronezh region</p><p>DOB: 27.1.1963</p><p>POB: Ozerskoye, Kozelsky District, Kaluga Oblast, former RSFSR, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Aleksandr Gusev is the Governor of the Voronezh region. In this role, he has been responsible for the illegal deportation of Ukrainian children to the Voronezh region for their subsequent illegal adoption by Russian families. His actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Aleksandr Gusev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1542.</p></td><td><p>Galina Anatolyevna PYATYKH</p><p>a.k.a. Galina PIATYKH</p><p>a.k.a. “Galina Fifth”</p><p>(Russian: Галина Анатольевна ПЯТЫХ)</p><p>(Ukrainian: Галина Анатолiївна ПЯТИХ)</p></td><td><p>Function: Advisor of the Governor of Belgorod Region; Commissioner for Children’s Rights in Belgorod Region</p><p>Nationality: Russian</p><p>DOB: 12.5.1970</p><p>POB: Dubovoe, Belgorod region, former USSR (now Russian Federation)</p><p>Gender: female</p></td><td><p>Galina Pyatykh is the Advisor of the Governor of Belgorod Region and the Commissioner for Children’s Rights in Belgorod Region. In this role, she is one of the most involved persons in the illegal deportation of Ukrainian children to Russia and their adoption by Russian families. Galina Pyatykh’s actions violate the rights of Ukrainian children and infringe Ukrain’s law and administrative order.</p><p>Therefore, Galina Pyatykh is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1543.</p></td><td><p>Irina Anatolyevna AGEEVA</p><p>(Russian: Ирина Анатольевна АГЕЕВА)</p><p>(Ukrainian: Iрина Анатолiївна АГЕЄВА)</p></td><td><p>Function: Commissioner for Children’s Rights in the Kaluga Region</p><p>DOB: 29.12.1976</p><p>Nationality: Russian</p><p>Gender: female</p></td><td><p>Irina Ageeva is the Commissioner for Children’s Rights in Kaluga Region. In this role, she is one of the most involved persons in the illegal deportation of Ukrainian children to Russia and their adoption by Russian families. Irina Ageeva’s actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Irina Ageeva is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1544.</p></td><td><p>Irina Aleksandrovna CHERKASOVA</p><p>(Russian: Ирина Александровна ЧЕРКАСОВА)/</p><p>(Ukrainian: Iрина Олександрiвна ЧЕРКАСОВА)</p></td><td><p>Function: Commissioner for Children’s Rights in Rostov Region</p><p>DOB: 1963</p><p>POB: Bataysk, Rostov region, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: female</p></td><td><p>Irina Cherkasova is the Commissioner for Children’s Rights in the Rostov Region. In this role, she is one of the most involved persons in the illegal deportation of Ukrainian children to Russia and their adoption by Russian families. Irina Cherkasova’s actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Irina Cherkasova is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1545.</p></td><td><p>Mansur Mussayevitch SOLTAEV</p><p>(Russian: Мансур Муссаевич СОЛТАЕВ)</p><p>(Ukrainian: Мансур Муссайович СОЛТАЄВ)</p></td><td><p>Function: Commissioner for Human Rights in the Chechen Republic</p><p>DOB: 13.6.1978</p><p>POB: Saratov, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Mansur Soltaev is the Commissioner for Human Rights of the Chechen Republic. In that capacity, he serves as a key government interlocutor, actively promoting official narratives. Mansur Soltaev is responsible for human rights violations, persecution of anti-war militants and the suppression of protests against the Russian mobilization of troops. He is also participating in the deportation of civilians of the so-called “Donetsk People’s Republic” and in the so-called “Luhansk People’s Republic”, including the deportation of Ukrainian children to military training camps in Chechnya. Mansur Soltaev’s actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Mansur Soltaev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1546.</p></td><td><p>Muslim Magomedovich KHUCHIEV</p><p>(Russian: Муслим Магомедович ХУЧИЕВ)</p><p>(Ukrainian: Муслiм Магомедович ХУЧIЄВ)</p></td><td><p>Function: Chairman of the Government of the Chechen Republic; Chairman of the working group at the Government of the Chechen Republic</p><p>DOB: 5.8.1971</p><p>POB: Zakan-yurt, Achkhoy-Martanovsky district, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Associated individuals: Ramzan Kadyrov</p></td><td><p>Muslim Khuchiev is the Chairman of the Government of the Chechen Republic. In this role, Muslim Khuchiev is closely involved with Ramzan Kadyrov in Chechnya’s plans for military production for use by the Russian Armed Forces in the war of aggression against Ukraine.</p><p>Since the start of its war of aggression of Ukraine, Russia has transferred many Ukrainian civilians to the Chechen Republic. Muslim Khuchiev is one of the key persons involved in the illegal deportation of Ukrainian children to Russia and their subsequent illegal adoption by Russian families. His actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Muslim Khuchiev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1547.</p></td><td><p>Vladimir Vladimirovich VLADIMIROV</p><p>(Russian: Владимир Владимирович ВЛАДИМИРОВ)</p><p>(Ukrainian: Володимир Володимирович ВЛАДIМIРОВ)</p></td><td><p>Function: Governor of the Stavropol Krai (Region)</p><p>DOB: 27.7.1963</p><p>POB: Georgievsk, Stavropol Region, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Vladimir Vladimirov is the Governor of the Stavropol Krai. In this role, he has been responsible for the illegal deportation of Ukrainian children to the Stavropol Krai region for their subsequent illegal adoption by Russian families. His actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Vladimir Vladimirov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1548.</p></td><td><p>Vladimir Mikhailovich MOROZOV</p><p>a.k.a. Uladzimir Mikhailavich MAROZAU</p><p>(Russian: Владимир Михайлович МОРОЗОВ)</p><p>(Belarusian: Уладзiмiр Мiхайлавiч МАРОЗАЎ)</p></td><td><p>Function: Head of Belarusian Railways</p><p>DOB: 1965</p><p>POB: Buda-Koshelevo, Gomel region, former USSR (now Belarus)</p><p>Nationality: Belarusian</p><p>Gender: male</p></td><td><p>Vladimir Morozov is the Head of Belarusian Railways, which operates railway service between Russia and Belarus. In this role, he supported the deployment and transportation of Russian military personnel and equipment involved in Russia’s war of aggression against Ukraine.</p><p>Therefore, Vladimir Morozov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1549.</p></td><td><p>Dmitriy Aleksandrovich PANTUS</p><p>a.k.a. Dzmitry Aliaksandravich PANTUS/</p><p>(Russian: Дзмiтрый Аляксандравiч ПАНТУС)</p><p>(Belarusian: Дмитрий Александрович ПАНТУС)</p></td><td><p>Function: Chairman of the State Authority for Military Industry of Belarus</p><p>DOB: 9.6.1982</p><p>POB: Berezovka, Grodno region, former USSR (now Belarus)</p><p>Nationality: Belarusian</p><p>Gender: male</p></td><td><p>Dmitriy Pantus is the Chairman of the State Authority for Military Industry of Belarus. The State Authority for Military Industry of Belarus develops and maintains weapons, promotes the production of weapons by subordinate enterprises to supply the Russian armed forces, provides military-industrial cooperation, oversees the movement of weapons across the state border and provides navigation to the Russian armed forces. In his position, Dmitriy Pantus is providing military support to the Russian Federation in its war of aggression against Ukraine.</p><p>Therefore, Dmitriy Pantus is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1550.</p></td><td><p>Boris Sergeevich ALYOSHIN</p><p>(Борис Сергеевич АЛЁШИН)</p></td><td><p>Function: Deputy Chairman of LLC “SoyuzMash Russia”; Advisor to the General Director of PJSC “United Aircraft Corporation” on science and technology</p><p>DOB: 3.3.1955</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Boris Alyoshin is a Russian businessman involved in the activities of Russian companies and corporations contributing to the strengthening of Russia’s military base. He is one of the founders and managers of the LLC “SoyuzMash Russia”, which unites more than a thousand Russian military and civilian industries.</p><p>In addition, Boris Alyoshin is involved in the management of several Russian corporations and smaller companies that produce military products. He is the advisor to the General Director of PJSC “United Aircraft Corporation” on science and technology. PJSC “United Aircraft Corporation”, with a majority stake belonging to the Russian Government, consolidates Russian private and state-owned aircraft manufacturing companies and assets engaged in the manufacture of military and civilian transport, and unmanned aircraft. Boris Alyoshin is also the chairman of the board of directors of the Kronstadt industrial complex that produces military drones that are used by the Russian military in the war of aggression against Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p>Associated entities:</p><p>PJSC “United Aircraft Corporation”;</p><p>JSC “Kronstadt Group”</p></td><td><p>Furthermore, Boris Alyoshin is the academic supervisor of the Research Center Institute named after N.E. Zhukovsky. Some of the functions of this institute are development of new technologies in the field of aircraft construction and use of the obtained scientific and technical results for the development of other sectors of the economy of the Russian Federation.</p><p>Therefore, Boris Alyoshin is responsible for supporting the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilization of Ukraine.</p></td><td><p> </p></td></tr><tr><td><p>1551.</p></td><td><p>Veniamin Ivanovich KONDRATYOV</p><p>a.k.a. Veniamin Ivanovich KONDRATYEV</p><p>(Вениамин Иванович КОНДРАТЬЕВ)</p></td><td><p>Function: Governor of the Krasnodar Region of the Russian Federation</p><p>DOB: 1.11.1970</p><p>POB: Prokopyevsk, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p><p>Other information: TIN: 233005199735</p></td><td><p>Veniamin Kondratyov is the governor of the Krasnodar region of the Russian Federation. In this capacity, Veniamin Kondratyev is contributing to the illegal deportation, abduction, and adoption of Ukrainian children. He is one of the senior Russian (regional) leaders involved in the illegal deportation of Ukrainian children to Russia and their subsequent illegal adoption into Russian families. Veniamin Kondratyev’s actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Veniamin Kondratyov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1552.</p></td><td><p>Murat Karalbiyevich KUMPILOV</p><p>a.k.a. Murat Karalbievich KUMPILOV</p><p>(Мурат Каральбиевич КУМПИЛОВ)</p></td><td><p>Function: Head of the Republic of Adygea of the Russian Federation; secretary of the Adygea regional branch of United Russia (Edinaya Rossiya)</p><p>Nationality: Russian</p><p>DOB: 27.2.1973</p><p>POB: Ulyap, Krasnogvardeysky district, Republic of Adygea, former USSR (now Russian Federation)</p><p>Gender: male</p><p>Other information: TIN: 010200122926</p></td><td><p>Murat Kumpilov is the head of the Republic of Adygea of the Russian Federation and secretary of the Adygea regional branch of the United Russia Party. In this capacity, Murat Kumpilov is contributing to the illegal deportation and adoption of Ukrainian children. He is facilitating the illegal deportation and abduction of Ukrainian children to so-called “health camps” and re-education facilities located in his region. Murat Kumpilov is one of the senior Russian (regional) leaders involved in the illegal deportation and abduction of Ukrainian children to Russia. Murat Kumpilov’s actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Murat Kumpilov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1553.</p></td><td><p>Sergey Konstantinovich NOSOV</p><p>(Сергей Константинович НОСОВ)</p></td><td><p>Function: Governor of the Magadan region of the Russian Federation</p><p>Nationality: Russian</p><p>DOB: 17.2.1961</p><p>POB: Magnitogorsk, Chelyabinsk region, former USSR (now Russian Federation)</p><p>Gender: male</p><p>Other information:</p><p>TIN: 662300439460</p></td><td><p>Sergey Nosov is the governor of the Magadan region of the Russian Federation. In this capacity, Sergey Nosov is contributing to the illegal deportation and abduction of Ukrainian children. He is facilitating the illegal deportation of Ukrainian children to camps located in his region, including camps run by Artek, a Russian nationalist organisation that has suspended the return of Ukrainian children to their families. Sergey Nosov is one of the senior Russian (regional) leaders involved in the illegal deportation of Ukrainian children to Russia. Sergey Nosov’s actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Sergey Nosov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1554.</p></td><td><p>Zamid Aliyevich CHALAYEV</p><p>(Замид Алиевич ЧАЛАЕВ)</p></td><td><p>Function: Commander of the Second Special Purpose Police Regiment of the Ministry of Internal Affairs of the Russian Federation in the Chechen Republic</p><p>DOB: 19.8.1981</p><p>POB: Benoi, Nozhai-Yurt district, Chechnya, former USSR (now Russian Federation)</p><p>Gender: male</p></td><td><p>Zamid Chalayev is the commander of the Second Special Purpose Police Regiment of the Ministry of Internal Affairs of the Russian Federation in the Chechen Republic. As a commander of the Chechen Second Special Purpose Police Regiment, Zamid Chalayev actively participates in Russia’s war of aggression against Ukraine, taking part in,<span>inter alia,</span> the Russian capture of the city of Mariupol and the storming of the metallurgical plant “Azovstal”. Moreover, Zamid Chalayev is directly involved in the forced re-education and military training of Ukrainian children. He actively contributes to the organisation of “military re-education” camps based in the Chechen Republic. One particular indoctrination camp forces Ukrainian teenagers to follow a “young fighter course”, which teaches Ukrainian children to operate military equipment. Zamid Chalayev is one of the key persons involved in the illegal deportation of Ukrainian children to the Republic of Chechnya. Zamid Chalayev’s actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Zamid Chalayev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1555.</p></td><td><p>Vladimir Viktorovich SOLODOV</p><p>(Bладимир Викторович СОЛОДОВ)</p></td><td><p>Function: Governor of Kamchatka Krai of the Russian Federation</p><p>DOB: 26.7.1982</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Gender: male</p></td><td><p>In his capacity as governor of Kamchatka Krai, Vladimir Solodov is contributing to the illegal deportation of Ukrainian children. He is facilitating the illegal deportation of Ukrainian children to camps located in his region. He is one of the senior Russian (regional) leaders involved in the illegal deportation of Ukrainian children to Russia. Solodov’s actions violate the rights of Ukrainian children and infringe Ukraine’s law and administrative order.</p><p>Therefore, Vladimir Solodov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1556.</p></td><td><p>Leyla Rinatovna FAZLEEVA</p><p>(Лейла Ринатовна ФАЗЛЕЕВА)</p></td><td><p>Function: Deputy Prime Minister of the Republic of Tatarstan; Chairperson of the Tatarstan Republic’s Commission on Juvenile Affairs and the Protection of their Rights</p><p>DOB: 29.5.1975</p><p>POB: Kant village, Kant region, former USSR (now Kyrgyzstan)</p><p>Gender: female</p></td><td><p>In her capacity as Deputy Prime Minister of the Republic of Tatarstan as well as Chairwoman of the Republic’s Commission on Juvenile Affairs and the Protection of their Rights, Leyla Fazleeva is contributing to the illegal deportation of Ukrainian children. She is facilitating the illegal deportation of Ukrainian children to camps located in her region, including the “Miras” camp in the district of Zelenodolsky. She is one of the regional officials involved in the planning, budgeting and oversight of camps in Tatarstan, hosting groups of children from occupied territories of Ukraine.</p><p>Therefore, Leyla Fazleeva is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1557.</p></td><td><p>Rinat Nailevich SADYKOV</p><p>(Ринат Наилевич САДЫКОВ)</p></td><td><p>Function: Minister of Youth Affairs of the Republic of Tatarstan</p><p>DOB: 18.3.1986</p><p>POB: Kazan, former USSR (now Russian Federation)</p><p>Gender: male</p></td><td><p>In his capacity as Minister of Youth Affairs of the Republic of Tatarstan, Rinat Sadykov is contributing to the illegal deportation of Ukrainian children. He is facilitating the illegal deportation of Ukrainian children to camps located in his region, including the “Miras” camp in the district of Zelenodolsky. He is one of the regional officials involved in the planning, budgeting and oversight of camps in Tatarstan, hosting groups of children from occupied territories of Ukraine.</p><p>Therefore, Rinat Sadykov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1558.</p></td><td><p>Ksenia Vladimirovna MISHONOVA</p><p>(Ксения Владимировна МИШОНОВА)</p></td><td><p>Function: Children’s Rights Ombudsman of the Moscow Oblast</p><p>DOB: 14.12.1972</p><p>POB: Pavlohrad, former USSR (now Ukraine)</p><p>Gender: female</p></td><td><p>Ksenia Mishonova is a Children’s Rights Ombudsman of the Moscow Oblast. She is involved in the illegal deportation of Ukrainian children to the territory of the Russian Federation. She also facilitated the transfer of custody of Ukrainian children in Russia, and the granting of Russian citizenship to them. Her actions infringe Ukraine’s law and administrative order, and violate the rights of Ukrainian children.</p><p>Therefore, Ksenia Mishonova is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1559.</p></td><td><p>Darya Vasilievna MOROZOVA</p><p>(Дарья Васильевна МОРОЗОВА)</p></td><td><p>Function: Commissioner of Human Rights of the so-called “Donetsk People’s Republic”</p><p>DOB: 27.2.1989</p><p>POB: Makeevka, former USSR (now Ukraine)</p><p>Gender: female</p></td><td><p>Darya Morozova is a Commissioner of Human Rights of the so-called “Donetsk People’s Republic”. She was involved in the illegal deportation of Ukrainian children from Donbas to camps in the illegally annexed Crimean Peninsula and to accommodation centers in Russia. Her actions infringe Ukraine’s law and administrative order, and violate the rights of Ukrainian children.</p><p>She has supported Russia’s war of aggression against Ukraine and spread Russian propaganda and disinformation about the war. Moreover, she backed the illegal recognition of the separatist so-called “People’s Republics” in Donbas and the illegal annexation of the Ukrainian regions of Donetsk, Luhansk, Kherson and Zaporizhzhia by the Russian Federation.</p><p>Therefore, Darya Morozova is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1560.</p></td><td><p>Vitaliy Aleksandrovich SUK</p><p>(Виталий Александрович СУК)</p></td><td><p>Function: Director of the Oleshki Boarding School for Disabled Children</p><p>DOB: 12.3.1970</p><p>Gender: male</p></td><td><p>Vitaliy Suk is a director of the Oleshki Boarding School for Disabled Children. He was involved in the illegal deportation of Ukrainian children with disabilities from the Kherson Oblast to the illegally annexed Crimea and other territories of Ukraine under Russia’s control. Some of those children were sent onwards to homes for children with disabilities throughout Russia. His actions infringe Ukraine’s law and administrative order, and violate the rights of Ukrainian children.</p><p>Therefore, Vitaliy Suk is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1561.</p></td><td><p>Vladimir Viktorovich KHROMOV</p><p>(Владимир Викторович ХРОМОВ)</p></td><td><p>Function: Representative for the Commissioner of Children’s Rights in the Office of the President of the Russian Federation</p><p>DOB: 15.8.1977</p><p>Gender: male</p></td><td><p>Vladimir Khromov is a representative for the Commissioner of Children’s Rights in the Office of the President of the Russian Federation, Maria Lvova-Belova. He was involved in the organisation of military-patriotic camps in Chechnya for Ukrainian children who were illegally transferred from Donbas to the territory of the Russian Federation. His actions infringe Ukraine’s law and administrative order, and violate the rights of Ukrainian children.</p><p>Therefore, Vladimir Khromov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1562.</p></td><td><p>Konstantin Albertovich FEDORENKO</p><p>(Константин Альбертович ФЕДОРЕНКО)</p></td><td><p>Function: Director of the Federal State Budgetary Educational Institution Artek International Children’s Center</p><p>DOB: 29.12.1976</p><p>POB: Belorechensk, former USSR (now Russian Federation)</p><p>Gender: male</p></td><td><p>Konstantin Fedorenko is a director of the Artek International Children’s Center. He was involved in organizing Russian military and patriotic camps for children from the illegally annexed Crimean Peninsula, and children who were illegally deportated to the Crimean Peninsula from other parts of Ukraine under Russia’s control. His actions infringe Ukraine’s law and administrative order, and violate the rights of Ukrainian children.</p><p>Moreover, he publicly supported Russian soldiers who took part in the war of aggression against Ukraine. He also backed the illegal annexation of Crimea and Sevastopol by the Russian Federation.</p><p>Therefore, Konstantin Fedorenko is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1563.</p></td><td><p>Leonid Mikhailovich ROMANOV</p><p>(Леонид Михайлович РОМАНОВ)</p></td><td><p>Function: Director General of the Evgeny Primakov Children’s Aid Foundation</p><p>DOB: 13.2.1947</p><p>POB: Moscow, former USSR (now Russian Federation)</p><p>Gender: male</p></td><td><p>Leonid Romanov is a director general of the Evgeny Primakov Children’s Aid Foundation, which implements the project “Children of Donbas”, under which Ukrainian children from Donbas are being relocated to the territory of the illegally annexed Crimea and Russia. One of the goals of the “Children of Donbas” project is to integrate children from the Donbas region of Ukraine into life in Russia.</p><p>He participated in the illegal deportation of Ukrainian children from Donbas to a camp in Yevpatoria in the illegally annexed Crimea. The Evgeny Primakov Children’s Aid Foundation under his management has been involved in running two centers located near Moscow, where children from Donbas are accommodated and schooled. His actions infringe Ukraine’s law and administrative order, and violate the rights of Ukrainian children.</p><p>Therefore, Leonid Romanov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1564.</p></td><td><p>Vladimir Vladislavovich KOVALENKO</p><p>(Владимир Владиславович КОВАЛЕНКО)</p></td><td><p>Function: Chief of Staff of the Regional Branch of the All-Russian “Young Army” Military Patriotic Social Movement (Yunarmiya) in the city of Sevastopol</p><p>DOB: 4.2.1962</p><p>POB: Luhansk, former USSR (now Ukraine)</p><p>Gender: male</p></td><td><p>Vladimir Kovalenko is the Chief of Staff of the Regional Branch of the All-Russian “Young Army” Military Patriotic Social Movement (Yunarmiya) in the illegally annexed city of Sevastopol. He was involved in organizing Russian military and patriotic camps for children from the illegally annexed Crimean Peninsula, and children who were illegally deportated to the Crimean Peninsula from other parts of Ukraine occupied by Russia. His actions infringe Ukraine’s law and administrative order, and violate the rights of Ukrainian children.</p><p>Moreover, the Yunarmiya’s branch under his command took part in an organized campaign during which the schoolchildren in the illegally annexed city of Sevastopol were asked to write letters to the Russian soldiers who took part in Russia’s war of aggression against Ukraine.</p><p>Therefore, Vladimir Kovalenko is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1565.</p></td><td><p>Vladimir Dmitrievich NECHAEV</p><p>(Владимир Дмитриевич НЕЧАЕВ)</p></td><td><p>Function: Rector of the Sevastopol State University</p><p>DOB: 20.12.1972</p><p>POB: Sudzha, former USSR (now Russian Federation)</p><p>Gender: male</p></td><td><p>Vladimir Nechaev is a rector of the Sevastopol State University. He publicly supported the decision of President Putin to start Russia’s war of aggression against Ukraine. He also backed the illegal annexation of Crimea and Sevastopol by the Russian Federation in 2014.</p><p>Under his management, Sevastopol State University has run a program during which Ukrainian children, who had been illegally transported from the so-called “Luhansk People’s Republic” and other Russia-occupied parts of Ukraine to the illegally annexed Crimean Peninsula, have been re-educated with Russia’s history, culture, and patriotism. His actions infringe Ukraine’s law and administrative order, and violate the rights of Ukrainian children.</p><p>Therefore, Vladimir Nechaev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1566.</p></td><td><p>Andrey Sergeevich IVANAEV/</p><p>a.k.a. Andrei Sergeyevich IVANAYEV/</p><p>a.k.a. Andrey Sergeyevich IVANAYEV;</p><p>(Андрей Сергеевич ИВАНАЕВ)</p></td><td><p>Function: Lieutenant General in the Russian Armed Forces and commander of the 20th Guards Combined Arms Army of the Russian Federation</p><p>DOB: 19.1.1972</p><p>POB: Ural’sk, former USSR (now Kazakhstan)</p><p>Gender: male</p></td><td><p>Andrey Ivanaev is a Lieutenant General in the Russian Armed Forces. He is the commander of the 20th Guards Combined Arms Army of the Western Military District of the Russian Federation. In this capacity, he directly commands and has significant influence on the deployment of Russian forces that participate in Russia’s war of aggression against Ukraine. During Russia’s full-scale invasion of Ukraine, the 20th Guards Combined Arms Army, commanded by Andrey Ivanaev, has directly contributed to Russia’s offensive from the northeastern direction.</p><p>Therefore, Andrey Ivanaev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1567.</p></td><td><p>Sergey Borisovich MUCHKAYEV</p><p>(Сергей Борисович МУЧКАЕВ)</p></td><td><p>Function: Colonel with the Russian Armed Forces; head of the 106 Anti-Aircraft Missile Training Center of the Russian Armed Forces</p><p>DOB: 22.12.1976</p><p>POB: Dobele, former USSR (now Latvia)</p><p>Gender: male</p></td><td><p>Sergey Muchkayev is a high-ranking official within the Russian Armed Forces. He is the head of the 106 Anti-Aircraft Missile Training Center of the Russian Federation, which is responsible for the training of Russian military personnel operating surface-to-air missile systems, including the 53rd Anti-Aircraft Missile Brigade. Importantly, the 106 Anti-Aircraft Missile Training Center, headed by Sergey Muchkayev, is the only training center in the Russian Federation that trains junior specialists in the use of medium-range anti-aircraft weapons. In addition to heading the 106 Anti-Aircraft Missile Training Center of the Russian Armed Forces, which is responsible for the pre-deployment training of Russia’s surface-to-air missile units that actively participate in Russia’s war of aggression against Ukraine, Sergey Muchkayev functioned as commander of the 53rd Anti-Aircraft Missile Brigade until 2020.</p><p>Therefore, Sergey Muchkayev is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1568.</p></td><td><p>Leonid Vladimirovich KHARCHENKO</p><p>a.k.a. Krot</p><p>(Леонид Владимирович ХАРЧЕНКО</p><p>a.k.a. Крот)</p></td><td><p>Function: Head of the Krot Reconnaissance Battalion of the 2nd Department of the Military Intelligence Agency (GRU) of the so-called “Donetsk People’s Republic”</p><p>DOB: 10.1.1972</p><p>POB: Kostyantynivka, former USSR (now Russian Federation)</p><p>Gender: male</p></td><td><p>Leonid Kharchenko was commander of the “Reconnaissance Battalion” intelligence unit of the so-called “Donetsk People’s Republic” and took an active part in the separatist movement at an early stage of the armed conflict in Ukraine. He was found guilty by a Dutch court over the downing of Malaysia Airlines Flight MH17 in 2014. In 2018, Kharchenko retired with the rank of lieutenant colonel from the “Donetsk People’s Republic” forces. He took part in local elections in Crimea following his recommendation to the Commission by the Crimean Republican branch of the “Communists of Russia”. These elections were in breach of Ukrainian law and therefore illegal.</p><p>Therefore, Leonid Kharchenko is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1569.</p></td><td><p>Sergey Nikolaevich DUBINSKY</p><p>a.k.a. Khmuryi</p><p>(Сергей Николаевич ДУБИНСКИЙ</p><p>a.k.a. Хмурый)</p></td><td><p>Function: Head of the Military Intelligence Agency (GRU) of the so-called “Donetsk People’s Republic”</p><p>DOB: 9.8.1962</p><p>POB: Neskuchnoe, former USSR (now Ukraine)</p><p>Gender: male</p></td><td><p>Sergey Dubinsky was the Head of Military Intelligence of the so-called “Donetsk’s Peoples Republic (DPR) and took an active part in the separatist movement at an early stage of the armed conflict, having planned and executed the DPR’s offensive which preceded the shooting down of flight MH17. He was found guilty by a Dutch court over the downing of Malaysia Airlines Flight MH17 and the murder of all 298 civilians on board. Sergey Dubinsky is a colonel in the Military Intelligence Service (GRU) reserve, and he is protected by the Russian Government.</p><p>He is therefore benefitting from the Government of the Russian Federation, responsible for the annexation of Crimea and destabilisation of Ukraine. Furthermore, Sergey Dubinsky is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1570.</p></td><td><p>Artem Alexandrovich USS</p><p>a.k.a. Artyom Alexandrovich USS</p><p>(Артем Александрович УСС / a.k.a. Артём Александрович УСС)</p></td><td><p>Function: owner of Sibougol LCC</p><p>DOB: 22.4.1982</p><p>POB: former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Artem Uss is the owner of Sibougol LCC, a key Siberian company which produces more than 2 million tonnes of coal per year, with a revenue of more than RUB 2 000 000 000 registered in 2020. Together with his family, he is also associated with the company “Krasnoyarsklesomaterialy”, one of the largest exporters of Siberian timber.</p><p>Sibougol LCC has received large government contracts thanks to Artem Uss’s father, Alexander Uss, during his mandate as governor of the Krasnoyarsk region. Furthermore, on 20 April 2023, Alexander Uss publicly thanked President Putin and the Government of the Russian Federation for their support in getting his son back to Russia.</p><p>Artem Uss is also involved in the business activities of several other companies, including Nord-Deutsche Industrieanlagenbau, of which he is co-owner. He has provided the Russian Federation with military and dual-use technologies through his company Nord-Deutsche Industrieanlagenbau.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p>Therefore, Artem Uss is a leading businessperson operating in Russia and involved in an economic sector providing a substantial source of revenue to the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine. Furthermore, Artem Uss is supporting materially and benefitting from the Government of the Russian Federation.</p></td><td><p> </p></td></tr><tr><td><p>1571.</p></td><td><p>Mikhail Sergeevich ZVINCHUK</p><p>(Михаил Сергеевич ЗВИНЧУК)</p></td><td><p>Function: Member of the “working group special military operation” established per decree by President Putin; Creator of the military telegram channel “Rybar”</p><p>DOB: 19.7.1991</p><p>POB: Vladivostok, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Mikhail Zvinchuk is a member of the working group established by President Putin in December 2022 to coordinate the mobilization efforts of the Russian Federation to support its war of aggression against Ukraine. Beyond his role in the working group, he is known as the creator of the pro-Russian military Telegram channel “Rybar” reporting on Russian war efforts and Ukrainian military positions, as well as distributing disinformation and pro-Kremlin propaganda about the war.</p><p>Therefore, Mikhail Zvinchuk is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>1572.</p></td><td><p>Alexander Valeryevich SLADKOV</p><p>(Александр Валерьевич СЛАДКОВ)</p></td><td><p>Function: Member of the “working group special military operation” established per decree by President Putin; Journalist, War correspondent for VGTRK</p><p>DOB: 1.4.1966</p><p>POB: Monino, Moscow Region, former USSR (now Russian Federation)</p><p>Nationality: Russian</p><p>Gender: male</p></td><td><p>Alexander Sladkov is a member of the working group established by President Putin in December 2022 that is tasked with coordinating the mobilization efforts of the Russian Federation to support its war of aggression against Ukraine. Beyond his role in the working group, he works as war correspondent for the Russian state broadcaster VGTRK spreading disinformation and pro-Kremlin propaganda about the war of aggression against Ukraine. Furthermore, he is associated with VGTRK, a media holding company responsible for supporting actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine and which is also supporting and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p><p>Therefore, Alexander Sladkov is responsible for supporting and implementing actions and policies which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023’</p></td></tr></tbody></table></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>Entities</p><div><table><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Name</p></td><td><p>Identifying information</p></td><td><p>Reasons</p></td><td><p>Date of listing</p></td></tr><tr><td><p>‘212.</p></td><td><p>Foundation for the Support and Protection of the Rights of Compatriots Living Abroad</p><p>(a.k.a: Fund for the Legal Protection and Support of Russian Federation Compatriots, a.k.a. Living Abroad, a.k.a. The Foundation for the Support of Compatriots)</p><p>Russian:</p><p>“Фонд поддержки и защиты прав соотечественников, проживающих за рубежом”</p></td><td><p>Address: room 308-324, Arbat St, 55/32, Moscow, Russia, 119200</p><p>Type of entity: Non-Governmental Organisation</p><p>Place of registration: Moscow, Russia</p><p>Date of registration: 21.11.2011</p><p>Registration number: 1117799023330</p><p>Principal place of business: Russia, Moscow</p><p>Associated entities: Federal Agency Rossotrudnichestvo.</p></td><td><p>The Foundation for the Support and Protection of the Rights of Compatriots Living Abroad is founded and financed by the Russian Federation with the aim of fulfilling the foreign policy goals of the Russian Government. It represents a unique structure of Russia’s “soft power”, which plays an important supporting role in implementing the Russian Government politics of division.</p><p>The analytical reviews of the experts of the Foundation are used to confirm the main propaganda messages of the Kremlin, including that neo-Nazism and xenophobia are encouraged by the Ukrainian authorities. Unfounded accusations of Nazism, Russophobia, and massive persecution of Russian-speaking people are used by the Foundation, in line with Kremlin policy, to create instability and division in many neighbouring countries of Russia.</p><p>The Executive Director of the foundation expressed his support for President Putin and for Russia’s war of aggression against Ukraine. The Foreign Minister of Russia, Sergey Lavrov has confirmed the Foundation’s consistent work in countering xenophobia, neo-Nazism, and attempts to falsify history.</p><p>Therefore, the Foundation for the Support and Protection of the Rights of Compatriots Living Abroad is responsible for supporting materially and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilization of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>213.</p></td><td><p>JSC Makeyev State Rocket Center</p><p>АО “Государственный ракетный центр имени академика В. П. Макеева”</p><p>(АО “ГРЦ Макеева”)</p></td><td><p>Address: Miass, Russia</p><p>Date of registration: 1947</p><p>Principal place of business: Russia</p></td><td><p>JSC Makeyev State Rocket Center is a Russian company that designs and produces missiles and other weapons for the Russian Ministry of Defence. Missiles produced by Makeyev State are used in the Russian war of aggression against Ukraine. Furthermore, JSC Makeyev State Rocket Center organises “patriotic” concerts and fundraisers in support of Russian soldiers fighting in Russia’s war of aggression against Ukraine. Therefore, JSC Makeyev State Rocket Center is responsible for supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>214.</p></td><td><p>MRB Bank</p><p>a.k.a. “International Settlement Bank” LLC</p><p>a.k.a. Mezhdunarodnyi Raschetnyi Bank</p><p>(“Международный Расчетный Банк”</p><p>a.k.a. КБ МРБ (ООО))</p></td><td><p>Address: Stalin Street 20, Tsinkhval, Georgia</p><p>Website:</p><p>https://mrb-bank.ru/</p><p>(Inaccessible in the EU)</p><p>Type of entity: Limited Liability Company (LLC)</p><p>Place of registration: Georgia</p><p>Date of registration: 15.5.2015</p><p>Registration number: 1159800030409</p><p>Principal place of business: Russia, Georgia, Ukraine</p></td><td><p>MRB Bank has opened offices in the Ukrainian occupied territories of Kherson and Zaporizhzhia, and provides several banking services under the control of the Central Bank of Russia. It has established ATMs in the region and operates a local branch in Luhansk.</p><p>Therefore, MRB Bank is responsible for supporting materially and financially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>215.</p></td><td><p>CMRBank</p><p>a.k.a. TSMRBank</p><p>a.k.a. Bank “Centre for International Settlements” LLC</p><p>(ЦМРБанк</p><p>a.k.a. Банк “Центр международных расчетов”)</p></td><td><p>Address: Palikha street 10, building 7</p><p>127055, Moscow</p><p>Russian Federation</p><p>Telephone: +7-495-980-80-44 8-800-250-09-22</p><p>Website: https://cmrbank.ru</p><p>Email: cmr@cmrbank.ru</p><p>Type of entity: Limited Liability Company (LLC)</p><p>Place of registration: Moscow, Russian Federation</p><p>Date of registration: 28.4.2015</p><p>Registration number: 1157700005759</p><p>Principal place of business: Russia, Ukraine</p></td><td><p>CMRBank is a financial institution active and operational in the illegally annexed territories of Donetsk, Luhansk, Kherson and Zaporizhzhia since October 2022. It is one of the banks in these regions participating in the exchange of hryvnias for roubles for local citizens, as well as for providing preferential loans.</p><p>Therefore, CMRBank is responsible for supporting materially and financially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>216.</p></td><td><p>Joint-stock company “PMC Wagner Centre”</p><p>(ЧВК Вагнер Центр)</p></td><td><p>Address: 15 Zolnaya Street, Building 1, Room 1-N, Ch.P. 194 (Office 206)</p><p>Saint-Petersburg, municipal district Pravoborezhny</p><p>Russian Federation</p><p>Website: https://wagnercentr.ru/</p><p>Email: info@wagnercentr.ru</p><p>Type of entity: Joint-stock company</p><p>Place of registration: St. Petersburg, Russian Federation</p></td><td><p>PMC Wagner Centre is a Russian commercial venture, aiming to support private sector investment and innovation in order to support and bolster Russia’s defence capabilities. The Centre is overseeing engineering and IT projects with that goal and has launched a program on the operating of unmanned aerial vehicles (UAVs). Through Yevgeniy Viktorovich Prigozhin, the Centre and its activities are closely connected to its namesake, the PMC Wagner Group, a Russia-based unincorporated military entity, responsible for the deployment of Wagner Group mercenaries in Ukraine.</p><p>Through contributing to Russia’s war of aggression against Ukraine, it is responsible for supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p>Date of registration: 27.12.2022</p><p>Registration number: 1227800167242</p><p>Principal place of business: Russia</p><p>Associated individuals: Yevgeniy Viktorovich Prigozhin</p><p>Associated entities: Wagner Group</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>217.</p></td><td><p>PMC Patriot</p><p>(ЧВК “Патриот”)</p></td><td><p>Associated individuals or entities: Sergei Shoigu</p></td><td><p>Private military company Patriot (“PMC Patriot”) is a Russia-based unincorporated private military entity, which reportedly works under the command of the Ministry of Defence of the Russian Federation. It undertakes security and military-related activities, with direct participation on military conflicts. While previously associated with activities in Syria and the Central African Republic, in the context of Russia’s war of aggression against Ukraine, PMC Patriot has engaged in combat activities in Ukraine, specifically the attacks against the city of Vuhledar.</p><p>Therefore, PMC Patriot is responsible for supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine, and stability and security in Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>218.</p></td><td><p>Open Joint Stock Company TV and Radio Company of the Armed Forces of the Russian Federation “Zvezda”</p><p>a.k.a. OJSC TRC AF RF “Zvezda”</p><p>(Открытое акционерное общество “Телерадиокомпания Вооруженных Сил Российской Федерации ‘ЗВЕЗДА’”;</p><p>a.k.a. ОАО “ТРК ВС РФ ‘ЗВЕЗДА’”)</p></td><td><p>Address: 129164, Moscow, Prospekt Mira, 126</p><p>129164, г. Москва, пр-кт Мира, д. 126</p><p>Type of entity: Open Joint Stock Company/OAO</p><p>Place of registration: 129164, Moscow, Prospekt Mira, 126</p><p>129164, г. Москва, пр-кт Мира, д. 126</p><p>Date of registration: 8.6.2009</p><p>Registration number: ИНН 7717653542</p></td><td><p>TV and Radio Company of the Armed Forces of the Russian Federation Zvezda is an organisation controlled by Russia’s Ministry of Defence and financed by the Russian state. The company runs a military-patriotic TV channel “Zvezda” devoted to supporting and promoting Russia’s military, and spreads disinformation and propaganda about Russia’s war of aggression against Ukraine.</p><p>TV and Radio Company of the Armed Forces of the Russian Federation Zvezda is supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p>КПП 771701001</p><p>Principal place of business: Moscow, Russia</p><p>Associated individuals: Aleksei Viktorovich Pimanov</p><p>Other information: Communications; organisation registered with Russia’s media regulator</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>219.</p></td><td><p>Joint Stock Company “Repair Base for Repair of Aircraft Instruments and Aerodrome Equipment”</p><p>a.k.a. JSC REMBAZA</p><p>(Акционерное Общество “Ремонтная база по ремонту авиационных приборов и аэродромной техники”</p><p>a.k.a. АО “РЕМБАЗА”)</p></td><td><p>Address: St. Warsaw Highway, 125, Building 1, Office 515, Moscow, Russian Federation, 117587</p><p>Type of entity: Federal property</p><p>Place of registration: 412310, Saratov Region, Balashov, Ul. Titova, D.40</p><p>Date of registration: 19.5.2009</p><p>Registration number: TIN - 5027030107</p><p>Principal place of business: Russian Federation</p></td><td><p>JSC “Repair Base for Repair of Aircraft Instruments and Aerodrome Equipment” is a company founded by the Ministry of Defense of the Russian Federation. It mainly works with maintenance of weapons and military equipment. By conducting public procurements with the Ministry of Defense of the Russian Federation it supports Russia’s defense sector which has seen increased spending since May 2022. JSC “Repair Base for Repair of Aircraft Instruments and Aerodrome Equipment” is also on the list of strategic organisations and federal executive bodies that ensure the implementation of a unified state policy in the sectors of the economy in which those organisations operate.</p><p>Therefore, JSC “Repair Base for Repairof Aircraft Instruments and Aerodrome Equipment” is responsible for supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine, and for supporting and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>220.</p></td><td><p>Joint Stock Company DUKS</p><p>a.k.a. JSC DUKS</p><p>(Организация АО “ДУКС”</p><p>a.k.a. АО ДУКС)</p></td><td><p>Address: Moscow, 125040, Pravda str., 8, Russian Federation</p><p>Type of entity: Private property</p><p>Place of registration: Russian Federation</p><p>Date of registration: 9.7.2022</p><p>Registration number: 1027700010579</p><p>Principal place of business: Russian Federation</p><p>Other information: INN: 7714077682</p><p>PPC: 771401001</p></td><td><p>JSC “DUKS” is the main producer of rocket missiles, including AA-11 “Archer” which are carried by Russian SU-27 fighter jets and are used by Russia in its war of aggression against Ukraine. JSC “DUKS” has received an appreciation from the President of the Russian Federation, Vladimir Putin, for its great contribution to the creation of aviation technology and strengthening the country’s defense capability. JSC “DUKS” partners are the Russian Ministry of Defense and Rosoboronexport (Russian Defense Export).</p><p>Therefore, JSC “DUKS” is responsible for supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine, and for supporting materially and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>221.</p></td><td><p>JSC Plant Universalmash</p><p>(АО ЗАВОД УНИВЕРСАЛМАШ)</p></td><td><p>Address: 198097, St. Petersburg, Stachek avenue, 47 LITERA C, office 6th office 2/1, Russian Federation</p><p>Type of entity: Non-public joint stock company</p><p>Place of registration: Russian Federation</p><p>Date of registration: 23.8.2002</p><p>Registration number: TIN - 7805060220</p><p>INN - 7805060220</p><p>Principal place of business: Russian Federation</p></td><td><p>JSC “Plant Universalmash” is a subsidiary of PJSC “KIROVSKY ZAVOD” which provides the unified tracked chassis for S-300V anti-aircraft missile system. This type of chassis is also used for self-propelled artillery "Pion" and unified separate units with a T-80 tank which are used by Russian forces in Ukraine. Moreover, Sergey Serebryakov who heads the Universalmash plant, stated that the company is fulfilling tasks related to state defense orders.</p><p>Therefore, JSC “Plant Universalmash” is responsible for supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine, and for supporting materially and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>222.</p></td><td><p>PJSC “Research and Production Association ‘ISKRA’” / PJSC NPO Iskra</p><p>(ПАО “Научно-Производственное Объединение ‘ИСКРА’” / ПАО НПО “Искра”)</p></td><td><p>Address: 614038, Perm Territory, Perm, st. Academician Vedeneeva, 28, Russian Federation</p><p>Type of entity: Public Joint-Stock Company</p><p>Place of registration: Russian Federation</p><p>Date of registration: 25.7.1996</p><p>Registration number: 1025901509798</p><p>Principal place of business: Russian Federation</p><p>Additional information: Website: https://npoiskra.ru/,</p><p>Phone: +7 (342) 262-72-72,</p><p>E-mail: info@npoiskra.ru</p><p>INN 5907001774</p><p>KPP 590701001</p><p>OKPO 07504034</p></td><td><p>PJSC “Research and Production Association ‘ISKRA’” is a designer, manufacturer and supplier of equipment for the fuel and energy complex, and a developer and manufacturer of solid-fuel rocket engines and their elements for missile complexes of various purposes, including for the strategic forces of the Russian Federation. PJSC “Research and Production Association ‘ISKRA’” manufactures elements for missile complexes used by the Russian Armed Forces in the war of aggression against Ukraine.</p><p>Therefore, PJSC “Research and Production Association ‘ISKRA’” supports materially and benefits from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>223.</p></td><td><p>Joint Stock Company “State Scientific Center of the Russian Federation Troitsk Institute for Innovative and Thermonuclear Research”</p><p>a.k.a. JSC “SSC RF TRINITY”</p><p>(Акционерное общество “Государственный научный центр Российской Федерации Троицкий институт инновационных и термоядерных исследований”</p><p>a.k.a. АО “ГНЦ РФ ТРИНИТИ”)</p></td><td><p>Address: 108840, Moscow, Troitsk, st. Pushkov, vl. 12, Russian Federation</p><p>Type of entity: Joint stock company</p><p>Place of registration: Russian Federation</p><p>Date of registration: 10.3.2015</p><p>Registration number: 1157746176400</p><p>Principal place of business: Russian Federation</p><p>Additional information: General Director: Kirill Igorevich Ilyin</p><p>INN 7751002460</p><p>KPP 775101001</p></td><td><p>JSC “SSC RF TRINITY” is a Russian scientific company whose main scientific activities are in the field of plasma physics, laser physics and technology, physics of the extreme state of matter, physics of energy conversion processes, and research and technological development related to the implementation of the State Defense Order. JSC “SSC RF TRINITY” carries out research for the Ministry of Defense of the Government of the Russian Federation and has developed a technology for coating the internal surfaces of the barrels of artillery guns.</p><p>Therefore, JSC “SSC RF TRINITY” is supporting materially and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>224.</p></td><td><p>“Plant ‘Zvezda’”- Branch of the Federal State Unitary Enterprise “Scientific and Production Center of Automation and Instrumentation named after academician N.A. Pilyugin”</p><p>a.k.a. FL “Plant ‘Zvezda’ FSUE “NPCAP”</p><p>(“Завод ‘Звезда’-Филиал Федерального Государственного Унитарного Предприятия ‘Научно-Производственный Центр Автоматики и Приборостроения имени академика Н.А.Пилюгина’”</p><p>a.k.a. ФЛ “Завод ‘Звезда’” ФГУП “НПЦАП”)</p></td><td><p>Address: 172739, Solnechny island, Tver region, Novaya str., 80, Russian Federation</p><p>Legal address: 117342, Moscow City, Vvedenskogo street, 1, Russian Federation</p><p>Type of entity: Branch of the Federal State Unitary enterprise</p><p>Place of registration:</p><p>Russian Federation</p><p>Date of registration: 15.11.2002</p><p>Registration number: 1027739552642</p><p>Principal place of business: Russian Federation</p></td><td><p>“Plant ‘Zvezda’” is Russia’s leading enterprise for the production of high-precision gyroscopic devices for rocket, space and aviation equipment for various purposes. The plant is a part of the military-industrial complex in Tver region that solves high-tech tasks in the interests of the Ministry of Defense of the Russian Federation.</p><p>“Plant ‘Zvezda’” manufactures and provides dynamically adjustable gyroscopes (DNG) which are used in control and stabilization systems of the navigation satellites - GLONASS–K. GLONASS is a Russian satellite navigation system designed for operational navigation and time support for an unlimited number of land, sea, air and space-based users. GLONASS system continually assists Russian Armed Forces to deliver accurate strikes with tactical missiles (e.g. Iskander tactile missiles) in Russia’s war of aggression against Ukraine.</p><p>Therefore, “Plant ‘Zvezda’” is supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p>Associateded entities: Former parent company, Federal State Unitary Enterprise “Scientific and Production Center of Automation and Instrumentation named after academician N.A. Pilyugin” (JSC “NPCAP”)</p><p>Additional information: TIN 7728171283</p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>225.</p></td><td><p>JSC Murom Instrument-Making Plant</p><p>a.k.a. JSC “MPZ”</p><p>(Акционерное общество “Муромский приборостроительный завод”</p><p>a.k.a. AO “МПЗ”)</p></td><td><p>Address: 602205, Vladimir region, Murom, 30 Let Pobedy St., 1a., Russian Federation</p><p>Type of entity: Mixed Russian property with a share of federal ownership</p><p>Place of registration: Russian Federation, 602205, Vladimir region, Murom, 30 Let Pobedy St., 1a.</p><p>Date of registration: 1.7.2011</p><p>Registration number: 1113334001879</p><p>Principal place of business: Russian Federation</p><p>Other information: INN: 3334017070</p><p>KPP: 333401001</p></td><td><p>JSC “Murom Instrument-Making Plant” specialises in the production of the means of initiation and ignition of ammunition for all types of the armed force’s weapons. It provides initiating and igniting ammunition of all branches of the Russian Armed Forces, the Ministry of Internal Affairs, the FSB and other law enforcement agencies. JSC “Murom Instrument-Making Plant” is included in the list of strategic organisations that ensure the implementation of a unified state policy in the sectors of the economy in which they operate. The CEO of the company, Dmitry Fadeev has pledged “to do everything to provide today's defenders of the Fatherland with everything they need in order to liberate Donbas from the Nazi regime”. Moreover, he is the head of the weapon-producing League of Defense Enterprises of the Vladimir Region.</p><p>Therefore, JSC “Murom Instrument-Making Plant” is responsible for supporting materially and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>226.</p></td><td><p>Design and Production Enterprise “Iris” JSC</p><p>a.k.a. PKP Iris; a.k.a. Iris JSC</p><p>(Акционерное Общество “Производственно-Конструкторское Предприятие ‘Ирис’”</p><p>a.k.a. ПКП “Ирис”</p><p>a.k.a. АО “Ирис”)</p></td><td><p>Place of registration: Russian Federation (Rostov region, Rostov-on-Don, st. Krasnoarmeiskaya, 9)</p><p>Date of registration: 1.2.2010</p><p>Registration number: 6164295259 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>Design and Production Enterprise “Iris” JSC is a Russian military-industrial enterprise that develops electric motors, “launch vehicles”, and rocket systems for the Russian Armed Forces. Iris JSC has, inter alia, developed submarine engines for the Russian Federation Navy. The entity holds at least three licenses and certificates administered by the Government of the Russian Federation, including a certificate administered to Russian entities operating in the Russian defense industry, a license administered by the Russian state space corporation and a license administered by the Russian Federal Service for Defense Affairs for the “development of weapons and military technology”. Additionally, the official website of the entity contains propagandistic pro-war imagery, through which Iris JSC openly expresses support for Russia’s war of aggression against Ukraine.</p><p>Therefore, Design and Production Enterprise “Iris” JSC is supporting materially and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>227.</p></td><td><p>TRV-Akhtubinsk LLC</p><p>(a.k.a. Tactical Missile Corporation Akhtubinsk</p><p>ОБЩЕСТВО С ОГРАНИЧЕННОЙ ОТВЕТСТВЕННОСТЬЮ “ТРВ-АХТУБИНСК”</p><p>a.k.a."Корпорация “Тактическое ракетное вооружение - Ахтубинск”)</p></td><td><p>Place of registration: Russian Federation (416506, Astrakhan Region, Akhtubinsky District, Akhtubinsk, st. Sukhoi P.O., Building 12a)</p><p>Date of registration: 10.10.2010</p><p>Registration number: 3001041615 (Tax Identification Number)</p><p>Principal place of business: Russian Federation Associated entities:</p><p>Tactical Missile Corporation, parent company, (TIN: 503210805145)</p></td><td><p>Tactical Missile Corporation Akhtubinsk is a Russian military-industrial state enterprise that develops air-launched weapons for combat jets, attack helicopters and strategic bombers deployed by the Russian Armed Forces. Military equipment designed by Tactical Missile Corporation Akhtubinsk is directly used in Russia’s war of aggression against Ukraine. Notably, Tactical Missile Corporation Akhtubinsk is a subsidiary of the Russian state enterprise, Tactical Missile Corporation, which has previously been placed under EU restrictive measures.</p><p>Therefore, Tactical Missile Corporation Akhtubinsk is supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine. Moreover, Tactical Missile Corporation Akhtubinsk is supporting materially and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>228.</p></td><td><p>Federal state enterprise “Plant named after Ia. M. Sverdlov”</p><p>a.k.a. Sverdlov Plant</p><p>(Федеральное казенное предприятие “Завод имени Я.М.Свердлова”)</p></td><td><p>Place of registration: Russian Federation (606002, Nizhny Novgorod region, Dzerzhinsk city, Sverdlov avenue, 4)</p><p>Date of registration: 11.12.1991</p><p>Registration number: 5249002485 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>Federal state enterprise “Plant named after Ia. M. Sverdlov” is a Russian military-industrial enterprise that manufactures explosives that are used by the Russian Armed Forces during Russia’s illegal and unjustified military invasion of Ukraine in 2022. The entity has at least three ongoing contracts with the Russian Ministry of Defense worth over RUB 608 179 800 . Importantly, Federal state enterprise “Plant named after Ia. M. Sverdlov” is the only Russian manufacturer of HMX (i.e. octogen, a powerful nitroamine high explosive) and RDX (i.e. hexogen, an organic compound widely used as an explosive). Russian HMX- and RDX-based explosives have been confirmed as used in Ukraine during Russia’s war of aggression against Ukraine.</p><p>Therefore, Federal state enterprise “Plant named after Ia. M. Sverdlov” is supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine. Moreover, Federal state enterprise “Plant named after Ia. M. Sverdlov” is supporting materially and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>229.</p></td><td><p>Factory “Copier” JSC</p><p>(АКЦИОНЕРНОЕ ОБЩЕСТВО “ЗАВОД ‘КОПИР’”)</p></td><td><p>Place of registration: Russian Federation (425350, Republic of Mari El, city of Kozmodemyansk, str. Gagarina, 10)</p><p>Date of registration: 12.7.1996</p><p>Registration number: 1217000287 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>Factory “Copier” JSC is a Russian military-industrial enterprise that manufactures electrical equipment for the Russian Armed Forces. The entity is one of the main military enterprises of the Russian Federation, developing electrical connectors, devices and components for electrical equipment for the Russian aviation, rocket and space industries. In an interview, the director of Copier JSC confirmed that approximately 50 % of products manufactured by Copier JSC are developed for military use. Notably, the Ministry of Industry and Trade of the Russian Federation is the second biggest client of Copier JSC. The entity has at least one contract worth RUB 80 400 000 with that Ministry.</p><p>Therefore, Factory “Copier” JSC is supporting materially and benefitting from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>230.</p></td><td><p>Vulkan LLC</p><p>a.k.a. NTTS “VULKAN” LLC</p><p>a.k.a. Obshchestvo S Ogranichennoi Otvetstvennostiu “Nauchno-Tekhnicheskii Tsentr ‘Vulkan’”</p><p>(Общество С Ограниченной Ответственностью “Научно-Технический Центр ‘Вулкан’”)</p></td><td><p>Place of registration: Russian Federation (105318, Moscow, ul. Ibragimova, 31)</p><p>Date of registration: 3.6.2010</p><p>Registration number: 7719751930 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>NTTS “VULKAN” LLC holds a license administered by the FSB. The FSB license is issued to IT companies that develop encryption and cryptography technology, information systems, and telecommunication systems for the Russian intelligence services, as well as IT companies that develop “personal database management systems” for the Russian security services (i.e. tools specifically designed to store, retrieve, and manage large amounts of data obtained through, for example, social media scraping or other intelligence gathering practices).</p><p>Therefore, NTTS “VULKAN” LLC constitutes an entity operating in the Russian IT-sector with a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>231.</p></td><td><p>OKENIT JSC</p><p>a.k.a. AO “OKENIT”</p><p>(AKTSIONERNOE OBSHCHESTVO “OKENIT”</p><p>a.k.a. АКЦИОНЕРНОЕ ОБЩЕСТВО “ОКЕНИТ”)</p></td><td><p>Place of registration: Russian Federation (193091, Saint Petersburg, nab. Oktiabrskaia, 6,litera v, pomeshch. 8-n)</p><p>Date of registration: 25.8.2015</p><p>Registration number: 7811227439 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>OKENIT JSC holds a license administered by the Russian Ministry of Industry and Trade, as well as a license administered by the FSB. This license administered by the Russian Ministry of Industry and Trade serves for the “development, production, testing, installation, maintenance, disposal and sale of weapons and military equipment”. The FSB license, in turn, is issued to IT companies that develop encryption and cryptography technology, information systems, and telecommunication systems for the Russian intelligence services, as well as IT companies that develop “personal database management systems” for the Russian security services (i.e. tools specifically designed to store, retrieve, and manage large amounts of data obtained through, for example, social media scraping or other intelligence gathering practices).</p><p>Therefore, OKENIT JSC constitutes an entity operating in the Russian IT-sector with a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets and a “weapons and military equipment” license administered by the Russian Ministry of Industry and Trade.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>232.</p></td><td><p>JOINT STOCK COMPANY “ECHELON UNION FOR SCIENCE AND DEVELOPMENT”</p><p>a.k.a.ECHELON JSC</p><p>a.k.a. JSC “NPO ECHELON”</p><p>(ЭШЕЛОН)</p></td><td><p>Place of registration: Russian Federation (107023, Moscow, ul. Elektrozavodskaia, 24 str. 1.)</p><p>Date of registration: 22.11.2007</p><p>Registration number: 7718676447 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>Echelon JSC holds a license administered by the FSB. The FSB license is issued to IT companies that develop encryption and cryptography technology, information systems, and telecommunication systems for the Russian intelligence services, as well as IT companies that develop “personal database management systems” for the Russian security services (i.e. tools specifically designed to store, retrieve, and manage large amounts of data obtained through, for example, social media scraping or other intelligence gathering practices).</p><p>Therefore, Echelon JSC constitutes an entity operating in the Russian IT-sector with a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>233.</p></td><td><p>Iteranet LLC</p><p>a.k.a. Obshchestvo s Ogranichennoi Otvetstvennostiu “Iteranet”;</p><p>(Общество С Ограниченной Ответственностью “Итеранет”)</p></td><td><p>Place of registration: Russian Federation (119121, Moscow, per. Truzhenikov 1-i, 16 str.17)</p><p>Date of registration: 27.4.1999</p><p>Registration number: 7704199755 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>Iteranet LLC holds a license administered by the FSB. The FSB license is issued to IT companies that develop encryption and cryptography technology, information systems, and telecommunication systems for the Russian intelligence services, as well as IT companies that develop “personal database management systems” for the Russian security services (i.e. tools specifically designed to store, retrieve, and manage large amounts of data obtained through, for example, social media scraping or other intelligence gathering practices).</p><p>Therefore, Iteranet LLC constitutes an entity operating in the Russian IT sector with a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>234.</p></td><td><p>Positive Group PJSC</p><p>a.k.a. Positive technologies</p><p>a.k.a. Gruppa Pozitiva</p><p>(Группа Позитива)</p></td><td><p>Place of registration: Russian Federation (107241, Moscow, sh. Shchelkovskoe, 23A, pomeshch. V kom. 33.)</p><p>Date of registration: 27.9.2017</p><p>Registration number: 9718077239 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>Positive Group PJSC holds a license administered by the FSB. The FSB license is issued to IT companies that develop encryption and cryptography technology, information systems, and telecommunication systems for the Russian intelligence services, as well as IT companies that develop “personal database management systems” for the Russian security services (i.e. tools specifically designed to store, retrieve, and manage large amounts of data obtained through, for example, social media scraping or other intelligence gathering practices).</p><p>Therefore, Positive Group PJSC constitutes an entity operating in the Russian IT-sector with a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>235.</p></td><td><p>Poisk-IT LLC</p><p>Obshchestvo S Ogranichennoi Otvetstvennostiu Nauchno-Tekhnicheskii Tsentr “Poisk-IT“</p><p>a.k.a. Limited Liability Company Scientific and Technical Center “Poisk-IT“</p></td><td><p>Place of registration: Russian Federation (27521, Moscow, ul. Oktiabrskaia, 72.)</p><p>Date of registration: 29.5.2020</p><p>Registration number: 9715384055 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>Poisk-IT LLC holds a license administered by the FSB. The FSB license is issued to IT companies that develop encryption and cryptography technology, information systems, and telecommunication systems for the Russian intelligence services, as well as IT companies that develop “personal database management systems” for the Russian security services (i.e. tools specifically designed to store, retrieve, and manage large amounts of data obtained through, for example, social media scraping or other intelligence gathering practices).</p><p>Therefore, Poisk-IT LLC constitutes an entity operating in the Russian IT-sector with a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>236.</p></td><td><p>Vektor JSC</p><p>a.k.a. AO “NII ‘VEKTOR’”</p><p>a.k.a. AKTSIONERNOE OBSHCHESTVO “NAUCHNO-ISSLEDOVATELSKII INSTITUT ‘VEKTOR’”;</p><p>(АКЦИОНЕРНОЕ ОБЩЕСТВО “НАУЧНО-ИССЛЕДОВАТЕЛЬСКИЙ ИНСТИТУТ ‘ВЕКТОР’”</p><p>a.k.a. ОАО НИИ Вектор)</p></td><td><p>Place of registration: Russian Federation (197022, Saint Petersburg, ul. Akademika Pavlova, 14)</p><p>Date of registration: 26.1.2011</p><p>Registration number: 7813491943 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>Vektor JSC holds two licenses administered by the Russian Ministry of Industry and trade, as well as a license administered by the FSB. The two licenses administered by the Russian Ministry of Industry and Trade serve for the “development, production, testing, installation, maintenance, disposal and sale of weapons and military equipment”. The FSB license, in turn, is issued to IT companies that develop encryption and cryptography technology, information systems, and telecommunication systems for the Russian intelligence services, as well as IT companies that develop “personal database management systems” for the Russian security services (i.e. tools specifically designed to store, retrieve, and manage large amounts of data obtained through, for example, social media scraping or other intelligence gathering practices).</p><p>Therefore, Vektor JSC constitutes an entity operating in the Russian IT-sector with a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets and a “weapons and military equipment” license administered by the Russian Ministry of Industry and Trade.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>237.</p></td><td><p>Akuta JSC</p><p>a.k.a. Acuta</p><p>a.k.a. Zakrytoe Aktsionernoe Obshchestvo “Akuta”;</p><p>(Закрытое Акционерное Общество “Акута”;</p><p>a.k.a. “Акута”)</p></td><td><p>Place of registration: Russian Federation (197110, Saint Petersburg, ul. Pionerskaia, 44)</p><p>Date of registration: 28.9.2008</p><p>Registration number: 7813426574 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>Akuta JSC holds a license administered by the FSB “to carry out work related to the use of information constituting a state secret”. The FSB license is issued to IT companies that develop encryption and cryptography technology, information systems, and telecommunication systems for the Russian intelligence services, as well as IT companies that develop “personal database management systems” for the Russian security services (i.e. tools specifically designed to store, retrieve, and manage large amounts of data obtained through, for example, social media scraping or other intelligence gathering practices). Additionally, Akuta holds a license administered by the Russian Ministry of Industry and Trade. This license administered by the Russian Ministry of Industry and Trade serves for the “development, production, testing, installation, maintenance, disposal and sale of weapons and military equipment”. In particular, Akuta JSC produces “Unmanned Undersea Vehicles” (UUV) for the Russian Armed Forces, which are deployed for intelligence, surveillance, and reconnaissance missions, anti-submarine warfare, information operations, and time-critical strikes. The entity describes itself as operating in the Russian IT sector, working “mainly within the framework of the [Russian] state defense order [with] larger enterprises of the [Russian] military-industrial complex”. Akuta furthermore holds a license “for activities in the field of creating information security tools”, which is administered by the 8th directorate of the GRU, that is the foreign military intelligence agency of the General Staff of the Armed Forces of the Russian Federation.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p>Therefore, Akuta JSC constitutes an entity operating in the Russian IT sector with a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets and a “weapons and military equipment” license administered by the Russian Ministry of Industry and Trade of the Russian Federation.</p></td><td><p> </p></td></tr><tr><td><p>238.</p></td><td><p>ZAO MNITI</p><p>ZAKRYTOE AKTSIONERNOE OBSHCHESTVO “MNITI”</p><p>a.k.a. Moscow Research Television Institute</p><p>(ЗАКРЫТОЕ АКЦИОНЕРНОЕ ОБЩЕСТВО “МНИТИ”;</p><p>a.k.a. Московский научно-исследовательский телевизионный институт)</p></td><td><p>Place of registration: Russian Federation (105094, Moscow, ul. Golianovskaia, 7A str. 1)</p><p>Date of registration: 2.4.1992</p><p>Registration number: 7701024429 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>ZAO MNITI holds a license administered by the Russian Ministry of Industry and Trade, as well as a license administered by the FSB. This license administered by the Russian Ministry of Industry and Trade serve for the “development, production, testing, installation, maintenance, disposal and sale of weapons and military equipment”. The FSB license, in turn, is issued to IT companies that develop encryption and cryptography technology, information systems, and telecommunication systems for the Russian intelligence services, as well as IT companies that develop “personal database management systems” for the Russian security services (i.e. tools specifically designed to store, retrieve, and manage large amounts of data obtained through, for example, social media scraping or other intelligence gathering practices).</p><p>Therefore, ZAO MNITI constitutes an entity operating in the Russian IT-sector with a license administered by the FSB Center for Licensing, Certification, and Protection of State Secrets and a “weapons and military equipment” license administered by the Russian Ministry of Industry and Trade.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>239.</p></td><td><p>20th Guards Combined Arms Army</p><p>(20-я гвардейская Краснознаменная общевойсковая армия</p><p>a.k.a. 20-я гвардейская общевойсковая армия)</p></td><td><p>Place of registration: Russian Federation (606083, Nizhny Novgorod region, Volodarsky district, Mulino)</p><p>Date of registration: 14.12.2009</p><p>Registration number: 3666162144 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>The 20th Guards Combined Arms Army is a part of the Russian Ground Forces and directly participates in Russia’s war of aggression against Ukraine. Commanded by Andrey Sergeevich Ivanaev, the 20th Guards Combined Arms Army is described by the Russian Ministry of Defense as “the largest association of the Armed Forces of the Russian Federation, participating in the most significant events in the military life of the country”. During Russia’s full-scale invasion of Ukraine, the 20th Guards Combined Arms Army has directly contributed to Russia’s offensive from the northeastern direction.</p><p>Therefore, the 20th Guards Combined Arms Army is supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>240.</p></td><td><p>53rd Anti-Aircraft Missile Brigade</p></td><td><p>Place of registration: Russian Federation (305502, Kursk region, pos. Marshal Zhukov, military unit 32406)</p><p>Date of registration: 26.11.2009</p><p>Registration number: 4611010810 (Tax Identification Number)</p><p>Principal place of business: Russian Federation</p></td><td><p>The 53rd Anti-Aircraft Missile Brigade is a surface-to-air missile brigade of the Russian Ground Forces and is part of the 20th Guards Army of the Russian Federation. Since September 2010, the 53rd Anti-Aircraft Missile Brigade has performed combat missions as part of the Western Military District and has been recognized as one of the key air defense brigades of the Russian land forces. Since February 2022, the 53rd Anti-Aircraft Missile Brigade has actively contributed to Russia’s war of aggression against Ukraine. The 53rd Anti-Aircraft Missile Brigade has been deployed to the Kharkiv region of Ukraine during Russia’s full-scale invasion, firing anti-aircraft missiles from a warehouse in Izium while the Ukrainian city was under Russian occupation. In February 2023, the 53rd Anti-Aircraft Missile Brigade was awarded a new honorary designation by President Putin for “mass heroism and valor, endurance, and courage shown by the personnel of the brigade in combat actions to defend the Fatherland”, likely in relation to the brigade’s contributions to Russia’s full-scale invasion of Ukraine.</p><p>Therefore, the 53rd Anti-Aircraft Missile Brigade is supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>241.</p></td><td><p>SPS CJSC</p><p>a.k.a Non-Public Joint Stock Company “Research and Production Center” Specialized Devices and Systems</p><p>a.k.a. Specialized Devices and Systems</p><p>(Непубличное Акционерное Общество “Научно-Производственный Центр</p><p>‘Специализированные Приборы И Системы’”)</p></td><td><p>Place of registration: Moscow, Russian Federation (125080, Moscow, sh. Volokolamskoe, 1 str. 1, et 5; pom VI; kom 30B</p><p>Date of registration: 22.8.2014</p><p>Registration number: 7743937237 (Tax Identification Number)</p><p>Principal place of business: Russian Federation, Netherlands</p><p>Other information:</p><p>Sergei Iurevich Zubkov (general manager)</p></td><td><p>SPS CJSC is a Russia-based entity that manufactures computers and other electronic equipment. SPS CJSC is actively involved in circumventing sanctions through its partnership with an EU-based entity, namely Woerd-Tech BV. Since the imposition of EU sanctions prohibiting the export of semiconductors to Russia, the Netherlands-based entity Woerd-Tech BV has been suspected of illegally smuggling semiconductors to the Russian Federation. The owner of Woerd-Tech BV has been arrested by the competent Dutch authority on suspicion of sanctions circumvention. SPS CJSC has functioned as a key facilitator in the illegal smuggling operation run by Woerd-Tech BV, acting as the Russia-based recipient of illegally exported semiconductors.</p><p>Therefore, SPS CJSC is an entity circumventing the Union’s restrictive measures by activities which have the aim or result of frustrating the prohibitions of Decision 2014/512/CFSP and Regulation (EU) No 833/2014.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>242.</p></td><td><p>AO “FTI-OPTRONIK”</p><p>(ООО ФТИ-ОПТРОНИК)</p></td><td><p>Address: Politekhnicheskaya Ulitsa, 28, St Petersburg, Russia, 194021</p><p>Website: http://www.fti-optronic.com/Optoelektronnye-komponenty.html</p><p>Place of registration: Saint Petersburg, Russian Federation</p><p>Date of registration: 3.7.2013</p><p>Registration number: INN 7802830545</p><p>BIN 1137847251740</p><p>PPC 780101001</p><p>OKPO 27492853</p></td><td><p>AO “FTI-OPTRONIK” is a Russian research and production enterprise with a full cycle of work from development to pilot and serial production of optoelectronic products. Currently, FTI-Optronic is the only specialised enterprise in Russia that produces optoelectronic components for fiber-optic information transmission systems, measuring instruments and equipment for special applications. The Russian government supports optoelectronic technologies manufacturers as domestic production is expected to replace missing foreign technologies needed by the most important sectors and the military industry. Moreover, AO “FTI-OPTRONIK” provides services, through public procurement contracts, to JSC “Concern Sozvezdie”, a company specialized in the production of control and communication systems, electronic warfare and special equipment for Russian armed forces. Therefore, AO “FTI-OPTRONIK” supports materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine. AO “FTI-OPTRONIK” also supports and benefits from the Government of the Russian Federation, which is responsible for the annexation of Crimea and the destabilisation of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>243.</p></td><td><p>Zala Aero Group</p></td><td><p>Address: 426011, UR, Izhevsk, PO Box 9050</p><p>Type of entity: Limited Liability Company (LLC)</p><p>Place of registration: Russia</p><p>Date of registration: 24.12.2010</p><p>Registration number: 1841015504</p><p>Associated entity: JCS Kalashnikov Concern</p></td><td><p>Zala Aero Group, part of the Kalashnikov Group, is a Russian company that manufactures and supplies UAVs, in particular “Lancet UAV” and “KYB-UAV”, which have been used by the Russian military in its war of aggression of Ukraine. Zala Aero is therefore supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023</p></td></tr><tr><td><p>244.</p></td><td><p>JSC NPP “KLASS”</p></td><td><p>Address: 111123, Moscow, Entuziastov Highway, 56, Building 21</p><p>Type of entity: Joint Stock Company (JSC)</p><p>Place of registration: Russia</p><p>Date of registration: 29.6.1994</p><p>Registration number: 7724032017 (or State registration number : 1027700450975)</p></td><td><p>JSC NPP Klass is a Russian company that manufactures and supplies protective equipment to the Russian military and more broadly to the Russian Armed Forces and security forces. This equipment has been used by the Russian military in Russia’s war of aggression against Ukraine. JSC NPP Klass is therefore supporting materially actions which undermine and threaten the territorial integrity, sovereignty and independence of Ukraine.</p></td><td><p>23.6.2023’</p></td></tr></tbody></table></div></td></tr></tbody></table> | ENG | 32023D1218 |
<table><col/><col/><col/><col/><tbody><tr><td><p>20.5.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 131/66</p></td></tr></tbody></table>
COUNCIL DECISION (EU) 2016/783
of 12 May 2016
on the position to be adopted, on behalf of the European Union, within the EEA Joint Committee concerning an amendment to Protocol 31 to the EEA Agreement, on cooperation in specific fields outside the four freedoms (Budget Line 12.02.01)
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114 in conjunction with Article 218(9) thereof,
Having regard to Council Regulation (EC) No 2894/94 of 28 November 1994 concerning arrangements for implementing the Agreement on the European Economic Area ( 1 ) , and in particular Article 1(3) thereof,
Having regard to the proposal from the European Commission,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>The Agreement on the European Economic Area <a>(<span>2</span>)</a> (‘the EEA Agreement’) entered into force on 1 January 1994.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Pursuant to Article 98 of the EEA Agreement, the EEA Joint Committee may decide to amend, inter alia, Protocol 31 to the EEA Agreement (‘Protocol 31’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Protocol 31 contains provisions on cooperation in specific fields outside the four freedoms.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>It is appropriate to continue the cooperation of the Contracting Parties to the EEA Agreement in Union actions funded from the general budget of the European Union regarding the implementation and development of the single market for financial services.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Protocol 31 should therefore be amended in order to allow for this extended cooperation to continue beyond 31 December 2015.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The position of the Union within the EEA Joint Committee should therefore be based on the attached draft decision,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
The position to be adopted, on the Union's behalf, within the EEA Joint Committee on the proposed amendment to Protocol 31 to the EEA Agreement, on cooperation in specific fields outside the four freedoms, shall be based on the draft decision of the EEA Joint Committee attached to this Decision.
Article 2
This Decision shall enter into force on the date of its adoption.
Done at Brussels, 12 May 2016.
For the Council
The President
F. MOGHERINI
( 1 ) OJ L 305, 30.11.1994, p. 6 .
( 2 ) OJ L 1, 3.1.1994, p. 3 .
DRAFT
DECISION OF THE EEA JOINT COMMITTEE No …/2016
of … amending Protocol 31 to the EEA Agreement, on cooperation in specific fields outside the four freedoms
THE EEA JOINT COMMITTEE,
Having regard to the Agreement on the European Economic Area (‘the EEA Agreement’), and in particular Articles 86 and 98 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>It is appropriate to continue the cooperation of the Contracting Parties to the EEA Agreement in Union actions funded from the general budget of the European Union regarding the implementation and development of the single market for financial services.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Protocol 31 to the EEA Agreement should therefore be amended in order to allow for this extended cooperation to take place from 1 January 2016,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
Article 7 of Protocol 31 to the EEA Agreement shall be amended as follows:
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>In paragraphs 3 and 4, the words ‘paragraphs 5 to [11]’ are replaced by the words ‘this Article’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>The following paragraph is added:</p><table><col/><col/><tbody><tr><td><p>‘12.</p></td><td><span>The EFTA States shall, as from 1 January 2016, participate in the Union actions related to the following budget line, entered into the general budget of the European Union for the financial year 2016:</span><table><col/><col/><tbody><tr><td><p>—</p></td><td><p><span>Budget line 12 02 01</span>: ‘Implementation and development of the single market for financial services’.’.</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
Article 2
This Decision shall enter into force on the day following the last notification under Article 103(1) of the EEA Agreement ( *1 ) .
It shall apply from 1 January 2016.
Article 3
This Decision shall be published in the EEA Section of, and in the EEA Supplement to, the Official Journal of the European Union .
Done at Brussels,
For the EEA Joint Committee
The President
The Secretaries
to the EEA Joint Committee
<note>
( *1 ) [No constitutional requirements indicated.] [Constitutional requirements indicated.]
</note> | ENG | 32016D0783 |
<table><col/><col/><col/><col/><tbody><tr><td><p>29.3.2014   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 95/27</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) No 325/2014
of 28 March 2014
establishing the standard import values for determining the entry price of certain fruit and vegetables
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EC) No 1234/2007 of 22 October 2007 establishing a common organisation of agricultural markets and on specific provisions for certain agricultural products (Single CMO Regulation) ( 1 ) ,
Having regard to Commission Implementing Regulation (EU) No 543/2011 of 7 June 2011 laying down detailed rules for the application of Council Regulation (EC) No 1234/2007 in respect of the fruit and vegetables and processed fruit and vegetables sectors ( 2 ) , and in particular Article 136(1) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Implementing Regulation (EU) No 543/2011 lays down, pursuant to the outcome of the Uruguay Round multilateral trade negotiations, the criteria whereby the Commission fixes the standard values for imports from third countries, in respect of the products and periods stipulated in Annex XVI, Part A thereto.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The standard import value is calculated each working day, in accordance with Article 136(1) of Implementing Regulation (EU) No 543/2011, taking into account variable daily data. Therefore this Regulation should enter into force on the day of its publication in the<span>Official Journal of the European Union</span>,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The standard import values referred to in Article 136 of Implementing Regulation (EU) No 543/2011 are fixed in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the day 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, 28 March 2014.
For the Commission, On behalf of the President,
Jerzy PLEWA
Director-General for Agriculture and Rural Development
( 1 ) OJ L 299, 16.11.2007, p. 1 .
( 2 ) OJ L 157, 15.6.2011, p. 1 .
ANNEX
Standard import values for determining the entry price of certain fruit and vegetables
<table><col/><col/><col/><tbody><tr><td><p>(EUR/100 kg)</p></td></tr><tr><td><p>CN code</p></td><td><p>Third country code<a> (<span>1</span>)</a></p></td><td><p>Standard import value</p></td></tr><tr><td><p>0702 00 00</p></td><td><p>IL</p></td><td><p>219,4</p></td></tr><tr><td><p>MA</p></td><td><p>57,0</p></td></tr><tr><td><p>TN</p></td><td><p>82,0</p></td></tr><tr><td><p>TR</p></td><td><p>86,4</p></td></tr><tr><td><p>ZZ</p></td><td><p>111,2</p></td></tr><tr><td><p>0707 00 05</p></td><td><p>MA</p></td><td><p>39,8</p></td></tr><tr><td><p>TR</p></td><td><p>139,3</p></td></tr><tr><td><p>ZZ</p></td><td><p>89,6</p></td></tr><tr><td><p>0709 93 10</p></td><td><p>MA</p></td><td><p>31,1</p></td></tr><tr><td><p>TR</p></td><td><p>74,3</p></td></tr><tr><td><p>ZZ</p></td><td><p>52,7</p></td></tr><tr><td><p>0805 10 20</p></td><td><p>EG</p></td><td><p>48,9</p></td></tr><tr><td><p>IL</p></td><td><p>62,6</p></td></tr><tr><td><p>MA</p></td><td><p>58,1</p></td></tr><tr><td><p>TN</p></td><td><p>47,6</p></td></tr><tr><td><p>TR</p></td><td><p>50,7</p></td></tr><tr><td><p>ZA</p></td><td><p>60,4</p></td></tr><tr><td><p>ZZ</p></td><td><p>54,7</p></td></tr><tr><td><p>0805 50 10</p></td><td><p>MA</p></td><td><p>35,6</p></td></tr><tr><td><p>TR</p></td><td><p>76,2</p></td></tr><tr><td><p>ZZ</p></td><td><p>55,9</p></td></tr><tr><td><p>0808 10 80</p></td><td><p>AR</p></td><td><p>89,5</p></td></tr><tr><td><p>BR</p></td><td><p>91,6</p></td></tr><tr><td><p>CL</p></td><td><p>83,7</p></td></tr><tr><td><p>CN</p></td><td><p>113,3</p></td></tr><tr><td><p>MK</p></td><td><p>23,6</p></td></tr><tr><td><p>US</p></td><td><p>181,8</p></td></tr><tr><td><p>ZZ</p></td><td><p>97,3</p></td></tr><tr><td><p>0808 30 90</p></td><td><p>AR</p></td><td><p>91,6</p></td></tr><tr><td><p>CL</p></td><td><p>131,1</p></td></tr><tr><td><p>CN</p></td><td><p>52,7</p></td></tr><tr><td><p>TR</p></td><td><p>127,0</p></td></tr><tr><td><p>ZA</p></td><td><p>83,8</p></td></tr><tr><td><p>ZZ</p></td><td><p>97,2</p></td></tr></tbody></table>
<note>
( 1 ) Nomenclature of countries laid down by Commission Regulation (EC) No 1833/2006 ( OJ L 354, 14.12.2006, p. 19 ). Code ‘ZZ’ stands for ‘of other origin’.
</note> | ENG | 32014R0325 |
<table><col/><col/><col/><col/><tbody><tr><td><p>20.2.2023   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 51/87</p></td></tr></tbody></table>
COMMISSION DECISION (EU) 2023/376
of 17 February 2023
amending the composition of the electricity coordination group
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2019/941 of the European Parliament and of the Council of 5 June 2019 on risk-preparedness in the electricity sector ( 1 ) ,
Having regard to Regulation (EU) 2019/942 of the European Parliament and of the Council of 5 June 2019 establishing a European Union Agency for the Cooperation of Energy Regulators ( 2 ) ,
Having regard to Regulation (EU) 2019/943 of the European Parliament and of the Council of 5 June 2019 on the internal market for electricity ( 3 ) ,
Having regard to Directive (EU) 2019/944 of the European Parliament and of the Council of 5 June 2019 on common rules for the internal market for electricity ( 4 ) ,
Having regard to the Commission Decision 2012/C 353/02 of 15 November 2012 setting up the Electricity Coordination Group ( 5 ) ,
Having regard to the Commission Decision of 30 May 2016 establishing horizontal rules on the creation and operation of Commission expert groups ( 6 ) ,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Decision 2012/C 353/02 set up the Electricity Coordination Group as a group of experts to both: (i) strengthen cooperation and coordination between Member States and the Commission in the cross-border trade of electricity and in security of supply issues; and (ii) help the Commission to design its policy initiatives.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Paragraph 1 of Article 4 of Decision 2012/C 353/02 states that the Electricity Coordination Group must be composed of the following members: (i) ministries competent for energy; (ii) the national regulatory authorities for energy; (iii) the Agency for the Cooperation of Energy Regulators (‘the Agency’) established by Regulation (EC) No 713/2009 of the European Parliament and of the Council <a>(<span>7</span>)</a>; and (iv) the European Network of Transmission System Operators for Electricity (‘the ENTSO for Electricity’) established by Regulation (EC) No 714/2009 of the European Parliament and of the Council <a>(<span>8</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The legal framework governing both the EU’s internal electricity market and the security of its electricity supply has been upgraded through: (i) Regulation (EU) 2019/943 on the internal market for electricity; (ii) Directive (EU) 2019/944 on common rules for the internal market for electricity; (iii) Regulation (EU) 2019/941 on risk-preparedness in the electricity sector; and (iv) Regulation (EU) 2019/942 establishing a European Union Agency for the Cooperation of Energy Regulators.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In particular, the Regulation on risk-preparedness in the electricity sector has repealed Directive 2005/89/EC and strengthened the legal framework on security of electricity supply. The Regulation on risk-preparedness recognises the broad dimensions of the issue of security of supply and the benefits of an EU-wide or regional approach in this regard.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Ensuring security of supply is a multi-level competence shared among different actors and requires effective cooperation among them. These actors include Member States, regulators, transmission system operators, distribution system operators and other stakeholders.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>In order to ensure security of supply, the new European entity for distribution system operators established under Article 52 of Regulation (EU) 2019/943 for the cooperation of distribution-system operators at EU level should be directly involved as a member of the Electricity Coordination Group.</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
Decision 2012/C 353/02 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>In Article 4, paragraph 1, the following point (e) is added:</p><table><col/><col/><tbody><tr><td><p>‘(e)</p></td><td><p>the European entity for distribution system operators (‘EU DSO entity’) established by Regulation (EU) 2019/943;’</p></td></tr></tbody></table></td></tr></tbody></table>
Article 2
This Decision shall enter into force on the day of its publication in the Official Journal of the European Union .
Done at Brussels, 17 February 2023.
For the Commission
The President
Ursula VON DER LEYEN
<note>
( 1 ) OJ L 158, 14.6.2019, p. 1 .
( 2 ) OJ L 158, 14.6.2019, p. 22 .
( 3 ) OJ L 158, 14.6.2019, p. 54 .
( 4 ) OJ L 158, 14.6.2019, p. 125 .
( 5 ) OJ C 353, 17.11.2012, p. 2 .
( 6 ) C(2016) 3301 final.
( 7 ) Regulation (EC) No 713/2009 of the European Parliament and of the Council of 13 July 2009 establishing an Agency for the Cooperation of Energy Regulators ( OJ L 211, 14.8.2009, p. 1 ).
( 8 ) Regulation (EC) No 714/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the network for cross-border exchanges in electricity and repealing Regulation (EC) No 1228/2003 ( OJ L 211, 14.8.2009, p. 15 ).
</note> | ENG | 32023D0376 |
<table><col/><col/><col/><col/><tbody><tr><td><p>30.9.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 264/1</p></td></tr></tbody></table>
COUNCIL IMPLEMENTING REGULATION (EU) 2016/1735
of 29 September 2016
implementing Regulation (EU) No 36/2012 concerning restrictive measures in view of the situation in Syria
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EU) No 36/2012 of 18 January 2012 concerning restrictive measures in view of the situation in Syria and repealing Regulation (EU) No 442/2011 ( 1 ) , and in particular Article 32(1) thereof,
Having regard to the proposal from the High Representative of the Union for Foreign Affairs and Security Policy,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 18 January 2012, the Council adopted Regulation (EU) No 36/2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Two persons should no longer be kept on the list of natural and legal persons, entities or bodies subject to restrictive measures in Annex II to Regulation (EU) No 36/2012 (‘the list’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>One duplicated entry on the list should be deleted.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The information relating to certain persons on the list should be updated.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Regulation (EU) No 36/2012 should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Annex II to Regulation (EU) No 36/2012 is amended as set out in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the 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, 29 September 2016.
For the Council
The President
P. ŽIGA
( 1 ) OJ L 16, 19.1.2012, p. 1 .
ANNEX
Section A of Annex II to Regulation (EU) No 36/2012 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>The entries concerning the following persons are deleted:</p><table><col/><col/><tbody><tr><td><p>No 15</p></td><td>Hisham (<p><img/></p>) Ikhtiyar (<p><img/></p>,<p><img/></p>,<p><img/></p>) (a.k.a. Al Ikhtiyar, Bikhtiyar, Bikhtyar, Bekhtyar, Bikhtiar, Bekhtyar)</td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>No 74</p></td><td>Anisa (<p><img/></p>) (a.k.a. Anissa, Aneesa, Aneessa) Al-Assad (<p><img/></p>) (a.k.a. Anisah Al-Assad).</td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The following entry is deleted:</p><table><col/><col/><tbody><tr><td><p>No 154</p></td><td>Major general Fahd (<p><img/></p>) Jassem (<p><img/></p>) Al Freij (<p><img/></p>) (a.k.a. Al-Furayj).</td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The entries concerning the persons listed below are replaced by the following entries:</p><table><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>‘Name</p></td><td><p>Identifying information</p></td><td><p>Reasons</p></td><td><p>Date of listing</p></td></tr><tr><td><p>1.</p></td><td><p>Houmam Jaza'iri (a.k.a. Humam al- Jazaeri, Hammam al-Jazairi)</p></td><td><p>Born: 1977</p></td><td><p>Minister of Economy and Foreign Trade in power after May 2011. As a Government Minister, shares responsibility for the violent repression of the Syrian people.</p></td><td><p>21.10.2014</p></td></tr><tr><td><p>2.</p></td><td>Maher (<p><img/></p>) (a.k.a. Mahir) Al-Assad (<p><img/></p>)</td><td><p>Date of birth: 8 December 1967</p><p>Place of birth: Damascus</p><p>Diplomatic passport No 4138</p><p>Major General of the 42nd Brigade and former Brigadier Commander of the Army's 4th Armoured Division</p></td><td><p>Member of the Syria Armed Forces of the rank of ‘colonel’ and the equivalent or higher in post after May 2011; Major General of the 42nd Brigade and former Brigadier Commander of the Army's 4th Armoured Division. Member of the Assad family; brother of President Bashar Al-Assad.</p></td><td><p>9.5.2011</p></td></tr><tr><td><p>4.</p></td><td>Atej (<p><img/></p>) (a.k.a. Atef, Atif) Najib (<p><img/></p>) (a.k.a. Najeeb)</td><td><p>Place of birth: Jablah, Syria</p></td><td><p>Former Head of the Political Security Directorate in Dara'a. Involved in violence against demonstrators. Member of the Assad family; cousin of President Bashar Al-Assad.</p></td><td><p>9.5.2011</p></td></tr><tr><td><p>5.</p></td><td>Hafiz (<p><img/></p>) Makhlouf (<p><img/></p>) (a.k.a. Hafez Makhlouf)</td><td><p>Date of birth: 2 April 1971</p><p>Place of birth: Damascus</p><p>Diplomatic passport No 2246</p></td><td><p>Former Colonel and Head of Unit in General Intelligence Directorate, Damascus Branch in post after May 2011. Member of the Makhlouf family; Cousin of President Bashar Al-Assad.</p></td><td><p>9.5.2011</p></td></tr><tr><td><p>10.</p></td><td>Jamil (<p><img/></p>) (a.k.a. Jameel) Hassan (<p><img/></p>) (a.k.a. al-Hassan)</td><td><p>Born: 1953</p><p>Place of birth: Homs, Syria</p><p>Head of Syrian Air Force Intelligence</p></td><td><p>Officer of the rank of Major-General in the Syrian Air Force in post after May 2011. Head of Syrian Air Force Intelligence in post after May 2011. Responsible for violent repression against the civilian population in Syria.</p></td><td><p>9.5.2011</p></td></tr><tr><td><p>13.</p></td><td><p>Ghassan Ahmed Ghannan (a.k.a. Major General Ghassan Ghannan, Brigadier General Ghassan Ahmad Ghanem)</p></td><td><p>Rank: Major General</p><p>Position: Commander of the 155th Missile Brigade</p></td><td><p>Member of the Syrian Armed Forces of the rank of ‘colonel’ and the equivalent or higher in post after May 2011. Major General and commander of the 155th Missile Brigade. Associated with Maher al-Assad through his role in the 155th Missile Brigade. As commander of the 155th Missile Brigade, he is supporting the Syrian regime and he is responsible for the violent repression against the civilian population. Responsible for firing Scud Missiles at various civilian sites between January and March 2013.</p></td><td><p>21.10.2014</p></td></tr><tr><td><p>45.</p></td><td>Munir (<p><img/></p>) (a.k.a. Mounir, Mouneer, Monir, Moneer, Muneer) Adanov (<p><img/></p>) (a.k.a. Adnuf, Adanof)</td><td><p>Born: 1951</p><p>Place of birth: Homs, Syria</p><p>Passport: 0000092405</p><p>Position: Deputy Chief of General Staff, Operations and Training, Syrian Army</p><p>Rank: Lieutenant-General, Syrian Arab Army</p></td><td><p>Officer of the rank of Lieutenant General and Deputy Chief of General Staff, Operations and Training for the Syrian Army in post after May 2011. In his position as Deputy Chief of General Staff he was directly involved in repression and violence against the civilian population in Syria.</p></td><td><p>23.8.2011</p></td></tr><tr><td><p>56.</p></td><td>Ali (<p><img/></p>) Abdullah (<p><img/></p>) (a.k.a. Abdallah) Ayyub (<p><img/></p>) (a.k.a. Ayyoub, Ayub, Ayoub, Ayob)</td><td><p>Position: Chief of General Staff of the Syrian Arab Army and Armed Forces since 18 July 2012</p><p>Rank: General in Syrian Arab Army</p></td><td><p>Officer of the rank of General in the Syrian Army in post after May 2011. Chief of General Staff of the Syrian Armed Forces. Person supporting the Assad regime and responsible for repression and violence against the civilian population in Syria.</p></td><td><p>14.11.2011</p></td></tr><tr><td><p>57.</p></td><td>Fahd (<p><img/></p>) (a.k.a. Fahid, Fahed) Jasim (<p><img/></p>) (a.k.a. Jasem, Jassim, Jassem) al-Furayj (<p><img/></p>) (a.k.a. Al-Freij)</td><td><p>Date of birth: 1 January 1950</p><p>Place of birth: Hama, Syria</p><p>Rank: Lt. General</p><p>Positions: Minister of Defence, Deputy Commander in Chief of the Syrian Armed Forces</p></td><td><p>Officer of the rank of General in the Syrian Army. Deputy Commander in Chief of the Syrian Armed Forces. Minister of Defence. Responsible for the repression and use of violence against the civilian population in Syria.</p></td><td><p>14.11.2011</p></td></tr><tr><td><p>62.</p></td><td>Zuhair (<p><img/></p>) (a.k.a. Zouheir, Zuheir, Zouhair) Hamad (<p><img/></p>)</td><td><p>Place of birth: Damascus, Syria</p><p>Rank: Major General</p><p>Current position: Deputy Head of General Intelligence Directorate (a.k.a. General Security Directorate) since July 2012</p></td><td><p>Officer of the rank of Major General in the Syrian Armed Forces in post after May 2011. Deputy Head of General Intelligence Directorate. Responsible for repression, human rights abuses and violence against the civilian population in Syria.</p></td><td><p>14.11.2011</p></td></tr><tr><td><p>71.</p></td><td>Bushra (<p><img/></p>) Al-Assad (<p><img/></p>) (a.k.a. Bushra Shawkat, Bouchra Al Assad)</td><td><p>Date of birth: 24.10.1960</p></td><td><p>Member of the Assad family; sister of Bashar Al-Assad. Given the close personal relationship and intrinsic financial relationship to the Syrian President Bashar Al-Assad, she benefits from and is associated with the Syrian regime.</p></td><td><p>23.3.2012</p></td></tr><tr><td><p>72.</p></td><td>Asma (<p><img/></p>) Al-Assad (<p><img/></p>) (a.k.a. Asma Fawaz Al Akhras)</td><td><p>Date of birth: 11.8.1975</p><p>Place of birth: London, UK</p><p>Passport No 707512830, expires 22.9.2020</p><p>Maiden name: Al Akhras</p></td><td><p>Member of the Assad family and closely connected to key regime figures; wife of President Bashar Al-Assad. Given the close personal relationship and intrinsic financial relationship to the Syrian President, Bashar Al-Assad, she benefits from and is associated with the Syrian regime.</p></td><td><p>23.3.2012</p></td></tr><tr><td><p>107.</p></td><td>Mohammad (<p><img/></p>) (Mohamed, Muhammad, Mohammed) Ibrahim (<p><img/></p>) Al-Sha'ar (<p><img/></p>) (a.k.a. Al-Chaar, Al-Shaar) (a.k.a. Mohammad Ibrahim Al-Chaar)</td><td><p>Born: 1956</p><p>Place of birth: Aleppo</p></td><td><p>Minister of the Interior in power after May 2011. As a Government Minister, shares responsibility for the violent repression of the Syrian people.</p></td><td><p>1.12.2011</p></td></tr><tr><td><p>181.</p></td><td><p>Suleiman Al Abbas</p></td><td><p> </p></td><td><p>Oil and Mineral Resources Minister in power after May 2011. As a Government Minister, shares responsibility for the violent repression of the Syrian people.</p></td><td><p>24.6.2014</p></td></tr><tr><td><p>185.</p></td><td><p>Ismael Ismael (a.k.a. Ismail Ismail, or Isma'Il Isma'il)</p></td><td><p>Born: 1955</p></td><td><p>Syrian Government Minister in power after May 2011; Finance Minister. As a Government Minister, shares responsibility for the regime's violent repression against the civilian population.</p></td><td><p>24.6.2014</p></td></tr><tr><td><p>193.</p></td><td><p>Suhayl (a.k.a. Sohail, Suhail, Suheil) Hassan (a.k.a. Hasan, al-Hasan, al-Hassan) known as ‘The Tiger’ (a.k.a. al-Nimr)</p></td><td><p>Born: 1970</p><p>Place of birth: Jableh (Latakia Province, Syria)</p><p>Rank: Major-General</p><p>Position: Commander of Qawat al-Nimr (Tiger Forces)</p></td><td><p>Officer of the rank of Major-General in the Syrian Army after May 2011. Commander of army division known as ‘Tiger Forces’. Responsible for violent repression against the civilian population in Syria.</p></td><td><p>23.7.2014</p></td></tr><tr><td><p>199.</p></td><td><p>Bayan Bitar (a.k.a. Dr Bayan Al-Bitar)</p></td><td><p>Date of birth: 8.3.1947</p><p>Address: PO Box 11037 Damascus, Syria</p></td><td><p>Managing Director of the Organisation for Technological Industries (OTI), and the Syrian Company for Information Technology (SCIT), which are both subsidiaries of the Syrian Ministry of Defence, which has been designated by the Council. OTI assists in the production of chemical weapons for the Syrian regime. As Managing Director of OTI and the SCIT Bayan Bitar provides support to the Syrian regime. Due to his role in the production of chemical weapons, he also shares responsibility for the violent repression against the Syrian population. In view of his senior position in these entities, he is also associated with the designated entities OTI and SCIT.</p></td><td><p>7.3.2015</p></td></tr><tr><td><p>200.</p></td><td><p>Brigadier General Ghassan Abbas</p></td><td><p>Date of birth: 10.3.1960</p><p>Place of birth: Homs</p><p>Address: CERS, Centre d'Etude et de Recherche Scientifique (a.k.a. SSRC, Scientific Studies and Research Centre; Centre de Recherche de Kaboun Barzeh Street, PO Box 4470, Damascus)</p></td><td><p>Manager of the branch of the designated Syrian Scientific Studies and Research Centre (SSRC/CERS) near Jumraya/Jmraiya. He has been involved in the proliferation of chemical weapons and the organisation of chemical weapons attacks, including in Ghouta in August 2013. He therefore shares responsibility for the violent repression against the Syrian population. As manager of the SSRC/CERS branch near Jumraya/Jmraiya, Ghassan Abbas provides support to the Syrian regime. As a result of his senior position in the SSRC, he is also associated with the designated entity SSRC.</p></td><td><p>7.3.2015</p></td></tr><tr><td><p>201.</p></td><td><p>Wael Abdulkarim (a.k.a. Wael Al Karim)</p></td><td><p>Date of birth: 30.9.1973</p><p>Place of birth: Damascus, Syria (of Palestinian origin)</p><p>Address: Al Karim for Trade and Industry, PO Box 111, 5797 Damascus, Syria</p></td><td><p>Leading businessperson operating in Syria in the oil, chemicals and manufacturing industries. Specifically, he represents Abdulkarim Group, a.k.a Al Karim Group/Alkarim for Trade and Industry/Al Karim Trading and Industry/Al Karim for Trade and Industry. Abdulkarim Group is a leading manufacturer of lubricants, greases and industrial chemicals in Syria.</p></td><td><p>7.3.2015</p></td></tr><tr><td><p>202.</p></td><td><p>Ahmad Barqawi (a.k.a. Ahmed Barqawi)</p></td><td><p>Born: 1985</p><p>Place of birth: Damascus, Syria</p><p>Address: Pangates International Corp Ltd, PO Box Sharjah Airport International Free Zone, United Arab Emirates</p><p>Al Karim for Trade and Industry, PO Box 111, 5797 Damascus, Syria</p></td><td><p>General Manager of Pangates International Corp Ltd, which acts as an intermediary in the supply of oil to the Syrian regime, and manager of Al Karim Group. Both Pangates International and Al Karim Group have been designated by the Council. As General Manager of Pangates and a manager of Pangates' parent company, Al Karim Group, Ahmad Barqawi provides support to, and benefits from the Syrian regime. Given his senior position in Pangates and Al Karim Group, he is also associated with the designated entities Pangates International and Al Karim Group.</p></td><td><p>7.3.2015</p></td></tr><tr><td><p>204.</p></td><td>Emad (<p><img/></p>) Hamsho (<p><img/></p>) (a.k.a. Imad Hmisho; Hamchu; Hamcho; Hamisho; Hmeisho; Hemasho)</td><td><p>Address: Hamsho Building 31 Baghdad Street Damascus, Syria</p></td><td><p>Occupies a senior management position in Hamsho Trading. As a result of his senior position in Hamsho Trading, a subsidiary of Hamsho International, which has been designated by the Council, he provides support to the Syrian regime. He is also associated with a designated entity, Hamsho International. He is also vice-president of the Syrian Council of Iron and Steel alongside designated regime businessmen such as Ayman Jaber. He is also an associate of Bashar Al-Assad.</p></td><td><p>7.3.2015</p></td></tr><tr><td><p>206.</p></td><td>General Muhamad (<p><img/></p>) (a.k.a. Mohamed, Muhammad) Mahalla (<p><img/></p>) (a.k.a. Mahla, Mualla, Maalla, Muhalla)</td><td><p>Born: 1960</p><p>Place of birth: Jableh</p></td><td><p>Head of the Syrian Military Intelligence (SMI), Branch 293 (Internal Affairs), since April 2015. Responsible for repression and violence against the civilian population in Damascus/Damascus countryside. Former Deputy Head of Political Security (2012), Officer of the Syrian Republican Guard and Vice-Director of the Political Security Directorate. Head of Military Police, Member of the National Security Bureau.</p></td><td><p>29.5.2015’</p></td></tr></tbody></table></td></tr></tbody></table> | ENG | 32016R1735 |
<table><col/><col/><col/><col/><tbody><tr><td><p>29.4.2022   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 126/7</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2022/683
of 27 April 2022
amending Regulation (EC) No 1484/95 as regards fixing representative prices in the poultrymeat and egg sectors and for egg albumin
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 ( 1 ) , and in particular Article 183(b) thereof,
Having regard to Regulation (EU) No 510/2014 of the European Parliament and of the Council of 16 April 2014 laying down the trade arrangements applicable to certain goods resulting from the processing of agricultural products and repealing Council Regulations (EC) No 1216/2009 and (EC) No 614/2009 ( 2 ) , and in particular Article 5(6)(a) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Commission Regulation (EC) No 1484/95 <a>(<span>3</span>)</a> lays down detailed rules for implementing the system of additional import duties and fixes representative prices in the poultrymeat and egg sectors and for egg albumin.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Regular monitoring of the data used to determine representative prices for poultrymeat and egg products and for egg albumin shows that the representative import prices for certain products should be amended to take account of variations in price according to origin.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Regulation (EC) No 1484/95 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Given the need to ensure that this measure applies as soon as possible after the updated data have been made available, this Regulation should enter into force on the day of its publication,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Annex I to Regulation (EC) No 1484/95 is replaced by the text set out in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the day 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, 27 April 2022.
For the Commission,
On behalf of the President,
Wolfgang BURTSCHER
Director-General
Directorate-General for Agriculture and Rural Development
( 1 ) OJ L 347, 20.12.2013, p. 671 .
( 2 ) OJ L 150, 20.5.2014, p. 1 .
( 3 ) Commission Regulation (EC) No 1484/95 of 28 June 1995 laying down detailed rules for implementing the system of additional import duties and fixing representative prices in the poultrymeat and egg sectors and for egg albumin, and repealing Regulation No 163/67/EEC ( OJ L 145, 29.6.1995, p. 47 ).
ANNEX
‘ANNEX I
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>CN code</p></td><td><p>Description of goods</p></td><td><p>Representative price</p><p>(EUR/100 kg)</p></td><td><p>Security under Article 3</p><p>(EUR/100 kg)</p></td><td><p>Origin<a> (<span>1</span>)</a></p></td></tr><tr><td><p>0207 14 10</p></td><td><p>Fowls of the species<span>Gallus domesticus</span>, boneless cuts, frozen</p></td><td><p>227,6</p></td><td><p>22</p></td><td><p>BR</p></td></tr></tbody></table>
<note>
( 1 ) Nomenclature of countries laid down by Commission Regulation (EU) No 1106/2012 of 27 November 2012 implementing Regulation (EC) No 471/2009 of the European Parliament and of the Council on Community statistics relating to external trade with non-member countries, as regards the update of the nomenclature of countries and territories ( OJ L 328, 28.11.2012, p. 7 ).’
</note> | ENG | 32022R0683 |
<table><col/><col/><col/><col/><tbody><tr><td><p>26.1.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 22/34</p></td></tr></tbody></table>
COUNCIL IMPLEMENTING DECISION (CFSP) 2018/132
of 25 January 2018
implementing Decision (CFSP) 2015/1333 concerning restrictive measures in view of the situation in Libya
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Article 31(2) thereof,
Having regard to Council Decision (CFSP) 2015/1333 of 31 July 2015 concerning restrictive measures in view of the situation in Libya, and repealing Decision 2011/137/CFSP ( 1 ) , and in particular Article 12(1) thereof,
Having regard to the proposal of the High Representative of the Union for Foreign Affairs and Security Policy,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 31 July 2015, the Council adopted Decision (CFSP) 2015/1333.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>On 18 January 2018, the United Nations Security Council Committee established pursuant to United Nations Security Council Resolution 1970 (2011) renewed and amended the listing of a vessel subject to restrictive measures.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Annex V to Decision (CFSP) 2015/1333 should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
Annex V to Decision (CFSP) 2015/1333 is hereby amended as set out in the Annex to this Decision.
Article 2
This Decision shall enter into force on the day of its publication in the Official Journal of the European Union .
Done at Brussels, 25 January 2018.
For the Council
The President
E. KRALEVA
( 1 ) OJ L 206, 1.8.2015, p. 34 .
ANNEX
In section B (Entities) of Annex V to Decision (CFSP) 2015/1333, entry 1 is replaced by the following:
‘1. Name: CAPRICORN
A.k.a.: na F.k.a.: na Address: na Listed on: 21 July 2017 (amended on 20 October 2017, 27 November 2017, and 18 January 2018)
Additional information
IMO: 8900878. Listed pursuant to paragraphs 10 (a) and 10 (b) of Resolution 2146 (2014), as extended and modified by paragraph 2 of Resolution 2362 (2017) (prohibition to load, transport or discharge; prohibition to enter ports). Pursuant to paragraph 11 of Resolution 2146, this designation was renewed by the Committee on 18 January 2018 and is valid until 17 April 2018, unless terminated earlier by the Committee pursuant to paragraph 12 of Resolution 2146. Flag State: unknown. As of 21 September 2017, the vessel was located in international waters off the United Arab Emirates.’. | ENG | 32018D0132 |
02009L0147 — EN — 26.06.2019 — 002.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p> DIRECTIVE 2009/147/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL</p><p>of 30 November 2009</p><p>on the conservation of wild birds</p><p><a>(codified version)</a></p><p>(OJ L 020 26.1.2010, p. 7)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a> COUNCIL DIRECTIVE 2013/17/EU of 13 May 2013</a></p></td><td><p>  L 158</p></td><td><p>193</p></td><td><p>10.6.2013</p></td></tr><tr><td><p><a>►M2</a></p></td><td><p><a> REGULATION (EU) 2019/1010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL  of 5 June 2019</a></p></td><td><p>  L 170</p></td><td><p>115</p></td><td><p>25.6.2019</p></td></tr></table>
DIRECTIVE 2009/147/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 30 November 2009
on the conservation of wild birds
(codified version)
Article 1
1. This Directive relates to the conservation of all species of naturally occurring birds in the wild state in the European territory of the Member States to which the Treaty applies. It covers the protection, management and control of these species and lays down rules for their exploitation.
2. It shall apply to birds, their eggs, nests and habitats.
Article 2
Member States shall take the requisite measures to maintain the population of the species referred to in Article 1 at a level which corresponds in particular to ecological, scientific and cultural requirements, while taking account of economic and recreational requirements, or to adapt the population of these species to that level.
Article 3
1. In the light of the requirements referred to in Article 2, Member States shall take the requisite measures to preserve, maintain or re-establish a sufficient diversity and area of habitats for all the species of birds referred to in Article 1.
2. The preservation, maintenance and re-establishment of biotopes and habitats shall include primarily the following measures:
(a) creation of protected areas;
(b) upkeep and management in accordance with the ecological needs of habitats inside and outside the protected zones;
(c) re-establishment of destroyed biotopes;
(d) creation of biotopes.
Article 4
1. The species mentioned in Annex I shall be the subject of special conservation measures concerning their habitat in order to ensure their survival and reproduction in their area of distribution.
In this connection, account shall be taken of:
(a) species in danger of extinction;
(b) species vulnerable to specific changes in their habitat;
(c) species considered rare because of small populations or restricted local distribution;
(d) other species requiring particular attention for reasons of the specific nature of their habitat.
Trends and variations in population levels shall be taken into account as a background for evaluations.
Member States shall classify in particular the most suitable territories in number and size as special protection areas for the conservation of these species in the geographical sea and land area where this Directive applies.
2. Member States shall take similar measures for regularly occurring migratory species not listed in Annex I, bearing in mind their need for protection in the geographical sea and land area where this Directive applies, as regards their breeding, moulting and wintering areas and staging posts along their migration routes. To this end, Member States shall pay particular attention to the protection of wetlands and particularly to wetlands of international importance.
3. Member States shall send the Commission all relevant information so that it may take appropriate initiatives with a view to the coordination necessary to ensure that the areas provided for in paragraphs 1 and 2 form a coherent whole which meets the protection requirements of these species in the geographical sea and land area where this Directive applies.
4. In respect of the protection areas referred to in paragraphs 1 and 2, Member States shall take appropriate steps to avoid pollution or deterioration of habitats or any disturbances affecting the birds, in so far as these would be significant having regard to the objectives of this Article. Outside these protection areas, Member States shall also strive to avoid pollution or deterioration of habitats.
Article 5
Without prejudice to Articles 7 and 9, Member States shall take the requisite measures to establish a general system of protection for all species of birds referred to in Article 1, prohibiting in particular:
(a) deliberate killing or capture by any method;
(b) deliberate destruction of, or damage to, their nests and eggs or removal of their nests;
(c) taking their eggs in the wild and keeping these eggs even if empty;
(d) deliberate disturbance of these birds particularly during the period of breeding and rearing, in so far as disturbance would be significant having regard to the objectives of this Directive;
(e) keeping birds of species the hunting and capture of which is prohibited.
Article 6
1. Without prejudice to paragraphs 2 and 3, Member States shall prohibit, for all the bird species referred to in Article 1, the sale, transport for sale, keeping for sale and the offering for sale of live or dead birds and of any readily recognisable parts or derivatives of such birds.
2. The activities referred to in paragraph 1 shall not be prohibited in respect of the species referred to in Annex III, Part A, provided that the birds have been legally killed or captured or otherwise legally acquired.
3. Member States may, for the species listed in Annex III, Part B, allow within their territory the activities referred to in paragraph 1, making provision for certain restrictions, provided that the birds have been legally killed or captured or otherwise legally acquired.
Member States wishing to grant such authorisation shall first of all consult the Commission with a view to examining jointly with the latter whether the marketing of specimens of such species would result or could reasonably be expected to result in the population levels, geographical distribution or reproductive rate of the species being endangered throughout the Community. Should this examination prove that the intended authorisation will, in the view of the Commission, result in any one of the aforementioned species being thus endangered or in the possibility of their being thus endangered, the Commission shall forward a reasoned recommendation to the Member State concerned stating its opposition to the marketing of the species in question. Should the Commission consider that no such risk exists, it shall inform the Member State concerned accordingly.
The Commission’s recommendation shall be published in the Official Journal of the European Union .
Member States granting authorisation pursuant to this paragraph shall verify at regular intervals that the conditions governing the granting of such authorisation continue to be fulfilled.
Article 7
1. Owing to their population level, geographical distribution and reproductive rate throughout the Community, the species listed in Annex II may be hunted under national legislation. Member States shall ensure that the hunting of these species does not jeopardise conservation efforts in their distribution area.
2. The species referred to in Annex II, Part A may be hunted in the geographical sea and land area where this Directive applies.
3. The species referred to in Annex II, Part B may be hunted only in the Member States in respect of which they are indicated.
4. Member States shall ensure that the practice of hunting, including falconry if practised, as carried on in accordance with the national measures in force, complies with the principles of wise use and ecologically balanced control of the species of birds concerned and that this practice is compatible as regards the population of these species, in particular migratory species, with the measures resulting from Article 2.
They shall see in particular that the species to which hunting laws apply are not hunted during the rearing season or during the various stages of reproduction.
In the case of migratory species, they shall see in particular that the species to which hunting regulations apply are not hunted during their period of reproduction or during their return to their rearing grounds.
Member States shall send the Commission all relevant information on the practical application of their hunting regulations.
Article 8
1. In respect of the hunting, capture or killing of birds under this Directive, Member States shall prohibit the use of all means, arrangements or methods used for the large-scale or non-selective capture or killing of birds or capable of causing the local disappearance of a species, in particular the use of those listed in Annex IV, point (a).
2. Moreover, Member States shall prohibit any hunting from the modes of transport and under the conditions mentioned in Annex IV, point (b).
Article 9
1. Member States may derogate from the provisions of Articles 5 to 8, where there is no other satisfactory solution, for the following reasons:
(a) —
in the interests of public health and safety,
— in the interests of air safety,
— to prevent serious damage to crops, livestock, forests, fisheries and water,
— for the protection of flora and fauna;
(b) for the purposes of research and teaching, of re-population, of re-introduction and for the breeding necessary for these purposes;
(c) to permit, under strictly supervised conditions and on a selective basis, the capture, keeping or other judicious use of certain birds in small numbers.
2. The derogations referred to in paragraph 1 must specify:
(a) the species which are subject to the derogations;
(b) the means, arrangements or methods authorised for capture or killing;
(c) the conditions of risk and the circumstances of time and place under which such derogations may be granted;
(d) the authority empowered to declare that the required conditions obtain and to decide what means, arrangements or methods may be used, within what limits and by whom;
(e) the controls which will be carried out.
3. Each year the Member States shall send a report to the Commission on the implementation of paragraphs 1 and 2.
4. On the basis of the information available to it, and in particular the information communicated to it pursuant to paragraph 3, the Commission shall at all times ensure that the consequences of the derogations referred to in paragraph 1 are not incompatible with this Directive. It shall take appropriate steps to this end.
Article 10
1. Member States shall encourage research and any work required as a basis for the protection, management and use of the population of all species of bird referred to in Article 1. Particular attention shall be paid to research and work on the subjects listed in Annex V.
2. Member States shall send the Commission any information required to enable it to take appropriate measures for the coordination of the research and work referred to in paragraph 1.
Article 11
Member States shall see that any introduction of species of bird which do not occur naturally in the wild state in the European territory of the Member States does not prejudice the local flora and fauna. In this connection they shall consult the Commission.
Article 12
1. Member States shall forward to the Commission every six years, in the same year as the report drawn up pursuant to Article 17(1) of Council Directive 92/43/EEC ( 1 ), a report on the implementation of the measures taken under this Directive and the main impacts of these measures. That report shall be made accessible to the public and shall include in particular information concerning the status and trends of wild bird species protected by this Directive, the threats and pressures on them, the conservation measures taken for them and the contribution of the network of Special Protection Areas to the objectives laid out in Article 2 of this Directive.
The Commission shall, by means of implementing acts, establish the format of the report referred to in the first subparagraph of this paragraph. The format of that report shall be aligned with the format of the report referred to in Article 17(1) of Directive 92/43/EEC. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 16a(2) of this Directive.
2. The Commission, assisted by the European Environment Agency, shall prepare and publish, every six years, a composite report based on the information referred to in paragraph 1. That part of the draft report covering the information supplied by a Member State shall be forwarded to the authorities of the Member State in question for verification. The final version of the report shall be forwarded to the Member States.
Article 13
Application of the measures taken pursuant to this Directive may not lead to deterioration in the present situation as regards the conservation of the species of birds referred to in Article 1.
Article 14
Member States may introduce stricter protective measures than those provided for under this Directive.
Article 15
Such amendments as are necessary for adapting Annexes I and V to technical and scientific progress shall be adopted. Those measures, designed to amend non-essential elements of this Directive, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 16(2).
Article 16
1. The Commission shall be assisted by the Committee for Adaptation to Technical and Scientific Progress.
2. Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.
Article 16a
Committee procedure
1. The Commission shall be assisted by a committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011 of the European Parliament and of the Council ( 2 ).
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Where the committee delivers no opinion, the Commission shall not adopt the draft implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011 shall apply.
Article 17
Member States shall communicate to the Commission the texts of the main provisions of national law which they adopt in the field governed by this Directive.
Article 18
Directive 79/409/EEC, as amended by the acts listed in Annex VI, Part A, is repealed, without prejudice to the obligations of the Member States relating to the time limits for transposition into national law of the Directives set out in Annex VI, Part B.
References to the repealed Directive shall be construed as references to this Directive and shall be read in accordance with the correlation table in Annex VII.
Article 19
This Directive shall enter into force on the 20th day following its publication in the Official Journal of the European Union .
Article 20
This Directive is addressed to the Member States.
ANNEX I
GAVIIFORMES
Gaviidae
Gavia stellata
Gavia arctica
Gavia immer
PODICIPEDIFORMES
Podicipedidae
Podiceps auritus
PROCELLARIIFORMES
Procellariidae
Pterodroma madeira
Pterodroma feae
Bulweria bulwerii
Calonectris diomedea
Puffinus puffinus mauretanicus (Puffinus mauretanicus)
Puffinus yelkouan
Puffinus assimilis
Hydrobatidae
Pelagodroma marina
Hydrobates pelagicus
Oceanodroma leucorhoa
Oceanodroma castro
PELECANIFORMES
Pelecanidae
Pelecanus onocrotalus
Pelecanus crispus
Phalacrocoracidae
Phalacrocorax aristotelis desmarestii
Phalacrocorax pygmeus
CICONIIFORMES
Ardeidae
Botaurus stellaris
Ixobrychus minutus
Nycticorax nycticorax
Ardeola ralloides
Egretta garzetta
Egretta alba (Ardea alba)
Ardea purpurea
Ciconiidae
Ciconia nigra
Ciconia ciconia
Threskiornithidae
Plegadis falcinellus
Platalea leucorodia
PHOENICOPTERIFORMES
Phoenicopteridae
Phoenicopterus ruber
ANSERIFORMES
Anatidae
Cygnus bewickii (Cygnus columbianus bewickii)
Cygnus cygnus
Anser albifrons flavirostris
Anser erythropus
Branta leucopsis
Branta ruficollis
Tadorna ferruginea
Marmaronetta angustirostris
Aythya nyroca
Polysticta stelleri
Mergus albellus (Mergellus albellus)
Oxyura leucocephala
FALCONIFORMES
Pandionidae
Pandion haliaetus
Accipitridae
Pernis apivorus
Elanus caeruleus
Milvus migrans
Milvus milvus
Haliaeetus albicilla
Gypaetus barbatus
Neophron percnopterus
Gyps fulvus
Aegypius monachus
Circaetus gallicus
Circus aeruginosus
Circus cyaneus
Circus macrourus
Circus pygargus
Accipiter gentilis arrigonii
Accipiter nisus granti
Accipiter brevipes
Buteo rufinus
Aquila pomarina
Aquila clanga
Aquila heliaca
Aquila adalberti
Aquila chrysaetos
Hieraaetus pennatus
Hieraaetus fasciatus
Falconidae
Falco naumanni
Falco vespertinus
Falco columbarius
Falco eleonorae
Falco biarmicus
Falco cherrug
Falco rusticolus
Falco peregrinus
GALLIFORMES
Tetraonidae
Bonasa bonasia
Lagopus mutus pyrenaicus
Lagopus mutus helveticus
Tetrao tetrix tetrix
Tetrao urogallus
Phasianidae
Alectoris graeca
Alectoris barbara
Perdix perdix italica
Perdix perdix hispaniensis
GRUIFORMES
Turnicidae
Turnix sylvatica
Gruidae
Grus grus
Rallidae
Porzana porzana
Porzana parva
Porzana pusilla
Crex crex
Porphyrio porphyrio
Fulica cristata
Otididae
Tetrax tetrax
Chlamydotis undulata
Otis tarda
CHARADRIIFORMES
Recurvirostridae
Himantopus himantopus
Recurvirostra avosetta
Burhinidae
Burhinus oedicnemus
Glareolidae
Cursorius cursor
Glareola pratincola
Charadriidae
Charadrius alexandrinus
Charadrius morinellus (Eudromias morinellus)
Pluvialis apricaria
Hoplopterus spinosus
Scolopacidae
Calidris alpina schinzii
Philomachus pugnax
Gallinago media
Limosa lapponica
Numenius tenuirostris
Tringa glareola
Xenus cinereus (Tringa cinerea)
Phalaropus lobatus
Laridae
Larus melanocephalus
Larus genei
Larus audouinii
Larus minutus
Sternidae
Gelochelidon nilotica (Sterna nilotica)
Sterna caspia
Sterna sandvicensis
Sterna dougallii
Sterna hirundo
Sterna paradisaea
Sterna albifrons
Chlidonias hybridus
Chlidonias niger
Alcidae
Uria aalge ibericus
PTEROCLIFORMES
Pteroclididae
Pterocles orientalis
Pterocles alchata
COLUMBIFORMES
Columbidae
Columba palumbus azorica
Columba trocaz
Columba bollii
Columba junoniae
STRIGIFORMES
Strigidae
Bubo bubo
Nyctea scandiaca
Surnia ulula
Glaucidium passerinum
Strix nebulosa
Strix uralensis
Asio flammeus
Aegolius funereus
CAPRIMULGIFORMES
Caprimulgidae
Caprimulgus europaeus
APODIFORMES
Apodidae
Apus caffer
CORACIIFORMES
Alcedinidae
Alcedo atthis
Coraciidae
Coracias garrulus
PICIFORMES
Picidae
Picus canus
Dryocopus martius
Dendrocopos major canariensis
Dendrocopos major thanneri
Dendrocopos syriacus
Dendrocopos medius
Dendrocopos leucotos
Picoides tridactylus
PASSERIFORMES
Alaudidae
Chersophilus duponti
Melanocorypha calandra
Calandrella brachydactyla
Galerida theklae
Lullula arborea
Motacillidae
Anthus campestris
Troglodytidae
Troglodytes troglodytes fridariensis
Muscicapidae (Turdinae)
Luscinia svecica
Saxicola dacotiae
Oenanthe leucura
Oenanthe cypriaca
Oenanthe pleschanka
Muscicapidae (Sylviinae)
Acrocephalus melanopogon
Acrocephalus paludicola
Hippolais olivetorum
Sylvia sarda
Sylvia undata
Sylvia melanothorax
Sylvia rueppelli
Sylvia nisoria
Muscicapidae (Muscicapinae)
Ficedula parva
Ficedula semitorquata
Ficedula albicollis
Paridae
Parus ater cypriotes
Sittidae
Sitta krueperi
Sitta whiteheadi
Certhiidae
Certhia brachydactyla dorotheae
Laniidae
Lanius collurio
Lanius minor
Lanius nubicus
Corvidae
Pyrrhocorax pyrrhocorax
Fringillidae (Fringillinae)
Fringilla coelebs ombriosa
Fringilla teydea
Fringillidae (Carduelinae)
Loxia scotica
Bucanetes githagineus
Pyrrhula murina (Pyrrhula pyrrhula murina)
Emberizidae (Emberizinae)
Emberiza cineracea
Emberiza hortulana
Emberiza caesia
ANNEX II
PART A
ANSERIFORMES
Anatidae
Anser fabalis
Anser anser
Branta canadensis
Anas penelope
Anas strepera
Anas crecca
Anas platyrhynchos
Anas acuta
Anas querquedula
Anas clypeata
Aythya ferina
Aythya fuligula
GALLIFORMES
Tetraonidae
Lagopus lagopus scoticus et hibernicus
Lagopus mutus
Phasianidae
Alectoris graeca
Alectoris rufa
Perdix perdix
Phasianus colchicus
GRUIFORMES
Rallidae
Fulica atra
CHARADRIIFORMES
Scolopacidae
Lymnocryptes minimus
Gallinago gallinago
Scolopax rusticola
COLUMBIFORMES
Columbidae
Columba livia
Columba palumbus
PART B
ANSERIFORMES
Anatidae
Cygnus olor
Anser brachyrhynchus
Anser albifrons
Branta bernicla
Netta rufina
Aythya marila
Somateria mollissima
Clangula hyemalis
Melanitta nigra
Melanitta fusca
Bucephala clangula
Mergus serrator
Mergus merganser
GALLIFORMES
Meleagridae
Meleagris gallopavo
Tetraonidae
Bonasa bonasia
Lagopus lagopus lagopus
Tetrao tetrix
Tetrao urogallus
Phasianidae
Francolinus francolinus
Alectoris barbara
Alectoris chukar
Coturnix coturnix
GRUIFORMES
Rallidae
Rallus aquaticus
Gallinula chloropus
CHARADRIIFORMES
Haematopodidae
Haematopus ostralegus
Charadriidae
Pluvialis apricaria
Pluvialis squatarola
Vanellus vanellus
Scolopacidae
Calidris canutus
Philomachus pugnax
Limosa limosa
Limosa lapponica
Numenius phaeopus
Numenius arquata
Tringa erythropus
Tringa totanus
Tringa nebularia
Laridae
Larus ridibundus
Larus canus
Larus fuscus
Larus argentatus
Larus cachinnans
Larus marinus
COLUMBIFORMES
Columbidae
Columba oenas
Streptopelia decaocto
Streptopelia turtur
PASSERIFORMES
Alaudidae
Alauda arvensis
Muscicapidae
Turdus merula
Turdus pilaris
Turdus philomelos
Turdus iliacus
Turdus viscivorus
Sturnidae
Sturnus vulgaris
Corvidae
Garrulus glandarius
Pica pica
Corvus monedula
Corvus frugilegus
Corvus corone
<table><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p><div/></td><td><p>BE</p></td><td><p>BG</p></td><td><p>CZ</p></td><td><p>DK</p></td><td><p>DE</p></td><td><p>EE</p></td><td><p>IE</p></td><td><p>EL</p></td><td><p>ES</p></td><td><p>FR</p></td><td><p>HR</p></td><td><p>IT</p></td><td><p>CY</p></td><td><p>LV</p></td><td><p>LT</p></td><td><p>LU</p></td><td><p>HU</p></td><td><p>MT</p></td><td><p>NL</p></td><td><p>AT</p></td><td><p>PL</p></td><td><p>PT</p></td><td><p>RO</p></td><td><p>SI</p></td><td><p>SK</p></td><td><p>FI</p></td><td><p>SE</p></td><td><p>UK</p></td></tr><tr><td><p><span>Cygnus olor</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Anser brachyrhynchus</span></p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td></tr><tr><td><p><span>Anser albifrons</span></p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Branta bernicla</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Netta rufina</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Aythya marila</span></p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td></tr><tr><td><p><span>Somateria mollissima</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Clangula hyemalis</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Melanitta nigra</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Melanitta fusca</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Bucephala clangula</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Mergus serrator</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Mergus merganser</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Bonasa bonasia</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Lagopus lagopus lagopus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Tetrao tetrix</span></p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Tetrao urogallus</span></p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Francolinus francolinus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Alectoris barbara</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Alectoris chukar</span></p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Coturnix coturnix</span></p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Meleagris gallopavo</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Rallus aquaticus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Gallinula chloropus</span></p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td></tr><tr><td><p><span>Haematopus ostralegus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Pluvialis apricaria</span></p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td></tr><tr><td><p><span>Pluvialis squatarola</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td></tr><tr><td><p><span>Vanellus vanellus</span></p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Calidris canutus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Philomachus pugnax</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Limosa limosa</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Limosa lapponica</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td></tr><tr><td><p><span>Numenius phaeopus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td></tr><tr><td><p><span>Numenius arquata</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td></tr><tr><td><p><span>Tringa erythropus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Tringa totanus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td></tr><tr><td><p><span>Tringa nebularia</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Larus ridibundus</span></p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Larus canus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Larus fuscus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Larus argentatus</span></p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Larus cachinnans</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Larus marinus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Columba oenas</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Streptopelia decaocto</span></p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Streptopelia turtur</span></p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Alauda arvensis</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Turdus merula</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Turdus pilaris</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td></tr><tr><td><p><span>Turdus philomelos</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Turdus iliacus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Turdus viscivorus</span></p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Sturnus vulgaris</span></p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p><span>Garrulus glandarius</span></p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Pica pica</span></p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Corvus monedula</span></p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Corvus frugilegus</span></p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p><span>Corvus corone</span></p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p> </p><div/></td><td><p>+</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td><td><p>+</p></td></tr><tr><td><p>AT = Österreich, BE = Belgique/België, BG = България, CY = Κύπρος, CZ = Česká republika, DE = Deutschland, DK = Danmark, EE = Eesti, ES = España, FI = Suomi/Finland, FR = France, EL = Ελλάδα, HR = Hrvatska, HU = Magyarország, IE = Ireland, IT = Italia, LT = Lietuva, LU = Luxembourg, LV = Latvija, MT = Malta, NL = Nederland, PL = Polska, PT = Portugal, RO = România, SE = Sverige, SI = Slovenija, SK = Slovensko, UK = United Kingdom</p><p>+ = Member States which under Article 7(3) may authorise hunting of the species listed.</p></td></tr></tbody></table>
ANNEX III
PART A
ANSERIFORMES
Anatidae
Anas platyrhynchos
GALLIFORMES
Tetraonidae
Lagopus lagopus lagopus, scoticus et hibernicus
Phasianidae
Alectoris rufa
Alectoris barbara
Perdix perdix
Phasianus colchicus
COLUMBIFORMES
Columbidae
Columba palumbus
PART B
ANSERIFORMES
Anatidae
Anser albifrons albifrons
Anser anser
Anas penelope
Anas crecca
Anas acuta
Anas clypeata
Aythya ferina
Aythya fuligula
Aythya marila
Somateria mollissima
Melanitta nigra
GALLIFORMES
Tetraonidae
Lagopus mutus
Tetrao tetrix britannicus
Tetrao urogallus
GRUIFORMES
Rallidae
Fulica atra
CHARADRIIFORMES
Charadriidae
Pluvialis apricaria
Scolopacidae
Lymnocryptes minimus
Gallinago gallinago
Scolopax rusticola
ANNEX IV
(a) —
Snares (with the exception of Finland and Sweden for the capture of Lagopus lagopus lagopus and Lagopus mutus north of latitude 58° N), limes, hooks, live birds which are blind or mutilated used as decoys, tape recorders, electrocuting devices,
— artificial light sources, mirrors, devices for illuminating targets, sighting devices for night shooting comprising an electronic image magnifier or image converter,
— explosives,
— nets, traps, poisoned or anaesthetic bait,
— semi-automatic or automatic weapons with a magazine capable of holding more than two rounds of ammunition;
(b) —
aircraft, motor vehicles,
— boats driven at a speed exceeding five kilometres per hour. On the open sea, Member States may, for safety reasons, authorise the use of motor-boats with a maximum speed of 18 kilometres per hour. Member States shall inform the Commission of any authorisations granted.
ANNEX V
(a) National lists of species in danger of extinction or particularly endangered species, taking into account their geographical distribution.
(b) Listing and ecological description of areas particularly important to migratory species on their migratory routes and as wintering and nesting grounds.
(c) Listing of data on the population levels of migratory species as shown by ringing.
(d) Assessing the influence of methods of taking wild birds on population levels.
(e) Developing or refining ecological methods for preventing the type of damage caused by birds.
(f) Determining the role of certain species as indicators of pollution.
(g) Studying the adverse effect of chemical pollution on population levels of bird species.
ANNEX VI
PART A
REPEALED DIRECTIVE WITH LIST OF ITS SUCCESSIVE AMENDMENTS
(referred to in Article 18)
<table><col/><col/><tbody><tr><td><p>Council Directive 79/409/EEC</p><p>(OJ L 103, 25.4.1979, p. 1)</p></td><td><p> </p><div/></td></tr><tr><td><p>1979 Act of Accession, Annex I, point XIII.1.F</p><p>(OJ L 291, 19.11.1979, p. 111)</p></td><td><p> </p><div/></td></tr><tr><td><p>Council Directive 81/854/EEC</p><p>(OJ L 319, 7.11.1981, p. 3)</p></td><td><p> </p><div/></td></tr><tr><td><p>Commission Directive 85/411/EEC</p><p>(OJ L 233, 30.8.1985, p. 33)</p></td><td><p> </p><div/></td></tr><tr><td><p>1985 Act of Accession, Annex I, points X.1.(h) and X.6</p><p>(OJ L 302, 15.11.1985, p. 218)</p></td><td><p> </p><div/></td></tr><tr><td><p>Council Directive 86/122/EEC</p><p>(OJ L 100, 16.4.1986, p. 22)</p></td><td><p> </p><div/></td></tr><tr><td><p>Commission Directive 91/244/EEC</p><p>(OJ L 115, 8.5.1991, p. 41)</p></td><td><p> </p><div/></td></tr><tr><td><p>Council Directive 94/24/EC</p><p>(OJ L 164, 30.6.1994, p. 9)</p></td><td><p> </p><div/></td></tr><tr><td><p>1994 Act of Accession, Annex I, point VIII.E.1</p><p>(OJ C 241, 29.8.1994, p. 175)</p></td><td><p> </p><div/></td></tr><tr><td><p>Commission Directive 97/49/EC</p><p>(OJ L 223, 13.8.1997, p. 9)</p></td><td><p> </p><div/></td></tr><tr><td><p>Council Regulation (EC) No 807/2003</p><p>(OJ L 122, 16.5.2003, p. 36)</p></td><td><p>only Annex III, point 29</p></td></tr><tr><td><p>2003 Act of Accession, Annex II, point 16.C.1</p><p>(OJ L 236, 23.9.2003, p. 667)</p></td><td><p> </p><div/></td></tr><tr><td><p>Council Directive 2006/105/EC</p><p>(OJ L 363, 20.12.2006, p. 368)</p></td><td><p>only as regards the reference, in Article 1, to Directive 79/409/EEC and point A.1 of the Annex</p></td></tr><tr><td><p>Directive 2008/102/EC of the European Parliament and of the Council</p><p>(OJ L 323, 3.12.2008, p. 31)</p></td><td><p> </p><div/></td></tr></tbody></table>
PART B
LIST OF TIME LIMITS FOR TRANSPOSITION INTO NATIONAL LAW
(referred to in Article 18)
<table><col/><col/><tbody><tr><td><p>Directives</p></td><td><p>Time limit for transposition</p></td></tr><tr><td><p>79/409/EEC</p></td><td><p>7 April 1981</p></td></tr><tr><td><p>81/854/EEC</p></td><td><p>—</p></td></tr><tr><td><p>85/411/EEC</p></td><td><p>31 July 1986</p></td></tr><tr><td><p>86/122/EEC</p></td><td><p>—</p></td></tr><tr><td><p>91/244/EEC</p></td><td><p>31 July 1992</p></td></tr><tr><td><p>94/24/EC</p></td><td><p>29 September 1995</p></td></tr><tr><td><p>97/49/EC</p></td><td><p>30 September 1998</p></td></tr><tr><td><p>2006/105/EC</p></td><td><p>1 January 2007</p></td></tr><tr><td><p>2008/102/EC</p></td><td><p>—</p></td></tr></tbody></table>
ANNEX VII
CORRELATION TABLE
<table><col/><col/><tbody><tr><td><p>Directive 79/409/EEC</p></td><td><p>This Directive</p></td></tr><tr><td><p>Article 1(1) and (2)</p></td><td><p>Article 1(1) and (2)</p></td></tr><tr><td><p>Article 1(3)</p></td><td><p>—</p></td></tr><tr><td><p>Articles 2 to 5</p></td><td><p>Articles 2 to 5</p></td></tr><tr><td><p>Article 6(1), (2) and (3)</p></td><td><p>Article 6(1), (2) and (3)</p></td></tr><tr><td><p>Article 6(4)</p></td><td><p>—</p></td></tr><tr><td><p>Article 7(1), (2) and (3)</p></td><td><p>Article 7(1), (2) and (3)</p></td></tr><tr><td><p>Article 7(4), first sentence</p></td><td><p>Article 7(4), first subparagraph</p></td></tr><tr><td><p>Article 7(4), second sentence</p></td><td><p>Article 7(4), second subparagraph</p></td></tr><tr><td><p>Article 7(4), third sentence</p></td><td><p>Article 7(4), third subparagraph</p></td></tr><tr><td><p>Article 7(4), fourth sentence</p></td><td><p>Article 7(4), fourth subparagraph</p></td></tr><tr><td><p>Article 8</p></td><td><p>Article 8</p></td></tr><tr><td><p>Article 9(1)</p></td><td><p>Article 9(1)</p></td></tr><tr><td><p>Article 9(2), introductory wording</p></td><td><p>Article 9(2), introductory wording</p></td></tr><tr><td><p>Article 9(2), first indent</p></td><td><p>Article 9(2), point (a)</p></td></tr><tr><td><p>Article 9(2), second indent</p></td><td><p>Article 9(2), point (b)</p></td></tr><tr><td><p>Article 9(2), third indent</p></td><td><p>Article 9(2), point (c)</p></td></tr><tr><td><p>Article 9(2), fourth indent</p></td><td><p>Article 9(2), point (d)</p></td></tr><tr><td><p>Article 9(2), fifth indent</p></td><td><p>Article 9(2), point (e)</p></td></tr><tr><td><p>Article 9(3)</p></td><td><p>Article 9(3)</p></td></tr><tr><td><p>Article 9(4)</p></td><td><p>Article 9(4)</p></td></tr><tr><td><p>Article 10(1)</p></td><td><p>Article 10(1), first sentence</p></td></tr><tr><td><p>Article 10(2), first sentence</p></td><td><p>Article 10(1), second sentence</p></td></tr><tr><td><p>Article 10(2), second sentence</p></td><td><p>Article 10(2)</p></td></tr><tr><td><p>Articles 11 to 15</p></td><td><p>Articles 11 to 15</p></td></tr><tr><td><p>Article 16(1)</p></td><td><p>—</p></td></tr><tr><td><p>Article 17</p></td><td><p>Article 16</p></td></tr><tr><td><p>Article 18(1)</p></td><td><p>—</p></td></tr><tr><td><p>Article 18(2)</p></td><td><p>Article 17</p></td></tr><tr><td><p>—</p></td><td><p>Article 18</p></td></tr><tr><td><p>—</p></td><td><p>Article 19</p></td></tr><tr><td><p>Article 19</p></td><td><p>Article 20</p></td></tr><tr><td><p>Annex I</p></td><td><p>Annex I</p></td></tr><tr><td><p>Annex II/1</p></td><td><p>Annex II, Part A</p></td></tr><tr><td><p>Annex II/2</p></td><td><p>Annex II, Part B</p></td></tr><tr><td><p>Annex III/1</p></td><td><p>Annex III, Part A</p></td></tr><tr><td><p>Annex III/2</p></td><td><p>Annex III, Part B</p></td></tr><tr><td><p>Annex IV</p></td><td><p>Annex IV</p></td></tr><tr><td><p>Annex V</p></td><td><p>Annex V</p></td></tr><tr><td><p>—</p></td><td><p>Annex VI</p></td></tr><tr><td><p>—</p></td><td><p>Annex VII</p></td></tr></tbody></table>
<note>
( 1 ) Council Directive 92/43/EEC of 21 May 1992 on the conservation of natural habitats and of wild fauna and flora (OJ L 206, 22.7.1992, p. 7).
( 2 ) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
</note> | ENG | 02009L0147-20190626 |
<table><col/><col/><col/><col/><tbody><tr><td><p>5.8.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 212/116</p></td></tr></tbody></table>
COUNCIL DECISION (CFSP) 2016/1341
of 4 August 2016
amending Decision (CFSP) 2016/849 concerning restrictive measures against the Democratic People's Republic of Korea
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Article 29 thereof,
Having regard to the proposal of the High Representative of the Union for Foreign Affairs and Security Policy,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 22 April 2013, the Council adopted Decision 2013/183/CFSP<a> (<span>1</span>)</a>, which replaced Decision 2010/800/CFSP<a> (<span>2</span>)</a> and, inter alia, implemented United Nations Security Council Resolutions (‘UNSCRs’) 1718 (2006), 1874 (2009), 2087 (2013) and 2094 (2013).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>On 2 March 2016, the UN Security Council adopted UNSCR 2270 (2016) providing for new measures against the Democratic People's Republic of Korea (‘DPRK’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>On 31 March 2016, the Council adopted Decision (CFSP) 2016/476<a> (<span>3</span>)</a> giving effect to these measures.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>On 27 May 2016, the Council adopted Decision (CFSP) 2016/849<a> (<span>4</span>)</a>, which replaced Decision 2013/183/CFSP and, inter alia, implemented UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) and 2270 (2016).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>UNSCR 2270 (2016) provides for the designation of additional goods to which prohibitions on the transfer, procurement and provision of technical assistance also apply. The Committee established pursuant to paragraph 12 of UNSCR 1718 (2006) considered a list of weapons of mass destruction-related items, materials, equipment, goods and technology to be identified and designated as sensitive goods.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Furthermore, the Council considers that the prohibition on the entry into ports of any vessel that is owned, operated or crewed by the DPRK should also apply to DPRK flagged vessels.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Further action by the Union is needed in order to implement the measures provided for in this Decision.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Decision (CFSP) 2016/849 should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
Decision (CFSP) 2016/849 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>in Article 1(1), point (b) is replaced by the following:</p><table><col/><col/><tbody><tr><td><p>‘(b)</p></td><td><p>all items, materials, equipment, goods and technology, as determined by the UN Security Council or the Committee established pursuant to paragraph 12 of UNSCR 1718 (2006) (“the Sanctions Committee”) in accordance with paragraph 8(a)(ii) of UNSCR 1718 (2006), paragraph 5(b) of UNSCR 2087 (2013), paragraph 20 of UNSCR 2094 (2013) and paragraph 25 of UNSCR 2270 (2016), which could contribute to the DPRK's nuclear-related, ballistic-missile-related or other weapons of mass destruction-related programmes;’;</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>in Article 18, paragraph 1 is replaced by the following:</p><p>‘1.   Member States shall prohibit the entry into their ports of any vessel that is owned, operated, crewed or flagged by the DPRK.’.</p></td></tr></tbody></table>
Article 2
This Decision shall enter into force on the date following that of its publication in the Official Journal of the European Union .
Done at Brussels, 4 August 2016.
For the Council
The President
M. LAJČÁK
<note>
( 1 ) Council Decision 2013/183/CFSP of 22 April 2013 concerning restrictive measures against the Democratic People's Republic of Korea and repealing Decision 2010/800/CFSP ( OJ L 111, 23.4.2013, p. 52 ).
( 2 ) Council Decision 2010/800/CFSP of 22 December 2010 concerning restrictive measures against the Democratic People's Republic of Korea and repealing Common Position 2006/795/CFSP ( OJ L 341, 23.12.2010, p. 32 ).
( 3 ) Council Decision (CFSP) 2016/476 of 31 March 2016 amending Decision 2013/183/CFSP concerning restrictive measures against the Democratic People's Republic of Korea ( OJ L 85, 1.4.2016, p. 38 ).
( 4 ) Council Decision (CFSP) 2016/849 of 27 May 2016 concerning restrictive measures against the Democratic People's Republic of Korea and repealing Decision 2013/183/CFSP ( OJ L 141, 28.5.2016, p. 79 ).
</note> | ENG | 32016D1341 |
02008R1234 — EN — 13.05.2021 — 003.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p> COMMISSION REGULATION (EC) No 1234/2008</p><p>of 24 November 2008</p><p>concerning the examination of variations to the terms of marketing authorisations for medicinal products for human use and veterinary medicinal products</p><p><a>(Text with EEA relevance)</a></p><p>(OJ L 334 12.12.2008, p. 7)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a> COMMISSION REGULATION (EU) No 712/2012 of 3 August 2012</a></p></td><td><p>  L 209</p></td><td><p>4</p></td><td><p>4.8.2012</p></td></tr><tr><td><p><a>►M2</a></p></td><td><p><a> COMMISSION DELEGATED REGULATION (EU) 2021/756 of 24 March 2021</a></p></td><td><p>  L 162</p></td><td><p>1</p></td><td><p>10.5.2021</p></td></tr></table>
COMMISSION REGULATION (EC) No 1234/2008
of 24 November 2008
concerning the examination of variations to the terms of marketing authorisations for medicinal products for human use and veterinary medicinal products
(Text with EEA relevance)
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter and scope
1. This Regulation lays down provisions concerning the examination of variations to the terms of all marketing authorisations for medicinal products for human use and veterinary medicinal products granted in accordance with Regulation (EC) No 726/2004, Directive 2001/83/EC, Directive 2001/82/EC, and Council Directive 87/22/EEC ( 1 ).
2. This Regulation shall not apply to transfers of a marketing authorisation from one marketing authorisation holder (hereinafter holder) to another.
3. Chapter II shall apply only to variations to the terms of marketing authorisations granted in accordance with Directive 87/22/EEC, Chapter 4 of Directive 2001/82/EC or Chapter 4 of Directive 2001/83/EC.
3a. Chapter IIa shall apply only to variations to the terms of purely national marketing authorisations.
4. Chapter III shall apply only to variations to the terms of marketing authorisations granted in accordance with Regulation (EC) No 726/2004 (hereinafter centralised marketing authorisations).
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
1. ‘Variation to the terms of a marketing authorisation’ or ‘variation’ means any amendment to:
(a) the information referred to in Articles 12(3) to 14 of Directive 2001/82/EC and Annex I thereto, Articles 8(3) to 11 of Directive 2001/83/EC and Annex I thereto, Articles 6(2) and 31(2) of Regulation (EC) No 726/2004, or Article 7 of Regulation (EC) No 1394/2007;
(b) the terms of the decision granting the marketing authorisation for a medicinal product for human use, including the summary of the product characteristics and any conditions, obligations, or restrictions affecting the marketing authorisation, or changes to the labelling or the package leaflet connected with changes to the summary of the product characteristics;
(c) the terms of the decision granting the marketing authorisation for a veterinary medicinal product, including the summary of the product characteristics and any conditions, obligations, or restrictions affecting the marketing authorisation, or changes to the labelling or the package leaflet.
2. ‘Minor variation of type IA’ means a variation which has only a minimal impact, or no impact at all, on the quality, safety or efficacy of the medicinal product concerned;
3. ‘Major variation of type II’ means a variation which is not an extension and which may have a significant impact on the quality, safety or efficacy of the medicinal product concerned;
4. ‘Extension of a marketing authorisation’ or ‘extension’ means a variation which is listed in Annex I and fulfils the conditions laid down therein;
5. ‘Minor variation of type IB’ means a variation which is neither a minor variation of type IA nor a major variation of type II nor an extension;
6. ‘Member State concerned’ means a Member State whose competent authority has granted a marketing authorisation for the medicinal product in question;
7. ‘Relevant authority’ means:
(a) the competent authority of each Member State concerned;
(b) in the case of centralised marketing authorisations, the Agency;
8. ‘Urgent safety restriction’ means an interim change in the terms of the marketing authorisation due to new information having a bearing on the safe use of the medicinal product;
9. ‘Purely national marketing authorisation’ means any marketing authorisation granted by a Member State in accordance with the acquis outside the mutual recognition or decentralised procedure and that has not been subject to a complete harmonisation following a referral procedure.
Article 3
Classification of variations
1. In relation to any variation which is not an extension the classification laid down in Annex II shall apply.
2. A variation which is not an extension and whose classification is undetermined after application of the rules provided for in this Regulation, taking into account the guidelines referred to in Article 4(1) and, where relevant, any recommendations delivered pursuant to Article 5, shall by default be considered a minor variation of type IB.
3. By way of derogation from paragraph 2, a variation which is not an extension and whose classification is undetermined after application of the rules provided for in this Regulation shall be considered a major variation of type II in the following cases:
(a) upon request from the holder when submitting the variation;
(b) where the competent authority of the reference Member State as referred to in Article 32 of Directive 2001/82/EC and Article 28 of Directive 2001/83/EC (hereinafter ‘the reference Member State’), in consultation with the other Member States concerned, or the Agency in the case of a centralised marketing authorisation, or the competent authority in the case of a purely national marketing authorisation, concludes, following the assessment of validity of a notification in accordance with Article 9(1), Article 13b(1), or Article 15(1) and taking into account the recommendations delivered pursuant to Article 5, that the variation may have a significant impact on the quality, safety or efficacy of the medicinal product concerned.
Article 4
Guidelines
1. The Commission shall, after consulting the Member States and the Agency, draw up guidelines on the details of the various categories of variations, on the operation of the procedures laid down in Chapters II, IIa, III and IV of this Regulation, and on the documentation to be submitted pursuant to those procedures.
2. The guidelines referred to in paragraph 1 shall be regularly updated.
Article 5
Recommendation on unforeseen variations
1. Prior to the submission of a variation whose classification is not provided for in this Regulation, a holder may request a recommendation on the classification of the variation as follows:
(a) to the Agency, where the variation refers to a marketing authorisation granted under Regulation (EC) No 726/2004;
(b) to the competent authority of the Member State concerned, where the variation refers to a purely national marketing authorisation;
(c) to the competent authority of the reference Member State, in the other cases.
The recommendation referred to in the first subparagraph shall be consistent with the guidelines referred to in Article 4(1). It shall be delivered within 45 days following receipt of the request and sent to the holder, the Agency, and the coordination group referred to in Article 31 of Directive 2001/82/EC or in Article 27 of Directive 2001/83/EC.
The 45-day period referred to in the second subparagraph may be extended by 25 days where the relevant authority deems it necessary to consult with the coordination group.
1a. Prior to the examination of a variation whose classification is not provided for in this Regulation, a competent authority of a Member State may request a recommendation on the classification of the variation to the coordination group.
The recommendation referred to in the first subparagraph shall be consistent with the guidelines referred to in Article 4(1). It shall be delivered within 45 days following receipt of the request and sent to the holder, the Agency, and the competent authorities of all Member States.
2. The Agency and the two coordination groups referred to in paragraph 1 shall cooperate to ensure the coherence of the recommendations delivered in accordance with that paragraph and publish those recommendations after deletion of all information of commercial confidential nature.
Article 6
Variations leading to the revision of product information
Where a variation leads to the revision of the summary of product characteristics, labelling or package leaflet, this revision shall be considered as part of that variation.
Article 7
Grouping of variations
1. Where several variations are notified or applied for, a separate notification or application in accordance with Chapters II, III, or Article 19 as appropriate shall be submitted in respect of each variation sought.
2. By way of derogation from paragraph 1, the following shall apply:
(a) where the same minor variation(s) of type IA to the terms of one or more marketing authorisations owned by the same holder are notified at the same time to the same relevant authority, a single notification as referred to in Article 8 or 14 may cover all such variations;
(b) where several variations to the terms of the same marketing authorisation are submitted at the same time, a single submission may cover all such variations provided that the variations concerned fall within one of the cases listed in Annex III;
(c) where several variations to the terms of the same marketing authorisation are submitted at the same time and the variations do not fall within one of the cases listed in Annex III, a single submission may cover all such variations provided that the competent authority of the reference Member State in consultation with the competent authorities of the Member States concerned or, in the case of a centralised marketing authorisation, the Agency agrees to such single submission.
The submission referred to in subparagraphs (b) and (c) shall be made simultaneously to all relevant authorities by means of the following:
(i) a single notification in accordance with Article 9 or 15 where at least one of the variations is a minor variation of type IB and the remaining variations are minor variations;
(ii) a single application in accordance with Article 10 or 16 where at least one of the variations is a major variation of type II and none of the variations is an extension;
(iii)
a single application in accordance with Article 19 where at least one of the variations is an extension.
CHAPTER II
VARIATIONS TO MARKETING AUTHORISATIONS GRANTED IN ACCORDANCE WITH DIRECTIVE 87/22/EEC, CHAPTER 4 OF DIRECTIVE 2001/82/EC OR CHAPTER 4 OF DIRECTIVE 2001/83/EC
Article 8
Notification procedure for minor variations of type IA
1. Where a minor variation of type IA is made, the holder shall submit simultaneously to all relevant authorities a notification containing the elements listed in Annex IV. This notification shall be submitted within 12 months following the implementation of the variation.
However, the notification shall be submitted immediately after the implementation of the variation in the case of minor variations requiring immediate notification for the continuous supervision of the medicinal product concerned.
2. Within 30 days following receipt of the notification, the measures provided for in Article 11 shall be taken.
Article 9
Notification procedure for minor variations of type IB
1. The holder shall submit simultaneously to all relevant authorities a notification containing the elements listed in Annex IV.
If the notification fulfils the requirement laid down in the first subparagraph, the competent authority of the reference Member State shall, after consulting the other Member States concerned, acknowledge receipt of a valid notification.
2. If within 30 days following the acknowledgement of receipt of a valid notification, the competent authority of the reference Member State has not sent the holder an unfavourable opinion, the notification shall be deemed accepted by all relevant authorities.
Where the notification is accepted by the competent authority of the reference Member State, the measures provided for in Article 11 shall be taken.
3. Where the competent authority of the reference Member State is of the opinion that the notification cannot be accepted, it shall inform the holder and the other relevant authorities, stating the grounds on which its unfavourable opinion is based.
Within 30 days following the receipt of the unfavourable opinion, the holder may submit to all relevant authorities an amended notification in order to take due account of the grounds laid down in that opinion.
If the holder does not amend the notification in accordance with the second subparagraph, the notification shall be deemed rejected by all relevant authorities and the measures provided for in Article 11 shall be taken.
4. Where an amended notification has been submitted, the competent authority of the reference Member State shall assess it within 30 days following its receipt and the measures provided for in Article 11 shall be taken.
5. This Article shall not apply where a type IB variation request is submitted in a grouping that includes a variation type II and does not contain an extension. In such case, the prior approval procedure in Article 10 shall apply.
This Article shall not apply where a type IB variation request is submitted in a grouping that includes an extension. In such case, the procedure in Article 19 shall apply.
Article 10
‘Prior Approval’ procedure for major variations of type II
1. The holder shall submit simultaneously to all relevant authorities an application containing the elements listed in Annex IV.
If the application fulfils the requirements laid down in the first subparagraph, the competent authority of the reference Member State shall acknowledge receipt of a valid application and inform the holder and the other relevant authorities that the procedure starts from the date of such acknowledgement.
2. Within 60 days following the acknowledgement of receipt of a valid application, the competent authority of the reference Member State shall prepare an assessment report and a decision on the application, which shall be communicated to the other relevant authorities.
The competent authority of the reference Member State may reduce the period referred to in the first subparagraph, having regard to the urgency of the matter, or extend it to 90 days for variations listed in Part 1 of Annex V or for grouping of variations in accordance with Article 7(2)(c).
The period referred to in the first subparagraph shall be 90 days for variations listed in Part 2 of Annex V.
3. Within the period referred to in paragraph 2, the competent authority of the reference Member State may request the holder to provide supplementary information within a time limit set by that competent authority. In this case:
(a) the competent authority of the reference Member State shall inform the other competent authorities concerned of its request for supplementary information;
(b) the procedure shall be suspended until such supplementary information has been provided;
(c) the competent authority of the reference Member State may extend the period referred to in paragraph 2.
4. Without prejudice to Article 13 and within 30 days following receipt of the decision and of the assessment report referred to in paragraph 2, the relevant authorities shall recognise the decision and inform the competent authority of the reference Member State accordingly.
If, within the period referred to in the first subparagraph, a relevant authority has not expressed its disagreement in accordance with Article 13, the decision shall be deemed recognised by that relevant authority.
5. Where the decision referred to in paragraph 2 has been recognised by all relevant authorities in accordance with paragraph 4, the measures provided for in Article 11 shall be taken.
6. This Article shall not apply where a type II variation request is submitted in a grouping that includes an extension. In such case, the procedure in Article 19 shall apply.
Article 11
Measures to close the procedures of Articles 8 to 10
1. Where reference is made to this Article, the competent authority of the reference Member State shall take the following measures:
(a) it shall inform the holder and the other relevant authorities as to whether the variation is accepted or rejected;
(b) where the variation is rejected, it shall inform the holder and the other relevant authorities of the grounds for the rejection;
(c) it shall inform the holder and the other relevant authorities as to whether the variation requires any amendment to the decision granting the marketing authorisation.
2. Where reference is made to this Article, each relevant authority shall, where necessary and within the time limit laid down in paragraph 1 of Article 23, amend the decision granting the marketing authorisation in accordance with the accepted variation.
Article 12
Human influenza vaccines
1. By way of derogation from Article 10, the procedure laid down in paragraphs 2 to 5 shall apply to the examination of variations concerning changes to the active substance for the purposes of the annual update of a human influenza vaccine.
2. The holder shall submit simultaneously to all relevant authorities an application containing the elements listed in Annex IV.
If the application fulfils the requirements laid down in the first subparagraph, the competent authority of the reference Member State shall acknowledge receipt of a valid application and inform the holder and the other relevant authorities that the procedure starts from the date of such acknowledgement.
3. The competent authority of the reference Member State shall assess the application submitted. Where deemed necessary, the competent authority of the reference Member State may request additional data to the holder in order to complete its assessment.
4. The competent authority shall prepare a decision and an assessment report within 45 days from the receipt of a valid application.
The 45-day period referred to in the first subparagraph shall be suspended from the moment when the additional data referred to in paragraph 3 is requested until the data is submitted.
5. Within 12 days from the receipt of the decision and the assessment report of the competent authority of the reference Member State, the relevant authorities shall adopt a decision accordingly and inform the competent authority of the reference Member State and the holder thereof.
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Article 13
Coordination group and arbitration
1. Where recognition of a decision in accordance with Article 10(4) or approval of an opinion in accordance with point (b) of Article 20(8) is not possible on grounds of a potential serious risk to public health in the case of medicinal products for human use or, in the case of veterinary medicinal products, on grounds of a potential serious risk to human or animal health or to the environment, a relevant authority shall request that the matter of disagreement be forthwith referred to the coordination group.
The party in disagreement shall give a detailed statement of the reasons for its position to all Member States concerned and to the applicant.
2. Article 33(3), (4) and (5) of Directive 2001/82/EC or Article 29(3), (4) and (5) of Directive 2001/83/EC shall apply to the matter of disagreement referred to in paragraph 1.
CHAPTER IIa
VARIATIONS TO PURELY NATIONAL MARKETING AUTHORISATIONS
Article 13a
Notification procedure for minor variations of type IA
1. Where a minor variation of type IA is made, the holder shall submit to the competent authority a notification containing the elements listed in Annex IV. This notification shall be submitted within 12 months following the implementation of the variation.
However, the notification shall be submitted immediately after the implementation of the variation in the case of minor variations requiring immediate notification for the continuous supervision of the medicinal product concerned.
2. Within 30 days following receipt of the notification, the measures provided for in Article 13e shall be taken.
Article 13b
Notification procedure for minor variations of type IB
1. The holder shall submit to the competent authority a notification containing the elements listed in Annex IV.
If the notification fulfils the requirement laid down in the first subparagraph, the competent authority shall acknowledge receipt of a valid notification.
2. If within 30 days following the acknowledgement of receipt of a valid notification, the competent authority has not sent the holder an unfavourable opinion, the notification shall be deemed accepted by the competent authority.
Where the notification is accepted by the competent authority, the measures provided for in Article 13e shall be taken.
3. Where the competent authority is of the opinion that the notification cannot be accepted, it shall inform the holder, stating the grounds on which its unfavourable opinion is based.
Within 30 days following the receipt of the unfavourable opinion, the holder may submit to the competent authority an amended notification in order to take due account of the grounds laid down in that opinion.
If the holder does not amend the notification in accordance with the second subparagraph, the notification shall be deemed rejected.
4. Where an amended notification has been submitted, the competent authority shall assess it within 30 days following its receipt and the measures provided for in Article 13e shall be taken.
5. This Article shall not apply where a type IB variation request is submitted in a grouping that includes a variation type II and does not contain an extension. In such case, the prior approval procedure in Article 13c shall apply.
This Article shall not apply where a type IB variation request is submitted in a grouping that includes an extension. In such case, the procedure in Article 19 shall apply.
Article 13c
‘Prior Approval’ procedure for major variations of type II
1. The holder shall submit to the competent authority an application containing the elements listed in Annex IV.
If the application fulfils the requirements laid down in the first subparagraph, the competent authority shall acknowledge receipt of a valid application.
2. Within 60 days following the acknowledgement of receipt of a valid application, the competent authority shall conclude the assessment.
The competent authority may reduce the period referred to in the first subparagraph, having regard to the urgency of the matter, or extend it to 90 days for variations listed in Part 1 of Annex V or for grouping of variations in accordance with Article 13d(2)(c).
The period referred to in the first subparagraph shall be 90 days for variations listed in Part 2 of Annex V.
3. Within the periods referred to in paragraph 2, the competent authority may request the holder to provide supplementary information within a time limit set by the competent authority. In this case the procedure shall be suspended until such supplementary information has been provided and the competent authority may extend the period referred to in paragraph 2.
4. Within 30 days after the conclusion of the assessment, the measures provided for in Article 13e shall be taken.
5. This Article shall not apply where a type II variation request is submitted in a grouping that includes an extension. In such case, the procedure in Article 19 shall apply.
Article 13d
Grouping of variations to purely national marketing authorisations
1. Where several variations are notified or applied for, a separate notification or application in accordance with Articles 13a, 13b, 13c, or 19 as appropriate shall be submitted to the competent authority in respect of each variation sought.
2. By way of derogation from paragraph 1 the following shall apply:
(a) where the same minor variation(s) of type IA to the terms of one or more marketing authorisations owned by the same holder are notified at the same time to the same competent authority, a single notification as referred to in Article 13a may cover all such variations;
(b) where several variations to the terms of the same marketing authorisation are submitted at the same time to the same competent authority, a single submission may cover all such variations provided that the variations concerned fall within one of the cases listed in Annex III;
(c) where the same variation(s) to the terms of one or more marketing authorisations owned by the same holder are submitted at the same time to the same competent authority and they are not covered under subparagraph (a) or (b), a single submission may cover all such variations provided that the competent authority agrees to such single submission.
The submission referred to in points (b) and (c) shall be made by means of the following:
(i) a single notification in accordance with Article 13b where at least one of the variations is a minor variation of type IB and the remaining variations are minor variations;
(ii) a single application in accordance with Article 13c where at least one of the variations is a major variation of type II and none of the variations is an extension;
(iii)
a single application in accordance with Article 19 where at least one of the variations is an extension.
Article 13e
Measures to close the procedures of Articles 13a to 13c
Where reference is made to this Article, the competent authority shall take the following measures:
(a) it shall inform the holder as to whether the variation is accepted or rejected;
(b) where the variation is rejected, it shall inform the holder of the grounds for the rejection;
(c) where necessary, it shall amend the decision granting the marketing authorisation in accordance with the accepted variation within the time limit laid down in paragraph 1 of Article 23.
Article 13f
Human influenza vaccines
1. By way of derogation from Article 13c, the procedure laid down in paragraphs 2 to 4 shall apply to the examination of variations concerning changes to the active substance for the purposes of the annual update of a human influenza vaccine.
2. The holder shall submit to the competent authority an application containing the elements listed in Annex IV.
If the application fulfils the requirements laid down in the first subparagraph, the competent authority shall acknowledge receipt of a valid application.
3. The competent authority shall assess the application submitted. Where deemed necessary, the competent authority may request additional data to the holder in order to complete its assessment.
4. The competent authority shall adopt a decision within 45 days from the receipt of a valid application and shall take the measures provided for in Article 13e.
The 45-day period referred to in the first subparagraph shall be suspended from the moment when the additional data referred to in paragraph 3 is requested until the data is submitted.
CHAPTER III
VARIATIONS TO CENTRALISED MARKETING AUTHORISATIONS
Article 14
Notification procedure for minor variations of type IA
1. Where a minor variation of type IA is made, the holder shall submit to the Agency a notification containing the elements listed in Annex IV. This notification shall be submitted within 12 months following implementation of the variation.
However, the notification shall be submitted immediately after the implementation of the variation in the case of minor variations requiring immediate notification for the continuous supervision of the medicinal product concerned.
2. Within 30 days following receipt of the notification, the measures provided for in Article 17 shall be taken.
Article 15
Notification procedure for minor variations of type IB
1. The holder shall submit to the Agency a notification containing the elements listed in Annex IV.
If the notification fulfils the requirement laid down in the first subparagraph, the Agency shall acknowledge receipt of a valid notification.
2. If within 30 days following the acknowledgement of receipt of a valid notification the Agency has not sent the holder an unfavourable opinion, its opinion shall be deemed favourable.
Where the opinion of the Agency on the notification is favourable, the measures provided for in Article 17 shall be taken.
3. Where the Agency is of the opinion that the notification cannot be accepted, it shall inform the holder, stating the grounds on which its unfavourable opinion is based.
Within 30 days of receipt of the unfavourable opinion, the holder may submit to the Agency an amended notification in order to take due account of the grounds laid down in that opinion.
If the holder does not amend the notification in accordance with the second subparagraph, the notification shall be deemed rejected.
4. Where an amended notification has been submitted, the Agency shall assess it within 30 days following its receipt and the measures provided for in Article 17 shall be taken.
5. This Article shall not apply where a type IB variation request is submitted in a grouping that includes a variation type II and does not contain an extension. In such case, the prior approval procedure in Article 16 shall apply.
This Article shall not apply where a type IB variation request is submitted in a grouping that includes an extension. In such case, the procedure in Article 19 shall apply.
Article 16
‘Prior Approval’ procedure for major variations of type II
1. The holder shall submit to the Agency an application containing the elements listed in Annex IV.
If the application fulfils the requirements laid down in the first subparagraph, the Agency shall acknowledge receipt of a valid application.
2. The Agency shall issue an opinion on the valid application referred to in paragraph 1 within 60 days following its receipt.
The Agency may reduce the period referred to in the first subparagraph, having regard to the urgency of the matter, or extend it to 90 days for variations listed in Part 1 of Annex V or for grouping of variations in accordance with Article 7(2)(c).
The period referred to in the first subparagraph shall be 90 days for variations listed in Part 2 of Annex V.
3. Within the period referred to in paragraph 2, the Agency may request the holder to provide supplementary information within a time limit set by the Agency. The procedure shall be suspended until such time as the supplementary information has been provided. In this case the Agency may extend the period referred to in paragraph 2.
4. Article 9(1) and (2) and Article 34(1) and (2) of Regulation (EC) No 726/2004 shall apply to the opinion on the valid application.
Within 15 days from the adoption of the final opinion on the valid application, the measures provided for in Article 17 shall be taken.
5. This Article shall not apply where a type II variation request is submitted in a grouping that includes an extension. In such case, the procedure in Article 19 shall apply.
Article 17
Measures to close the procedures of Articles 14 to 16
1. Where reference is made to this Article, the Agency shall take the following measures:
(a) it shall inform the holder of the outcome of the assessment;
(b) where the variation is rejected, it shall inform the holder of the grounds for the rejection;
(c) where the outcome of the assessment is favourable and the variation affects the terms of the Commission decision granting the marketing authorisation, the Agency shall transmit to the Commission its opinion and the grounds for its opinion as well as the revised versions of the documents referred to in Article 9(4) or Article 34(4) of Regulation (EC) No 726/2004 as appropriate.
2. In the cases identified under paragraph 1(c), the Commission, having regard to the opinion from the Agency and within the time limit foreseen in Article 23(1a), shall amend where necessary the decision granting the marketing authorisation. The Community Register of Medicinal Products provided for in Article 13(1) and Article 38(1) of Regulation (EC) No 726/2004 shall be updated accordingly.
Article 18
Human influenza vaccines
1. By way of derogation from Article 16, the procedure laid down in paragraphs 2 to 6 shall apply to the examination of variations concerning changes to the active substance for the purposes of the annual update of a human influenza vaccine.
2. The holder shall submit to the Agency an application containing the elements listed in Annex IV.
If the application fulfils the requirements laid down in the first subparagraph, the Agency shall acknowledge receipt of a valid application and inform the holder that the procedure starts from the date of such acknowledgement.
3. The Agency shall assess the application submitted. Where deemed necessary, the Agency may request additional data to complete its assessment.
4. Within 55 days from the receipt of a valid application, the Agency shall adopt an opinion. The Agency’s opinion on the application shall be transmitted to the applicant. Where the Agency’s opinion is favourable, the Agency shall also transmit to the Commission its opinion and the grounds for its opinion as well as the revised versions of the documents referred in Article 9(4) of Regulation (EC) No 726/2004.
5. The 55-day period referred to in paragraph 4 shall be suspended from the moment when the additional data referred to in paragraph 3 is requested until the data is submitted.
6. Having regard to the favourable opinion of the Agency, the Commission shall amend where necessary the decision granting the marketing authorisation. The Community Register of Medicinal Products provided for in Article 13(1) of Regulation (EC) No 726/2004 shall be updated accordingly.
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CHAPTER IV
SECTION 1
Special procedures
Article 19
Extensions of marketing authorisations
1. An application for an extension of a marketing authorisation shall be evaluated in accordance with the same procedure as for the initial marketing authorisation to which it relates.
2. An extension shall either be granted a marketing authorisation in accordance with the same procedure as for the granting of the initial marketing authorisation to which it relates or be included in that marketing authorisation.
Article 20
Worksharing procedure
1. By way of derogation from Articles 7(1), 9, 10, 13b, 13c, 13d, 15 and 16 the holder of a marketing authorisation may choose to follow the worksharing procedure laid down in paragraphs 3 to 9 in the following cases:
(a) for marketing authorisations referred to in Chapters II and III, where a minor variation of type IB, a major variation of type II, or a group of variations as provided for in Article 7(2)(b) or (c) that does not contain any extension relates to several marketing authorisations owned by the same holder;
(b) for purely national marketing authorisations referred to in Chapter IIa, where a minor variation of type IB, a major variation of type II, or a group of variations as provided for in Article 13d(2)(b) or (c) that does not contain any extension relates to several marketing authorisations owned by the same holder;
(c) for purely national marketing authorisations referred to in Chapter IIa, where a minor variation of type IB, a major variation of type II, or a group of variations as provided for in Article 13d(2)(b) or (c) that does not contain any extension relates to one marketing authorisation that is owned by the same holder in more than one Member State.
Variations covered under (a), (b) or (c) may be subject to the same worksharing procedure.
The reference authority or, in the case of purely national marketing authorisations, the competent authority may refuse to process a submission under the worksharing procedure where the same change(s) to different marketing authorisations require the submission of individual supportive data for each medicinal product concerned or a separate product-specific assessment.
2. For the purposes of this Article, ‘reference authority’ shall mean one of the following:
(a) the Agency where at least one of the marketing authorisations referred to paragraph 1 is a centralised marketing authorisation;
(b) the competent authority of a Member State concerned chosen by the coordination group, taking into account a recommendation of the holder, in the other cases.
3. The holder shall submit to all relevant authorities an application containing the elements listed in Annex IV, with an indication of the preferred reference authority.
The coordination group shall choose a reference authority. If the application fulfils the requirements laid down in the first subparagraph, that reference authority shall acknowledge receipt of a valid application.
Where the chosen reference authority is the competent authority of a Member State which has not granted a marketing authorisation for all the medicinal products affected by the application, the coordination group may request another relevant authority to assist the reference authority in the evaluation of that application.
4. The reference authority shall issue an opinion on a valid application as referred to in paragraph 3 within one of the following periods:
(a) a period of 60 days following acknowledgement of receipt of a valid application in the case of minor variations of type IB or major variations of type II;
(b) a period of 90 days following acknowledgement of receipt of a valid application in the case of variations listed in Part 2 of Annex V.
5. The reference authority may reduce the period referred to in point (a) of paragraph 4, having regard to the urgency of the matter, or extend it to 90 days for variations listed in Part 1 of Annex V or for grouping of variations in accordance with Article 7(2)(c) or Article 13d(2)(c).
6. Within the period referred to in paragraph 4, the reference authority may request the holder to provide supplementary information within a time limit set by the reference authority. In this case:
(a) the reference authority shall inform the other relevant authorities of its request for supplementary information;
(b) the procedure shall be suspended until such supplementary information has been provided;
(c) the reference authority may extend the period referred to in point (a) of paragraph 4.
7. Where the reference authority is the Agency, Article 9(1) and (2) and Article 34(1) and (2) of Regulation (EC) No 726/2004 shall apply to the opinion referred to in paragraph 4.
The Agency’s opinion on the application shall be transmitted to the applicant and the Member States, together with the assessment report. Where the outcome of the assessment is favourable and the variation affects the terms of the Commission decision granting the marketing authorisation, the Agency shall also transmit to the Commission its opinion and the grounds for its opinion as well as the revised versions of the documents referred in Article 9(4) of Regulation (EC) No 726/2004.
Where the Agency issues a favourable opinion, the following shall apply:
(a) if the opinion recommends the variation to the terms of a Commission decision granting the marketing authorisation, the Commission shall, having regard to the final opinion and within the time limits foreseen in Article 23(1a), amend the decision(s) accordingly, provided that the revised versions of the documents referred to in Article 9(4) or Article 34(4) of Regulation (EC) No 726/2004 have been received. The Community Register of Medicinal Products provided for in Article 13(1) and Article 38(1) of Regulation (EC) No 726/2004 shall be updated accordingly;
(b) the Member States concerned shall, within 60 days following receipt of the final opinion of the Agency, approve that final opinion, inform the Agency thereof and, where necessary, amend the marketing authorisations concerned accordingly, provided that the documents necessary for the amendment of the marketing authorisation have been transmitted to the Member States concerned.
8. Where the reference authority is the competent authority of a Member State:
(a) it shall send its opinion to the holder and to all relevant authorities;
(b) without prejudice to Article 13 and within 30 days following receipt of the opinion, the relevant authorities shall approve that opinion and inform the reference authority;
(c) the concerned marketing authorisations shall be amended accordingly within 30 days following the approval of the opinion, provided that the documents necessary for the amendment of the marketing authorisation have been transmitted to the Member States concerned.
9. Upon request from the reference authority, the Member States concerned shall provide information related to the marketing authorisations affected by the variation for the purpose of verifying the validity of the application and of issuing the opinion on the valid application.
10. Where harmonisation of a section of the summary of product characteristics of a purely national marketing authorisation has been achieved through a worksharing procedure, any subsequent variation submission affecting the harmonised section shall be transmitted simultaneously to all Member States concerned.
Article 21
Pandemic situation with respect to human influenza and human coronavirus
(1) By way of derogation from Chapters I, II, IIa and III, where a pandemic situation with respect to human influenza or human coronavirus is duly recognised by the World Health Organization or by the Union in the framework of Decision No 1082/2013/EU of the European Parliament and of the Council ( 2 ), the relevant authorities, or in the case of centralised marketing authorisations, the Commission may, where certain pharmaceutical, non-clinical or clinical data are missing, exceptionally and temporarily accept a variation to the terms of a marketing authorisation for a human influenza vaccine or a human coronavirus vaccine.
(2) The relevant authority may request the applicant to provide supplementary information in order to complete its assessment within a time limit set by it.
(3) Variations may be accepted pursuant to paragraph 1 only if the benefit-risk balance of the medicinal product is favourable.
(4) Where a variation is accepted pursuant to paragraph 1, the holder shall submit the missing pharmaceutical, non-clinical and clinical data within a time limit set by the relevant authority.
(5) In the case of centralised marketing authorisations, the missing data and the time limit for submission or compliance shall be specified in the conditions to the marketing authorisation. Where the marketing authorisation has been granted in accordance with Article 14-a of Regulation (EC) No 726/2004 this may be done as part of the specific obligations referred to in paragraph 4 of that Article.
Article 22
Urgent safety restrictions
1. Where, in the event of a risk to public health in the case of medicinal products for human use or, in the case of veterinary medicinal products, in the event of a risk to human or animal health or to the environment, the holder takes urgent safety restrictions on its own initiative, it shall forthwith inform all relevant authorities and, in the case of a centralised marketing authorisation, the Agency.
If the relevant authority or, in the case of a centralised marketing authorisation, the Agency has not raised objections within 24 hours following receipt of that information, the urgent safety restrictions shall be deemed accepted.
2. In the event of a risk to public health in the case of medicinal products for human use or, in the case of veterinary medicinal products, in the event of a risk to human or animal health or to the environment, relevant authorities or, in the case of centralised marketing authorisations, the Commission may impose urgent safety restrictions on the holder.
3. Where an urgent safety restriction is taken by the holder or imposed by a relevant authority or the Commission, the holder shall submit the corresponding application for variation within 15 days following the initiation of that restriction.
SECTION 2
Amendments to the decision granting the marketing authorisation and implementation
Article 23
Amendments to the decision granting the marketing authorisation
1. Amendments to the decision granting the marketing authorisation resulting from the procedures laid down in Chapters II and IIa shall be made:
(a) in the case of major variations of type II, within two months following receipt of the information referred to in Article 11(1)(c) and Article 13e(a), provided that the documents necessary for the amendment of the marketing authorisation have been transmitted to the Member States concerned;
(b) in the other cases, within six months following receipt of the information referred to in Article 11(1)(c) and Article 13e(a), provided that the documents necessary for the amendment of the marketing authorisation have been transmi tted to the Member States concerned.
1a. Amendments to the decision granting the marketing authorisation resulting from the procedures laid down in Chapter III shall be made:
(a) within two months following receipt of the information referred to in Article 17(1)(c) for the following variations:
(i) variations related to the addition of a new therapeutic indication or to the modification of an existing one;
(ii) variations related to the addition of a new contraindication;
(iii)
variations related to a change in posology;
(iv) variations related to the addition of a non-food producing target species or the modification of an existing one for veterinary medicinal products;
(v) variations concerning the replacement or addition of a serotype, strain, antigen or combination of serotypes, strains or antigens for a veterinary vaccine;
(vi) variations related to changes to the active substance of a seasonal, pre-pandemic or pandemic vaccine against human influenza;
(vii)
variations related to changes to the withdrawal period for a veterinary medicinal product;
(viii)
other type II variations that are intended to implement changes to the decision granting the marketing authorisation due to a significant public health concern or significant animal health or environmental concern in the case of veterinary medicinal products;
(ix) variations related to changes to the active substance of a human coronavirus vaccine, including replacement or addition of a serotype, strain, antigen or coding sequence or combination of serotypes, strains, antigens or coding sequences;
(b) within 12 months following receipt of the information referred to in Article 17(1)(c) in the other cases.
The Agency shall determine the variations referred to in point (a)(viii) and provide reasons for such determination.
2. Where the decision granting a marketing authorisation is amended as a result of one of the procedures laid down in Chapters II, IIa, III and IV, the relevant authority or, in the case of centralised marketing authorisations, the Commission shall notify the amended decision without delay to the holder.
Article 23a
The statement indicating compliance with the agreed completed paediatric investigation plan provided for under Article 28(3) of Regulation (EC) No 1901/2006 shall be included within the technical dossier of the marketing authorisation.
The relevant authority shall provide the holder with a confirmation that the statement is included in the technical dossier within 30 days after the relevant assessment has been concluded.
Article 24
Implementation of variations
1. Minor variations of type IA may be implemented any time before completion of the procedures laid down in Articles 8, 13a and 14.
Where a notification concerning one or several minor variations of type IA is rejected, the holder shall cease to apply the concerned variation(s) immediately after receipt of the information referred to in Articles 11(1)(a), 13e(a), and 17(1)(a).
2. Minor variations of type IB may only be implemented in the following cases:
(a) for variations submitted in accordance with the procedures laid down in Chapter II, after the competent authority of the reference Member State has informed the holder that it has accepted the notification pursuant to Article 9, or after the notification is deemed accepted pursuant to Article 9(2);
(b) for variations submitted in accordance with the procedures laid down in Chapter IIa, after the relevant authority has informed the holder that it has accepted the notification pursuant to Article 13b, or after the notification is deemed accepted pursuant to Article 13b(2);
(c) for variations submitted in accordance with the procedures laid down in Chapter III, after the Agency has informed the holder that its opinion referred to in Article 15 is favourable, or after that opinion is deemed favourable pursuant to Article 15(2);
(d) for variations submitted in accordance with the procedure laid down in Article 20, after the reference authority has informed the holder that its opinion is favourable.
3. Major variations of type II may only be implemented in the following cases:
(a) for variations submitted in accordance with the procedures laid down in Chapter II, 30 days after the competent authority of the reference Member State has informed the holder that it has accepted the variation pursuant to Article 10, under the condition that the documents necessary for the amendment to the marketing authorisation have been provided to the Member States concerned. Where an arbitration procedure has been initiated in accordance with Article 13, the holder shall not implement the variation until the arbitration procedure has concluded that the variation is accepted;
(b) for variations submitted in accordance with the procedures laid down in Chapter IIa, after the competent authority has informed the holder that it has accepted the variation pursuant to Article 13c;
(c) for variations submitted in accordance with the procedures laid down in Chapter III, after the Agency has informed the holder that its opinion referred to in Article 16 is favourable, unless the variation is one referred to in Article 23(1a)(a).
Variations referred to in Article 23(1a)(a) may only be implemented after the Commission has amended the decision granting the marketing authorisation and notified the holder thereof;
(d) for variations submitted in accordance with the procedure laid down in Article 20, 30 days after the reference authority has informed the holder that its opinion is favourable, under the condition that the documents necessary for the amendment to the marketing authorisation have been provided to the Member States concerned; unless an arbitration procedure has been initiated in accordance with Article 13, or unless the procedure concerns a variation to a centralised marketing authorisation as referred to in Article 23(1a)(a).
Where an arbitration procedure has been initiated in accordance with Article 13, or where the worksharing procedure concerns a variation to a centralised marketing authorisation as referred to in Article 23(1a)(a), the holder shall not implement the variation until the arbitration procedure has concluded that the variation is accepted, or until the Commission Decision amending the decision granting the marketing authorisation has been adopted.
4. An extension may only be implemented after the relevant authority or, in the case of extensions to a centralised marketing authorisation, the Commission has amended the decision granting the marketing authorisation and notified the holder accordingly.
5. Urgent safety restrictions and variations which are related to safety issues shall be implemented within a time frame agreed by the holder and the relevant authority and, in the case of a centralised marketing authorisation, the Agency.
By way of derogation from the first subparagraph, urgent safety restrictions and variations related to safety issues which concern marketing authorisations granted in accordance with Chapter 4 of Directive 2001/82/EC or Chapter 4 of Directive 2001/83/EC shall be implemented within a time frame agreed by the holder and the competent authority of the reference Member State, in consultation with the other relevant authorities.
Article 24a
Application of national provisions on variations to purely national marketing authorisations
Member States that, in accordance with Article 23b(4) of Directive 2001/83/EC, may continue to apply their national provisions on variations to certain purely national marketing authorisations are listed in Annex VI to this Regulation.
CHAPTER V
FINAL PROVISIONS
Article 25
Continuous monitoring
Where requested by a relevant authority, the holder shall supply without delay any information related to the implementation of a given variation.
Article 26
Review
By two years from the date referred to in the second subparagraph of Article 28, the Commission services shall assess the application of this Regulation as regards the classification of variations, with a view to proposing any necessary amendments to adapt Annexes I, II and V to take account of scientific and technical progress.
Article 27
Repeal and transitional provision
1. Regulations (EC) No 1084/2003 and (EC) No 1085/2003 are hereby repealed.
References to the repealed Regulations shall be construed as references to this Regulation.
2. By way of derogation from paragraph 1, Regulations (EC) Nos 1084/2003 and 1085/2003 shall continue to apply to valid notifications or applications for variations which are pending at the date referred to in the second subparagraph of Article 28.
Article 28
Entry into force
This Regulation shall enter into force on the 20th day following its publication in the Official Journal of the European Union .
It shall apply from 1 January 2010.
By way of derogation from the second subparagraph, the recommendations on unforeseen variations provided for in Article 5 may be requested, delivered and published from the date of entry into force referred to in the first subparagraph.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX I
Extensions of marketing authorisations
<table><col/><col/><tr><td><p>1.</p></td><td><p>Changes to the active substance(s):</p><div><div><span>(a) </span></div><div><p>replacement of a chemical active substance by a different salt/ester complex/derivative, with the same therapeutic moiety, where the efficacy/safety characteristics are not significantly different;</p></div></div><div><div><span>(b) </span></div><div><p>replacement by a different isomer, a different mixture of isomers, of a mixture by an isolated isomer (e.g. racemate by a single enantiomer), where the efficacy/safety characteristics are not significantly different;</p></div></div><p><a>▼M2</a></p><div><div><span>(c) </span></div><div><p>replacement of a biological active substance with one of a slightly different molecular structure where the efficacy and/or safety characteristics are not significantly different, with the exception of:</p><div><div><span>— </span></div><div><div>changes to the active substance of a seasonal, pre-pandemic or pandemic vaccine against human influenza;</div></div></div><div><div><span>— </span></div><div><div>replacement or addition of a serotype, strain, antigen or coding sequence or combination of serotypes, strains, antigens or coding sequences for a human coronavirus vaccine;</div></div></div><div><div><span>— </span></div><div><div>replacement or addition of a serotype, strain, antigen or combination of serotypes, strains or antigens for a veterinary vaccine against avian influenza, foot-and-mouth disease or bluetongue;</div></div></div><div><div><span>— </span></div><div><div>replacement of a strain for a veterinary vaccine against equine influenza;</div></div></div></div></div><p><a>▼B</a></p><div><div><span>(d) </span></div><div><p>modification of the vector used to produce the antigen or the source material, including a new master cell bank from a different source, where the efficacy/safety characteristics are not significantly different;</p></div></div><div><div><span>(e) </span></div><div><p>a new ligand or coupling mechanism for a radiopharmaceutical, where the efficacy/safety characteristics are not significantly different;</p></div></div><div><div><span>(f) </span></div><div><p>change to the extraction solvent or the ratio of herbal drug to herbal drug preparation where the efficacy/safety characteristics are not significantly different.</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>2.</p></td><td><p>Changes to strength, pharmaceutical form and route of administration:</p><div><div><span>(a) </span></div><div><p>change of bioavailability;</p></div></div><div><div><span>(b) </span></div><div><p>change of pharmacokinetics e.g. change in rate of release;</p></div></div><div><div><span>(c) </span></div><div><p>change or addition of a new strength/potency;</p></div></div><div><div><span>(d) </span></div><div><p>change or addition of a new pharmaceutical form;</p></div></div><div><div><span>(e) </span></div><div><p>change or addition of a new route of administration (<a><span>3</span></a>).</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>3.</p></td><td><p>Other changes specific to veterinary medicinal products to be administered to food-producing animals: change or addition of target species.</p></td></tr></table>
ANNEX II
Classification of variations
<table><col/><col/><tr><td><p>1.</p></td><td><p>The following variations shall be classified as minor variations of type IA:</p><div><div><span>(a) </span></div><div><p>variations of purely administrative nature that are related to the identity and contact details of:</p><div><div><span>— </span></div><div><div>the holder;</div></div></div><div><div><span>— </span></div><div><div>the manufacturer or supplier of any starting material, reagent, intermediate, active substance used in the manufacturing process or finished product;</div></div></div></div></div><div><div><span>(b) </span></div><div><p>variations related to the deletion of any manufacturing site, including for an active substance, intermediate or finished product, packaging site, manufacturer responsible for batch release, site where batch control takes place;</p></div></div><div><div><span>(c) </span></div><div><p>variations related to minor changes to an approved physico-chemical test procedure, where the updated procedure is demonstrated to be at least equivalent to the former test procedure, appropriate validation studies have been performed and the results show that the updated test procedure is at least equivalent to the former;</p></div></div><div><div><span>(d) </span></div><div><p>variations related to changes made to the specifications of the active substance or of an excipient in order to comply with an update of the relevant monograph of the European Pharmacopoeia or of the national pharmacopoeia of a Member State, where the change is made exclusively to comply with the pharmacopoeia and the specifications for product specific properties are unchanged;</p></div></div><div><div><span>(e) </span></div><div><p>variations related to changes in the packaging material not in contact with the finished product, which do not affect the delivery, use, safety or stability of the medicinal product;</p></div></div><div><div><span>(f) </span></div><div><p>variations related to the tightening of specification limits, where the change is not a consequence of any commitment from previous assessment to review specification limits and does not result from unexpected events arising during manufacture.</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>2.</p></td><td><p>The following variations shall be classified as major variations of type II:</p><div><div><span>(a) </span></div><div><p>variations related to the addition of a new therapeutic indication or to the modification of an existing one;</p></div></div><div><div><span>(b) </span></div><div><p>variations related to significant modifications of the summary of product characteristics due in particular to new quality, pre-clinical, clinical or pharmacovigilance findings;</p></div></div><div><div><span>(c) </span></div><div><p>variations related to changes outside the range of approved specifications, limits or acceptance criteria;</p></div></div><div><div><span>(d) </span></div><div><p>variations related to substantial changes to the manufacturing process, formulation, specifications or impurity profile of the active substance or finished medicinal product which may have a significant impact on the quality, safety or efficacy of the medicinal product;</p></div></div><div><div><span>(e) </span></div><div><p>variations related to modifications in the manufacturing process or sites of the active substance for a biological medicinal product;</p></div></div><div><div><span>(f) </span></div><div><p>variations related to the introduction of a new design space or the extension of an approved one, where the design space has been developed in accordance with the relevant European and international scientific guidelines;</p></div></div><div><div><span>(g) </span></div><div><p>variations concerning a change to or addition of a non-food producing target species;</p></div></div><div><div><span>(h) </span></div><div><p>variations concerning the replacement or addition of a serotype, strain, antigen or combination of serotypes, strains or antigens for a veterinary vaccine against avian influenza, foot-and-mouth disease or bluetongue;</p></div></div><div><div><span>(i) </span></div><div><p>variations concerning the replacement of a strain for a veterinary vaccine against equine influenza;</p></div></div><div><div><span>(j) </span></div><div><p>variations related to changes to the active substance of a seasonal, pre-pandemic or pandemic vaccine against human influenza;</p></div></div><div><div><span>(k) </span></div><div><p>variations related to changes to the withdrawal period for a veterinary medicinal product;</p></div></div><p><a>▼M2</a></p><div><div><span>(l) </span></div><div><p>variations related to the replacement or addition of a serotype, strain, antigen or coding sequence or combination of serotypes, strains, antigens or coding sequences for a human coronavirus vaccine.</p></div></div><p><a>▼B</a></p></td></tr></table>
ANNEX III
Cases for grouping variations referred to in Article 7(2)(b) and Article 13d(2)(b)
<table><col/><col/><tr><td><p>1.</p></td><td><p>One of the variations in the group is an extension of the marketing authorisation.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.</p></td><td><p>One of the variations in the group is a major variation of type II; all other variations in the group are variations which are consequential to this major variation of type II.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.</p></td><td><p>One of the variations in the group is a minor variation of type IB; all other variations in the group are minor variations which are consequential to this minor variation of type IB.</p></td></tr></table>
<table><col/><col/><tr><td><p>4.</p></td><td><p>All variations in the group relate solely to changes of administrative nature to the summary of product characteristics, labelling and package leaflet or insert.</p></td></tr></table>
<table><col/><col/><tr><td><p>5.</p></td><td><p>All variations in the group are changes to an Active Substance Master File, Vaccine Antigen Master File or Plasma Master File.</p></td></tr></table>
<table><col/><col/><tr><td><p>6.</p></td><td><p>All variations in the group relate to a project intended to improve the manufacturing process and the quality of the medicinal product concerned or its active substance(s).</p></td></tr></table>
<table><col/><col/><tr><td><p>7.</p></td><td><p>All variations in the group are changes affecting the quality of a human pandemic influenza vaccine.</p></td></tr></table>
<table><col/><col/><tr><td><p>8.</p></td><td><p>All variations in the group are changes to the pharmacovigilance system referred to in points (ia) and (n) of Article 8(3) of Directive 2001/83/EC or points (k) and (o) of Article 12(3) of Directive 2001/82/EC.</p></td></tr></table>
<table><col/><col/><tr><td><p>9.</p></td><td><p>All variations in the group are consequential to a given urgent safety restriction and submitted in accordance with Article 22.</p></td></tr></table>
<table><col/><col/><tr><td><p>10.</p></td><td><p>All variations in the group relate to the implementation of a given class labelling.</p></td></tr></table>
<table><col/><col/><tr><td><p>11.</p></td><td><p>All variations in the group are consequential to the assessment of a given periodic safety update report.</p></td></tr></table>
<table><col/><col/><tr><td><p>12.</p></td><td><p>All variations in the group are consequential to a given post-authorisation study conducted under the supervision of the holder.</p></td></tr></table>
<table><col/><col/><tr><td><p>13.</p></td><td><p>All variations in the group are consequential to a specific obligation carried out pursuant to Article 14(7) of Regulation (EC) No 726/2004.</p></td></tr></table>
<table><col/><col/><tr><td><p>14.</p></td><td><p>All variations in the group are consequential to a specific procedure or condition carried out pursuant to Articles 14(8) or 39(7) of Regulation (EC) No 726/2004, Article 22 of Directive 2001/83/EC or Article 26(3) of Directive 2001/82/EC.</p></td></tr></table>
ANNEX IV
Elements to be submitted
<table><col/><col/><tr><td><p>1.</p></td><td><p>A list of all the marketing authorisations affected by the notification or application.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.</p></td><td><p>A description of all the variations submitted, including:</p><div><div><span>(a) </span></div><div><p>in the case of minor variations of type IA, the date of implementation for each variation described;</p></div></div><div><div><span>(b) </span></div><div><p>in the case of minor variations of type IA which do not require immediate notification, a description of all minor variations of type IA made in the last 12 months to the terms of the concerned marketing authorisation(s) and which have not been already notified.</p></div></div></td></tr></table>
<table><col/><col/><tr><td><p>3.</p></td><td><p>All necessary documents as listed in the guidelines referred to in point (b) of Article 4(1).</p></td></tr></table>
<table><col/><col/><tr><td><p>4.</p></td><td><p>Where a variation leads to or is the consequence of other variations to the terms of the same marketing authorisation, a description of the relation between these variations.</p></td></tr></table>
<table><col/><col/><tr><td><p>5.</p></td><td><p>In the case of variations to centralised marketing authorisations, the relevant fee provided for in Council Regulation (EC) No 297/95 (<a><span>4</span></a>).</p></td></tr></table>
<table><col/><col/><tr><td><p>6.</p></td><td><p>In the case of variations to marketing authorisations granted by the competent authorities of Member States:</p><div><div><span>(a) </span></div><div><p>a list of those Member States with an indication of the reference Member State if applicable;</p></div></div><div><div><span>(b) </span></div><div><p>the relevant fees provided for in the applicable national rules in the Member States concerned.</p></div></div></td></tr></table>
ANNEX V
PART 1
Variations concerning a change to or addition of therapeutic indications.
PART 2
<table><col/><col/><tr><td><p>1.</p></td><td><p>Variations concerning a change to or addition of a non-food producing target species.</p></td></tr></table>
<table><col/><col/><tr><td><p>2.</p></td><td><p>Variations concerning the replacement or addition of a serotype, strain, antigen or combination of serotypes, strains or antigens for a veterinary vaccine against avian influenza, foot-and-mouth disease or bluetongue.</p></td></tr></table>
<table><col/><col/><tr><td><p>3.</p></td><td><p>Variations concerning the replacement of a strain for a veterinary vaccine against equine influenza.</p></td></tr></table>
ANNEX VI
List of Member States referred in Article 24a
the Republic of Bulgaria,
the Federal Republic of Germany.
<note>
( 1 ) OJ L 15, 17.1.1987, p. 38.
( 2 ) Decision No 1082/2013/EU of the European Parliament and of the Council of 22 October 2013 on serious cross-border threats to health and repealing Decision No 2119/98/EC (OJ L 293, 5.11.2013, p. 1).
( 3 ) For parenteral administration, it is necessary to distinguish between intra-arterial, intravenous, intramuscular, subcutaneous and other routes. For administration to poultry, respiratory, oral and ocular (nebulisation) routes used for vaccination are considered to be equivalent routes of administration.
( 4 ) OJ L 35, 15.2.1995, p. 1.
</note> | ENG | 02008R1234-20210513 |
<table><col/><col/><col/><col/><tbody><tr><td><p>1.3.2019   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 62/1</p></td></tr></tbody></table>
COMMISSION REGULATION (EU) 2019/343
of 28 February 2019
providing derogations from Article 1(3) of Regulation (EC) No 1924/2006 of the European Parliament and of the Council on nutrition and health claims made on food for the use of certain generic descriptors
(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 1924/2006 of the European Parliament and of the Council of 20 December 2006 on nutrition and health claims made on foods ( 1 ) , and in particular Article 1(4) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Pursuant to Regulation (EC) No 1924/2006, any claim made on food which states, suggests or implies that a relationship exists between a food category, a food or one of its constituents and health is to be considered as a health claim and therefore must comply with that Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Article 1(4) of Regulation (EC) No 1924/2006 provides for a possible derogation from the rules applicable pursuant to Article 1(3) of that Regulation for generic descriptors (denominations) which have traditionally been used to indicate a particularity of a class of foods or beverages which could imply an effect on human health.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Applications for a term to be used as generic descriptor may be submitted by food business operators to the national competent authority of a recipient Member State.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Pursuant to Commission Regulation (EU) No 907/2013 <a>(<span>2</span>)</a> setting the rules for applications concerning the use of generic descriptors (denominations), a valid application should be transmitted to the Commission and to all Member States; Member States concerned by the application shall provide the Commission with their opinions thereon.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Following receipt of a valid application and the opinions of Member States concerned the Commission may initiate the procedure of approval of the generic descriptor pursuant to Article 1(4) of Regulation (EC) No 1924/2006.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>On 13 April 2015, the Austrian competent authority provided the Commission with an application from the Austrian Food Industries' Association, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the terms ‘Hustenbonbon’ and ‘Hustenstopper’ to be used as generic descriptors in Austria.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>On 13 April 2015, the Austrian competent authority provided the Commission with an application from Drapal GmbH, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the term ‘Hustenzuckerl’ to be used as generic descriptor in Austria.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>On 19 May 2015, the German competent authority provided the Commission with an application from the Association of the German Confectionary Industry, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the term ‘Brust-Caramellen’ to be used as generic descriptors in Germany and in Austria.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>On 29 May 2015, the German competent authority provided the Commission with an application from SOLDAN Holding + Bonbonspezialitäten GmbH and from the Association of the German Confectionery Industry, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the term ‘Hustenmischung’ to be used as generic descriptor in Germany.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>On 8 June 2015, the German competent authority provided the Commission with an application from SOLDAN Holding + Bonbonspezialitäten GmbH, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the term ‘Hustenperle’ to be used as generic descriptor in Germany.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>On 18 June 2015, the German competent authority provided the Commission with two applications from SOLDAN Holding + Bonbonspezialitäten GmbH and the Association of the German Confectionery Industry, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the terms ‘Halsbonbon’ and ‘keelpastille’ to be used as generic descriptors in Germany (‘Halsbonbon’) and in the Netherlands (‘keelpastille’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>On 18 November 2015, the German competent authority provided the Commission with three applications from SOLDAN Holding + Bonbonspezialitäten GmbH, Josef Mack GmbH & Co. KG and the Association of the German Confectionery Industry, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the terms ‘Hustenbonbon’, ‘hoestbonbon’, ‘rebucados para a tosse’, and ‘cough drops’, to be used as generic descriptors in Germany and in Austria (‘Hustenbonbon’), in the Netherlands (‘hoestbonbon’), in Portugal (‘rebucados para a tosse’) and in the United Kingdom (‘cough drops’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>The Austrian and German competent authorities provided all other Member States with the applications. The competent authorities of Member States concerned provided the Commission with their opinions on the applications.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>The terms ‘Hustenbonbon’, ‘Hustenstopper’, ‘Hustenzuckerl’, ‘Brust-Caramellen’, ‘Hustenmischung’, ‘Hustenperle’‘Halsbonbon’, ‘keelpastille’, ‘hoestbonbon’, ‘rebuçados para a tosse’, and ‘cough drops’ fall into the scope of Regulation (EC) No 1924/2006, because they can imply a relationship between the foods bearing these terms and health.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>However, evidence has been provided that these terms have been traditionally used in Germany and in Austria (‘Hustenbonbon’, ‘Brust-Caramellen’), in Germany (‘Halsbonbon’, ‘Hustenmischung’ and ‘Hustenperle’), in Austria (‘Hustenstopper’ and ‘Hustenzuckerl’), in the Netherlands (‘keelpastille’, and ‘hoestbonbon’), in Portugal (‘rebuçados para a tosse’) and in the United Kingdom (‘cough drops’) in the meaning of Article 1(4) of this Regulation, as generic descriptors to describe a class of sweets based on sugars as well as sugar-free and calorie-reduced variants based on sweeteners (polyols and/or intense sweeteners) containing extracts of herbs, fruit or other plant substances, such as menthol, honey or malt.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>In particular, the terms ‘Hustenbonbon’, ‘Brust-Caramellen’, ‘Halsbonbon’, ‘Hustenmischung’, ‘Hustenperle’, ‘Hustenstopper’, ‘Hustenzuckerl’, ‘keelpastille’, ‘hoestbonbon’, ‘rebuçados para a tosse’ and ‘cough drops’ have neither been used in Germany, in Austria, in the Netherlands, in Portugal and in the United Kingdom respectively, with the aim to indicate a health effect of this class of food nor are understood by an average consumer as claiming a health effect of this class of food.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>Derogation from Regulation (EC) No 1924/2006 should therefore be granted for the use of the generic descriptors ‘Hustenbonbon’ and ‘Brust-Caramellen’ in Germany and in Austria, ‘Halsbonbon’, ‘Hustenmischung’ and ‘Hustenperle’ in Germany, ‘Hustenstopper’ and ‘Hustenzuckerl’ in Austria, ‘keelpastille’ and ‘hoestbonbon’ in the Netherlands, ‘rebuçados para a tosse’ in Portugal and ‘cough drops’ in the United Kingdom when used in the respective Member State on sweets based on sugars as well as sugar-free and calorie-reduced variants based on sweeteners (polyols and/or intense sweeteners) containing extracts of herbs, fruit or other plant substances, honey or malt.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>On 12 January 2017, the Finnish competent authority provided the Commission with an application from the Finnish Food Industries' Association, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the term ‘kurkkupastilli/halspastill’ to be used as generic descriptor in Finland.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>The Finnish competent authority provided all other Member States with the application; it also provided the Commission with its opinion on the application.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>The term ‘kurkkupastilli/halspastill’ falls into the scope of Regulation (EC) No 1924/2006, because it can imply a relationship between foods bearing this term and health. However, evidence has been provided that this term has been used traditionally in Finland, in the meaning of Article 1(4) of this Regulation, as generic descriptor to describe a class of sweets based on sugars as well as sugar-free and calorie-reduced variants based on sweeteners (polyols and/or intense sweeteners).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>In particular, the term ‘kurkkupastilli/halspastill’ has neither been used in Finland with the aim to indicate a health effect of this class of food nor is understood by an average consumer as claiming a health effect of this class of food.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>Derogation from Regulation (EC) No 1924/2006 should therefore be granted for the use of the generic descriptor ‘kurkkupastilli/halspastill’ when used in Finland on hard sweets based on sugars as well as sugar-free and calorie-reduced variants based on sweeteners (polyols and/or intense sweeteners).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>On 13 April 2015, the Austrian competent authority provided the Commission with an application from Drapal GmbH, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the term ‘Hustensirup’ to be used as generic descriptor in Austria.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>The Austrian competent authority provided all other Member States with the application; it also provided the Commission with its opinion on the application.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>The term ‘Hustensirup’ falls into the scope of Regulation (EC) No 1924/2006, because it can imply a relationship between foods bearing this term and health. However, evidence has been provided that this term has been used traditionally in Austria, in the meaning of Article 1(4) of this Regulation, as generic descriptor to describe a class of confectionery products made of solutions of sugar, starch syrup, inverted sugar and/or honey with the addition of herbal ingredients, ‘Hustensirup’ referring to a class of products in the form of a syrup.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>In particular, the term ‘Hustensirup’ has neither been used with the aim to indicate a health effect of this class of food nor is understood by an average consumer as claiming a health effect of this class of food in Austria.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>Derogation from Regulation (EC) No 1924/2006 should therefore be granted for the use of the generic descriptor ‘Hustensirup’ when used in Austria on confectionery products made of solutions of sugar, starch syrup, inverted sugar and/or honey with the addition of herbal ingredients in the form of syrup.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>Definitions for sugars intended for human consumption have been laid down in point A of the Annex to Council Directive 2001/111/EC <a>(<span>3</span>)</a>. In order to ensure legal certainty, those definitions should also apply for the purpose of this Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>On 2 April 2015, the UK competent authority provided the Commission with an application from the British Soft Drinks Association, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the term ‘tonic’ (in English) used as part of the descriptive name of a beverage in the form of ‘tonic water’, ‘Indian tonic water’ or ‘quinine tonic water’ and substituted in the same descriptive names with ‘tonique’ (in French), ‘tónico’ or ‘tonica’ (in Italian, Spanish, and Portuguese), ‘τονωτικό’ or ‘tonotiko’ (in Greek), ‘tonik’ (in Croatian, Czech, Hungarian, Polish, Slovak and Slovenian), ‘тоник’ (in Bulgarian), to be used as generic descriptor in all Member States except in Romania.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>On 30 September 2015, the Romanian competent authority provided the Commission with an application from the Romanian Soft Drinks Association, submitted pursuant Article 1(4) of Regulation (EC) No 1924/2006, for the term ‘tonic’ (in English) used as part of the descriptive name of a beverage in the form of ‘tonic water’, ‘Indian tonic water’ or ‘quinine tonic water’ and substituted in the same descriptive names with ‘tónico’, ‘tonică’ or ‘tonica’ (in Romanian), to be used as generic descriptor in Romania.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>The UK competent authority and the Romanian competent authority provided all other Member States with the applications; Member States have provided the Commission with their opinions on these applications.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>The Greek competent authority considers that the term ‘τονωτικό’ and ‘tonotiko’ (‘τονωτικό’ with Latin characters) are considered as health claims within the meaning of Regulation (EC) No 1924/2006. The Greek competent authority further considers that for non-alcoholic beverages containing quinine, the term ‘tonic’ used as part of the customary name of the food is traditionally widely used in Greece.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(33)</p></td><td><p>The German competent authority and the Austrian competent authority consider that the term ‘tonic’ used as part of ‘tonic water’, ‘Indian tonic water’ or ‘quinine tonic water’ is part of a customary name of the beverage and as such out of the scope of Regulation (EC) No 1924/2006.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(34)</p></td><td><p>The French competent authority considers that the term ‘tonique’ is not used to describe a non-alcoholic carbonated beverage containing the bittering agent quinine.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(35)</p></td><td><p>Certain competent authorities consider that when the term ‘tonic’ (in English) is substituted by ‘tonik’ in Croatian, Hungarian, Polish and Slovenian, it is not considered as a health claim in those respective Member States within the meaning of Regulation (EC) No 1924/2006; therefore in their views these terms are out of the scope of the Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(36)</p></td><td><p>The term ‘tonic’ and the equivalent linguistic forms, namely, ‘tonik’, ‘tónico’, ‘tónica’ and ‘tonică’, when they are used as part of the descriptive name of a beverage, fall into the scope of Regulation (EC) No 1924/2006, because they can imply a relationship between a food bearing this term and health. However, evidence has been provided that these terms have been used traditionally, in the meaning of Article 1(4) of this Regulation, as generic descriptors to describe a class of beverages, namely, a non-alcoholic carbonated beverage containing the bittering agent quinine in the form of the flavourings FL 14.011, FL 14.152 or FL 14.155 as referred to in the Union list of flavourings laid down in Regulation (EC) No 1334/2008 of the European Parliament and of the Council <a>(<span>4</span>)</a> on flavourings and certain food ingredients with flavouring properties for use in and on foods.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(37)</p></td><td><p>In particular, the terms ‘tonic’ and the equivalent linguistic forms, namely, ‘tonik’, ‘tónico’, ‘tónica’ and ‘tonică’, when they are used as part of the descriptive name of a beverage, have neither been used with the aim to indicate a health effect of this class of beverages nor are understood by an average consumer as claiming a health effect of this class of beverages.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(38)</p></td><td><p>Derogation from Regulation (EC) No 1924/2006 should therefore be granted for the use of the generic descriptor ‘tonic’ (in English), when used as part of the descriptive name of a non-alcoholic carbonated beverage containing the bittering agent quinine in the form of the flavourings FL 14.011, FL 14.152 or FL 14.155 as referred to in the Union list of flavourings as laid down in Regulation (EC) No 1334/2008. The term ‘tonic’ (in English) may be substituted in the descriptive name by ‘тоник’ (in Bulgarian), ‘tonik’ (in Czech and in Slovak), ‘tónica’ (in Spanish and in Portuguese) ‘tonica’ (in Italian), or ‘tonică’ (in Romanian).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(39)</p></td><td><p>On 23 April 2015, the Italian competent authority provided the Commission with an application from Monviso SpA, submitted pursuant to Article 1(4) of Regulation (EC) No 1924/2006, for the term ‘biscotto salute’ to be used as generic descriptor in Italy and in Malta.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(40)</p></td><td><p>The Italian competent authority provided all other Member States with the application; the Member States concerned have provided the Commission with their opinions on the application.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(41)</p></td><td><p>The term ‘biscotto salute’ falls into the scope of Regulation (EC) No 1924/2006, because it can imply a relationship between a food bearing this term and health. However, evidence has been provided that this term has been used traditionally in Italy, in the meaning of Article 1(4) of this Regulation, as a generic descriptor to describe a class of rusk-type bakery products.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(42)</p></td><td><p>In particular, the term ‘biscotto salute’ has neither been used with the aim to indicate a health effect of this class of foods nor is understood by an average consumer as claiming the health effect of this class of food in Italy.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(43)</p></td><td><p>Malta indicated that the term ‘biscotto salute’ was not used to describe rusk-type bakery products on the Maltese market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(44)</p></td><td><p>Derogation from Regulation (EC) No 1924/2006 should therefore be granted for the use of the generic descriptor ‘biscotto salute’ when used in Italy on rusk-type bakery products.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(45)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The generic descriptors listed in the Annex to this Regulation are exempted from the application of Article 1(3) of Regulation (EC) No 1924/2006 under the conditions laid down in that Annex.
Article 2
For the purposes of this Regulation, the definitions for sugars intended for human consumption laid down in point A of the Annex to Council Directive 2001/111/EC shall apply.
Article 3
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, 28 February 2019.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 404, 30.12.2006, p. 9 .
( 2 ) Commission Regulation (EU) No 907/2013 of 20 September 2013 setting up the rules for applications concerning the use of generic descriptors (denominations) ( OJ L 251, 21.9.2013, p. 7 ).
( 3 ) Council Directive 2001/111/EC of 20 December 2001 relating to certain sugars intended for human consumption ( OJ L 10, 12.1.2002, p. 53 ).
( 4 ) Regulation (EC) No 1334/2008 of the European Parliament and of the Council of 16 December 2008 on flavourings and certain food ingredients with flavouring properties for use in and on foods and amending Council Regulation (EEC) No 1601/91, Regulations (EC) No 2232/96 and (EC) No 110/2008 and Directive 2000/13/EC ( OJ L 354, 31.12.2008, p. 34 ).
ANNEX
<table><col/><col/><col/><tbody><tr><td><p>Class of food</p></td><td><p>Generic descriptor</p></td><td><p>Member States where the exemption is valid</p></td></tr><tr><td><p>Hard and soft sweets based on sugars as well as sugar-free and calorie-reduced variants based on sweeteners (polyols and/or intense sweeteners) containing extracts of herbs, fruit or other plant substances, honey or malt</p></td><td><p>Brust-Caramellen Hustenbonbon</p></td><td><p>Germany, Austria</p></td></tr><tr><td><p>Halsbonbon,</p><p>Hustenmischung,</p><p>Hustenperle</p></td><td><p>Germany</p></td></tr><tr><td><p>Hustenstopper,</p><p>Hustenzuckerl</p></td><td><p>Austria</p></td></tr><tr><td><p>Cough drops</p></td><td><p>United Kingdom</p></td></tr><tr><td><p>Hoestbonbon,</p><p>Keelpastille</p></td><td><p>Netherlands</p></td></tr><tr><td><p>Rebuçados para a tosse</p></td><td><p>Portugal</p></td></tr><tr><td><p>Hard sweets based on sugars as well as sugar-free and calorie-reduced variants based on sweeteners (polyols and/or intense sweeteners)</p></td><td><p>Kurkkupastilli/ Halspastill</p></td><td><p>Finland</p></td></tr><tr><td><p>Confectionery products made of solutions of sugar, starch syrup, inverted sugar and/or honey with the addition of herbal ingredients in the form of a syrup</p></td><td><p>Hustensirup</p></td><td><p>Austria</p></td></tr><tr><td><p>Non-alcoholic carbonated beverage containing the bittering agent quinine in the form of the flavourings FL 14.011, FL 14.152 or FL 14.155 as referred to in the Union list of flavourings as laid down in Annex I to Regulation (EC) No 1334/2008</p></td><td><p>The following terms, used as part of the descriptive name of the beverage:</p><table><col/><col/><tbody><tr><td><p> </p></td><td><p>‘tonic’ (in English), substituted by ‘<span>Tоник</span>’ (in Bulgarian),</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>‘tonik’ (in Czech and in Slovak),</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>‘tónica’ (in Spanish and in Portuguese),</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>‘tonica’ (in Italian),</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>‘tonică’ (in Romanian)</p></td></tr></tbody></table></td><td><p>All Member States</p></td></tr><tr><td><p>Rusk-type bakery products</p></td><td><p>Biscotto salute</p></td><td><p>Italy</p></td></tr></tbody></table> | ENG | 32019R0343 |
<table><col/><col/><col/><col/><tbody><tr><td><p>19.5.2015   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 123/1</p></td></tr></tbody></table>
REGULATION (EU) 2015/751 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 29 April 2015
on interchange fees for card-based payment transactions
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114(1) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Central Bank ( 1 ) ,
Having regard to the opinion of the European Economic and Social Committee ( 2 ) ,
Acting in accordance with the ordinary legislative procedure ( 3 ) ,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Fragmentation of the internal market is detrimental to competitiveness, growth and job creation within the Union. Eliminating direct and indirect obstacles to the proper functioning and completion of an integrated market for electronic payments, with no distinction between national and cross-border payments, is necessary for the proper functioning of the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Directive 2007/64/EC of the European Parliament and of the Council <a>(<span>4</span>)</a> has provided a legal foundation for the creation of a Union-wide internal market for payments as it substantially facilitated the activity of payment service providers, creating uniform rules with respect to the provision of payment services.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Regulation (EC) No 924/2009 of the European Parliament and of the Council <a>(<span>5</span>)</a> established the principle that charges paid by users for a cross-border payment in euro are the same as for the corresponding payment within a Member State including card-based payment transactions covered by this Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Regulation (EU) No 260/2012 of the European Parliament and of the Council <a>(<span>6</span>)</a> provided the rules for the functioning of credit transfers and direct debits in euro in the internal market but excluded card-based payment transactions from its scope.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Directive 2011/83/EU of the European Parliament and of the Council <a>(<span>7</span>)</a> aims to harmonise certain rules on contracts concluded between consumers and traders, including rules on fees for the use of means of payment, on the basis of which Member States prohibit traders from charging consumers, in respect of the use of a given means of payment, fees that exceed the cost borne by the trader for the use of such means.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Secure, efficient, competitive and innovative electronic payments are crucial if consumers, merchants and companies are to enjoy the full benefits of the internal market, especially as the world moves towards e-commerce.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Some Member States have issued or are preparing legislation to regulate directly or indirectly interchange fees and covering a number of issues, including caps on interchange fees at various levels, merchant fees, the ‘Honour All Cards’ rule and steering measures. The existing administrative decisions in some Member States vary significantly. To make the levels of interchange fees more consistent, a further introduction of regulatory measures at national level aimed at addressing the levels of, or discrepancies between, those fees is anticipated. Such national measures would be likely to lead to significant barriers to the completion of the internal market in the area of card-based payments and internet and mobile payments based on cards and would therefore hinder the freedom to provide services.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Payment cards are the most frequently used electronic payment instrument for retail purchases. However, integration of the Union payment card market is far from complete as many payment solutions cannot develop beyond their national borders and new pan-Union players are prevented from entering the market. There is a need to remove obstacles to the efficient functioning of the card market, including in the area of card-based payments and internet and mobile payments based on cards.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>To enable the internal market to function effectively, the use of electronic payments should be promoted and facilitated to the benefit of merchants and consumers. Cards and other electronic payments can be used in a more versatile manner, including possibilities to pay online in order to take advantage of the internal market and e-commerce, whilst electronic payments also provide merchants with potentially secure payments. Card-based payment transactions instead of payments in cash could therefore be beneficial for merchants and consumers, provided that the fees for the use of the payment card schemes are set at an economically efficient level, whilst contributing to fair competition, innovation and market entry of new operators.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>Interchange fees are usually applied between the card-acquiring payment service providers and the card-issuing payment service providers belonging to a certain payment card scheme. Interchange fees are a main part of the fees charged to merchants by acquiring payment service providers for every card-based payment transaction. Merchants in turn incorporate those card costs, like all their other costs, in the general prices of goods and services. Competition between payment card schemes to convince payment service providers to issue their cards leads to higher rather than lower interchange fees on the market, in contrast with the usual price-disciplining effect of competition in a market economy. In addition to a consistent application of the competition rules to interchange fees, regulating such fees would improve the functioning of the internal market and contribute to reducing transaction costs for consumers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The existing wide variety of interchange fees and their level prevent the emergence of new pan-Union players on the basis of business models with lower or no interchange fees, to the detriment of potential economies of scale and scope and their resulting efficiencies. This has a negative impact on merchants and consumers and prevents innovation. As pan-Union players would, as a minimum, have to offer issuing banks the highest level of interchange fee prevailing in the market they want to enter, it also results in persisting market fragmentation. Existing domestic schemes with lower or no interchange fees may also be forced to exit the market because of the pressure from banks to obtain higher interchange fees revenues. As a result, consumers and merchants face restricted choice, higher prices and lower quality of payment services, while their ability to use pan-Union payment solutions is also restricted. In addition, merchants cannot overcome the fee differences by making use of card acceptance services offered by banks in other Member States. Specific rules applied by the payment card schemes require the application of the interchange fee of the ‘point of sale’ (country of the merchant) for each payment transaction, on the basis of their territorial licensing policies. This requirement prevents acquirers from successfully offering their services on a cross-border basis. It can also prevent merchants from reducing their payment costs to the benefit of consumers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>The application of existing legislation by the Commission and national competition authorities has not been able to redress this situation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>Therefore, to avoid fragmentation of the internal market and significant distortions of competition through diverging laws and administrative decisions, there is a need, in line with Article 114 of the Treaty on the Functioning of the European Union, to take measures to address the problem of high and divergent interchange fees, to allow payment service providers to provide their services on a cross-border basis and for consumers and merchants to use cross-border services.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>The application of this Regulation should be without prejudice to the application of Union and national competition rules. It should not prevent Member States from maintaining or introducing lower caps or measures of equivalent object or effect through national legislation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>In order to facilitate the smooth functioning of an internal market for card-based payments and internet and mobile payments based on cards, to the benefit of consumers and merchants, this Regulation should apply to cross-border and domestic issuing and acquiring of card-based payment transactions. If merchants can choose an acquirer outside their own Member State (‘cross-border acquiring’), which will be facilitated by the imposition of the same maximum level of both domestic and cross-border interchange fees for acquired transactions and the prohibition of territorial licensing, it should be possible to provide the necessary legal clarity and to prevent distortions of competition between payment card schemes.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>As a consequence of unilateral undertakings and commitments accepted in the framework of competition proceedings, many cross-border card-based payment transactions in the Union are already carried out respecting the maximum interchange fees. In order to provide for fair competition in the market for acquiring services, the provisions relating to cross-border and to domestic transactions should apply simultaneously and within a reasonable period after the entry into force of this Regulation, taking account of the difficulty and complexity of the migration of payment card schemes, which this Regulation necessitates.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>There are two main types of credit cards available on the market. With deferred debit cards, the total amount of transactions is debited from the cardholder account at a pre-agreed specific date, usually once a month, without interest to be paid. With other credit cards, the cardholder can use a credit facility in order to reimburse part of the amounts due at a later date than specified, together with interest or other costs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>All debit and credit card-based payment transactions should be subject to a maximum interchange fee rate.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>The impact assessment shows that a prohibition of interchange fees for debit card transactions would be beneficial for card acceptance, card usage, the development of the single market and generate more benefits to merchants and consumers than a cap set at any higher level. Moreover, it would avoid negative effects resulting from a higher cap in those national schemes that have very low or zero interchange fees for debit transactions due to cross-border expansion or new market entrants increasing fee levels to the level of the cap. A ban on interchange fees for debit card transactions also addresses the threat of exporting the interchange fee model to new, innovative payment services such as mobile and online systems.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>The caps in this Regulation are based on the so-called ‘Merchant Indifference Test’ developed in economic literature, which identifies the fee level a merchant would be willing to pay if the merchant were to compare the cost of the customer's use of a payment card with those of non-card (cash) payments (taking into account the fee for service paid to acquiring banks, i.e. the merchant service charge and the interchange fee). It thereby stimulates the use of efficient payment instruments through the promotion of those cards that provide higher transactional benefits, while at the same time preventing disproportionate merchant fees, which would impose hidden costs on other consumers. Excessive merchant fees might otherwise arise due to the collective interchange fee arrangements, as merchants are reluctant to turn down costly payment instruments for fear of losing business. Experience has shown that those levels are proportionate, as they do not call into question the operation of international card schemes and payment service providers. They also provide benefits for merchants and consumers and provide legal certainty.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>Nevertheless, as shown in the impact assessment, in certain Member States interchange fees have developed so as to allow consumers to benefit from efficient debit card markets in terms of card acceptance and card usage with lower interchange fees than the merchant indifference level. Member States should therefore be able to establish lower interchange fees for domestic debit card transactions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>In addition, to ensure that debit card fees are set at an economically efficient level, taking into account the structure of domestic debit card markets, the possibility to express interchange fee caps as a flat rate should be maintained. A flat rate may also promote the use of card-based payments of small value amounts (‘micropayments’). It should also be possible to apply such a flat rate in combination with a percentage rate, provided that the sum of such interchange fees does not exceed the specified percentage of the total annual transaction value at domestic level within each payment card scheme. Furthermore it should be possible to define a lower per transaction percentage interchange fee cap, and to impose a fixed maximum fee amount as a limit to the fee amount resulting from the applicable per transaction percentage rate.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>Furthermore, taking into account that this Regulation undertakes harmonisation for the first time of interchange fees in a context where existing debit card schemes and interchange fees are very different, it is necessary to provide for flexibility for domestic payment cards markets. Therefore, during a reasonable transition period, in relation to domestic debit card transactions, Member States should be able to apply to all domestic debit card transactions within each payment card scheme a weighted average interchange fee of no more than the 0,2 % of the annual average transaction value of all domestic debit card transactions within each payment card scheme. In relation to the interchange fee cap calculated on the annual average transaction value within one payment card scheme, it is sufficient that a payment service provider participates in a payment card scheme (or some other type of agreements among payment service providers) in which, for all domestic debit card transactions, a weighted average interchange fee of no more than the 0,2 % is applied. Here, too, a flat fee or a percentage fee or a combination of the two can be applied provided that the weighted average maximum cap is respected.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>In order to define the relevant interchange fee caps for domestic debit card transactions, it is appropriate to allow national competent authorities entitled to ensure compliance with this Regulation to collect information regarding the volume and value of all debit card transactions within a payment card scheme or of the debit card transactions pertaining to one or more payment service providers. As a consequence, payment card schemes and payment service providers should be obliged to provide relevant data to national competent authorities as specified by those authorities and in accordance with the time limits set by them. Reporting obligations should extend to payment service providers such as issuers or acquirers and not only to payment card schemes, in order to ensure that any relevant information is made available to the competent authorities which should, in any case, be able to require that such information is collected through the payment card scheme. Moreover, it is important that Member States ensure an adequate level of disclosure of the relevant information concerning the applicable interchange fee caps. In light of the fact that payment card schemes are generally not payment service providers subject to prudential supervision, competent authorities may require that the information sent by these entities is certified by an independent auditor.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>Some payment instruments at domestic level enable the payer to initiate card-based payment transactions that are not distinguishable as debit or credit card transactions by the payment card scheme. The choices made by the cardholder are unknown to the payment card scheme and to the acquirer; as a consequence, the payment card scheme does not have the possibility of applying the different caps imposed by this Regulation for debit and credit card transactions, which are distinguishable on the basis of the timing agreed for the debiting of the payment transactions. Taking into account the need to preserve the functionality of the existing business models while avoiding unjustified or excessive costs of legal compliance and, at the same time, considering the importance of ensuring an adequate level playing field between the different categories of payment cards, it is appropriate to apply the same rule provided by this Regulation for the debit card transactions to such domestic ‘universal cards’ payment transactions. Nevertheless, a longer time period for adaptation should be left to those payment instruments. Therefore, by way of exception and during a transition period of 18 months after the entry into force of this Regulation, Member States should be able to define a maximum share of domestic ‘universal cards’ payment transactions which are considered as being equivalent to credit card transactions. For example, the credit card cap could be applied to the defined share of the total value of the transactions for merchants or acquirers. The mathematical result of the provisions would then be equivalent to the application of a single interchange fee cap on domestic payment transactions carried out with universal cards.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>This Regulation should cover all transactions where the payer's payment service provider and the payee's payment service provider are located in the Union.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>In accordance with the principle of technological neutrality set out in the Digital Agenda for Europe, this Regulation should apply to card-based payment transactions regardless of the environment in which this transaction takes place, including through retail payment instruments and services which can be off-line, on-line or mobile.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>Card-based payment transactions are generally carried out on the basis of two main business models, so-called ‘three party payment card schemes’ (cardholder — acquiring and issuing scheme — merchant) and ‘four party payment card schemes’ (cardholder — issuing bank — acquiring bank — merchant). Many four party payment card schemes use an explicit interchange fee, which is mostly multilateral. To acknowledge the existence of implicit interchange fees and contribute to the creation of a level playing field, three party payment card schemes using payment service providers as issuers or acquirers should be considered as four party payment card schemes and should follow the same rules, whilst transparency and other measures related to business rules should apply to all providers. However, taking into account the specificities which exist for such three party schemes, it is appropriate to allow for a transitional period during which Member States may decide not to apply the rules concerning the interchange fee cap if such schemes have a very limited market share in the Member State concerned.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>The issuing service is based on a contractual relationship between the issuer of the payment instrument and the payer, irrespective of whether the issuer is holding the funds on behalf of the payer. The issuer makes payment cards available to the payer, authorises transactions at terminals or their equivalent and may guarantee payment to the acquirer for transactions that are in conformity with the rules of the relevant scheme. Therefore, the mere distribution of payment cards or technical services, such as the mere processing and storage of data, does not constitute issuing.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>The acquiring service constitutes a chain of operations from the initiation of a card-based payment transaction to the transfer of the funds to the payment account of the payee. Depending on the Member State and the business model in place, the acquiring service is organised differently. Therefore the payment service provider paying the interchange fee does not always contract directly with the payee. Intermediaries providing part of the acquiring services but without direct contractual relationship with payees should nevertheless be covered in the definition of acquirer under this Regulation. The acquiring service is provided irrespective of whether the acquirer is holding the funds on behalf of the payee. Technical services, such as the mere processing and storage of data or the operation of terminals, do not constitute acquiring.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>It is important to ensure that the provisions concerning the interchange fees to be paid or received by payment service providers are not circumvented by alternative flows of fees to issuers. To avoid this, the ‘net compensation’ of fees paid or received by the issuer, including possible authorisation charges, from or to a payment card scheme, an acquirer or any other intermediary should be considered as the interchange fee. When calculating the interchange fee, for the purpose of checking whether circumvention is taking place the total amount of payments or incentives received by an issuer from a payment card scheme with respect to the regulated transactions less the fees paid by the issuer to the payment card scheme should be taken into account. Payments, incentives and fees considered could be direct (i.e. volume-based or transaction-specific) or indirect (including marketing incentives, bonuses, rebates for meeting certain transaction volumes). In checking whether circumvention of the provisions of this Regulation is taking place, issuers' profits resulting from special programmes carried out jointly by issuers and payment card schemes and revenue from processing, licensing and other fees providing revenue to payment card schemes should, in particular, be taken into account. As appropriate, and if corroborated by further objective elements, the issuance of payment cards in third countries could also be taken into account when assessing potential circumvention of this Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>Consumers tend to be unaware of the fees paid by merchants for the payment instrument they use. At the same time, a series of incentivising practices applied by issuers (such as travel vouchers, bonuses, rebates, charge backs, free insurances, etc.) may steer consumers towards the use of payment instruments, thereby generating high fees for issuers. To counter this, the measures imposing restrictions on interchange fees should only apply to payment cards that have become mass products and merchants generally have difficulty refusing due to their widespread issuance and use (i.e. consumer debit and credit cards). In order to enhance effective market functioning in the non-regulated parts of the sector and to limit the transfer of business from the regulated to the non-regulated parts of the sector, it is necessary to adopt a series of measures, including the separation of scheme and infrastructure, the steering of the payer by the payee and the selective acceptance of payment instruments by the payee.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(33)</p></td><td><p>A separation of scheme and infrastructure should allow all processors to compete for customers of the schemes. As the cost of processing is a significant part of the total cost of card acceptance, it is important for this part of the value chain to be opened to effective competition. On the basis of the separation of scheme and infrastructure, card schemes and processing entities should be independent in terms of accounting, organisation and decision-making process. They should not discriminate, for instance by providing each other with preferential treatment or privileged information which is not available to their competitors on their respective market segment, imposing excessive information requirements on their competitor in their respective market segment, cross-subsidising their respective activities or having shared governance arrangements. Such discriminatory practises contribute to market fragmentation, negatively impact market entry by new players and prevent pan-Union players from emerging, hence hindering the completion of the internal market in the area of card-based payments and internet and mobile payments based on cards, to the detriment of merchants, companies and consumers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(34)</p></td><td><p>Scheme rules applied by payment card schemes and practices applied by payment service providers tend to keep merchants and consumers ignorant about fee differences and reduce market transparency, for instance by ‘blending’ fees or prohibiting merchants from choosing a cheaper card brand on co-badged cards or steering consumers to the use of such cheaper cards. Even if merchants are aware of the different costs, the scheme rules often prevent them from acting to reduce the fees.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(35)</p></td><td><p>Payment instruments entail different costs to the payee, with certain instruments being more expensive than others. Except where a particular payment instrument is imposed by law for certain categories of payments or cannot be refused due to its legal tender status, the payee should be free, in accordance with Directive 2007/64/EC, to steer payers towards the use of a specific payment instrument. Card schemes and payment service providers impose several restrictions on payees in this respect, examples of which include restrictions on the refusal by the payee of specific payment instruments for low amounts, on the provision of information to the payer on the fees incurred by the payee for specific payment instruments or limitation imposed on the payee of the number of tills in his or her shop which accept specific payment instruments. Those restrictions should be abolished.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(36)</p></td><td><p>In situations where the payee steers the payer towards the use of a specific payment instrument, no charges should be requested by the payee from the payer for the use of payment instruments of which interchange fees are regulated within the scope of this Regulation, as in such situations the advantages of surcharging become limited while creating complexity in the market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(37)</p></td><td><p>The ‘Honour all Cards’ rule is a twofold obligation imposed by issuers and payment card schemes for payees to accept all the cards of the same brand, irrespective of the different costs of these cards (the ‘Honour all Products’ element) and irrespective of the individual issuing bank which has issued the card (the ‘Honour all Issuers’ element). It is in the interest of the consumer that for the same category of cards the payees cannot discriminate between issuers or cardholders, and payment card schemes and payment service providers can impose such an obligation on them. Therefore the ‘Honour all Issuers’ element of the ‘Honour all Cards’ rule is a justifiable rule within a payment card scheme, since it prevents payees from discriminating between individual banks which have issued a card. The ‘Honour all Products’ element is essentially a tying practice that has the effect of tying acceptance of low fee cards to the acceptance of high fee cards. A removal of the ‘Honour all Products’ element of the ‘Honour all Cards’ rule would allow merchants to limit the choice of payment cards they offer to low(er) cost payment cards only, which would also benefit consumers through reduced merchants' costs. Merchants accepting debit cards would then not be forced to accept credit cards, and those accepting credit cards would not be forced to accept commercial cards. However, to protect the consumer and the consumer's ability to use the payment cards as often as possible, merchants should be obliged to accept cards that are subject to the same regulated interchange fee only if issued within the same brand and of the same category (prepaid card, debit card or credit card). Such a limitation would also result in a more competitive environment for cards with interchange fees not regulated under this Regulation, as merchants would gain more negotiating power as regards the conditions under which they accept such cards. Those restrictions should be limited and considered acceptable only to enhance consumers' protection, giving to the consumers an adequate level of certainty about the fact that their payment cards will be accepted by the merchants.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(38)</p></td><td><p>A clear distinction between consumer and commercial cards should be ensured by the payment service providers both on a technical and on a commercial basis. It is therefore important to define a commercial card as a payment instrument used only for business expenses charged directly to the account of the undertaking or public sector entity or the self-employed natural person.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(39)</p></td><td><p>Payees and payers should have the means to identify the different categories of cards. Therefore, the various brands and categories should be identifiable electronically and for newly issued card-based payment instruments visibly on the device. In addition, the payer should be informed about the acceptance of the payer's payment instrument(s) at a given point of sale. It is necessary that any limitation on the use of a given brand be announced by the payee to the payer at the same time and under the same conditions as the information that a given brand is accepted.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(40)</p></td><td><p>In order to ensure that competition between brands is effective, it is important that the choice of payment application be made by users, not imposed by the upstream market, comprising payment card schemes, payment service providers or processors. Such an arrangement should not prevent payers and payees from setting a default choice of application, where technically feasible, provided that that choice can be changed for each transaction.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(41)</p></td><td><p>In order to ensure that redress is possible where this Regulation has been incorrectly applied, or where disputes occur between payment services users and payment service providers, Member States should establish adequate and effective out-of-court complaint and redress procedures or take equivalent measures. Member States should lay down rules on the penalties applicable to infringements of this Regulation and should ensure that those penalties are effective, proportionate and dissuasive and that they are applied.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(42)</p></td><td><p>The Commission should present a report studying various effects of this Regulation on the functioning of the market. It is necessary that the Commission has the possibility to collect the information required to establish this report and that the competent authorities cooperate closely with the Commission for the collection of data.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(43)</p></td><td><p>Since the objectives of this Regulation to lay down uniform requirements for card-based payment transactions and internet and mobile payments based on cards cannot be sufficiently achieved by the Member States, but can rather, by reason of its scale, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(44)</p></td><td><p>This Regulation complies with the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union, notably the right to an effective remedy or to a fair trial, the freedom to conduct a business, consumer protection and has to be applied in accordance with those rights and principles,</p></td></tr></tbody></table>
HAVE ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Scope
1. This Regulation lays down uniform technical and business requirements for card-based payment transactions carried out within the Union, where both the payer's payment service provider and the payee's payment service provider are located therein.
2. This Regulation does not apply to services based on specific payment instruments that can be used only in a limited way, that meet one of the following conditions:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>instruments allowing the holder to acquire goods or services only in the premises of the issuer or within a limited network of service providers under direct commercial agreement with a professional issuer;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>instruments which can be used only to acquire a very limited range of goods or services;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>instruments valid only in a single Member State provided at the request of an undertaking or a public sector entity and regulated by a national or regional public authority for specific social or tax purposes to acquire specific goods or services from suppliers having a commercial agreement with the issuer.</p></td></tr></tbody></table>
3. Chapter II does not apply to the following:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>transactions with commercial cards;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>cash withdrawals at automatic teller machines or at the counter of a payment service provider; and</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>transactions with payment cards issued by three party payment card schemes.</p></td></tr></tbody></table>
4. Article 7 does not apply to three party payment card schemes.
5. When a three party payment card scheme licenses other payment service providers for the issuance of card-based payment instruments or the acquiring of card-based payment transactions, or both, or issues card-based payment instruments with a co-branding partner or through an agent, it is considered to be a four party payment card scheme. However, until 9 December 2018 in relation to domestic payment transactions, such a three party payment card scheme may be exempted from the obligations under Chapter II, provided that the card-based payment transactions made in a Member State under such a three party payment card scheme do not exceed on a yearly basis 3 % of the value of all card-based payment transactions made in that Member State.
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>‘acquirer’ means a payment service provider contracting with a payee to accept and process card-based payment transactions, which result in a transfer of funds to the payee;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>‘issuer’ means a payment service provider contracting to provide a payer with a payment instrument to initiate and process the payer's card-based payment transactions;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>‘consumer’ means a natural person who, in payment service contracts covered by this Regulation, is acting for purposes other than the trade, business or profession of that person;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>‘debit card transaction’ means a card-based payment transaction, including those with prepaid cards that is not a credit card transaction;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>‘credit card transaction’ means a card-based payment transaction where the amount of the transaction is debited in full or in part at a pre agreed specific calendar month date to the payer, in line with a prearranged credit facility, with or without interest;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>‘commercial card’ means any card-based payment instrument issued to undertakings or public sector entities or self-employed natural persons which is limited in use for business expenses where the payments made with such cards are charged directly to the account of the undertaking or public sector entity or self-employed natural person;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>‘card-based payment transaction’ means a service based on a payment card scheme's infrastructure and business rules to make a payment transaction by means of any card, telecommunication, digital or IT device or software if this results in a debit or a credit card transaction. Card-based payment transactions exclude transactions based on other kinds of payment services;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>‘cross-border payment transaction’ means a card-based payment transaction where the issuer and the acquirer are located in different Member States or where the card-based payment instrument is issued by an issuer located in a Member State different from that of the point of sale;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>‘domestic payment transaction’ means any card-based payment transaction which is not a cross-border payment transaction;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>‘interchange fee’ means a fee paid for each transaction directly or indirectly (i.e. through a third party) between the issuer and the acquirer involved in a card-based payment transaction. The net compensation or other agreed remuneration is considered to be part of the interchange fee;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>‘net compensation’ means the total net amount of payments, rebates or incentives received by an issuer from the payment card scheme, the acquirer or any other intermediary in relation to card-based payment transactions or related activities;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>‘merchant service charge’ means a fee paid by the payee to the acquirer in relation to card-based payment transactions;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>‘payee’ means a natural or legal person who is the intended recipient of funds which have been the subject of a payment transaction;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>‘payer’ means a natural or legal person who holds a payment account and allows a payment order from that payment account, or, where there is no payment account, a natural or legal person who gives a payment order;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>‘payment card’ means a category of payment instrument that enables the payer to initiate a debit or credit card transaction;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>‘payment card scheme’ means a single set of rules, practices, standards and/or implementation guidelines for the execution of card-based payment transactions and which is separated from any infrastructure or payment system that supports its operation, and includes any specific decision-making body, organisation or entity accountable for the functioning of the scheme;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>‘four party payment card scheme’ means a payment card scheme in which card-based payment transactions are made from the payment account of a payer to the payment account of a payee through the intermediation of the scheme, an issuer (on the payer's side) and an acquirer (on the payee's side);</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>‘three party payment card scheme’ means a payment card scheme in which the scheme itself provides acquiring and issuing services and card-based payment transactions are made from the payment account of a payer to the payment account of a payee within the scheme. When a three party payment card scheme licenses other payment service providers for the issuance of card-based payment instruments or the acquiring of card-based payment transactions, or both, or issues card-based payment instruments with a co-branding partner or through an agent, it is considered to be a four party payment card scheme;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>‘payment instrument’ means any personalised device(s) and/or set of procedures agreed between the payment service user and the payment service provider and used in order to initiate a payment order;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>‘card-based payment instrument’ means any payment instrument, including a card, mobile phone, computer or any other technological device containing the appropriate payment application which enables the payer to initiate a card-based payment transaction which is not a credit transfer or a direct debit as defined by Article 2 of Regulation (EU) No 260/2012;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>‘payment application’ means computer software or equivalent loaded on a device enabling card-based payment transactions to be initiated and allowing the payer to issue payment orders;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>‘payment account’ means an account held in the name of one or more payment service users which is used for the execution of payment transactions, including through a specific account for electronic money as defined in point 2 of Article 2 of Directive 2009/110/EC of the European Parliament and of the Council <a>(<span>8</span>)</a>;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>‘payment order’ means any instruction by a payer to its payment service provider requesting the execution of a payment transaction;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>‘payment service provider’ means any natural or legal person authorised to provide the payment services listed in the Annex to Directive 2007/64/EC or recognised as an electronic money issuer in accordance with Article 1(1) of Directive 2009/110/EC. A payment service provider can be an issuer or an acquirer or both;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>‘payment service user’ means a natural or legal person making use of a payment service in the capacity of either payer or payee, or both;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>‘payment transaction’ means an action, initiated by the payer or on its behalf or by the payee of transferring funds, irrespective of any underlying obligations between the payer and the payee;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>‘processing’ means the performance of payment transaction processing services in terms of the actions required for the handling of a payment instruction between the acquirer and the issuer;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>‘processing entity’ means any natural or legal person providing payment transaction processing services;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>‘point of sale’ means the address of the physical premises of the merchant at which the payment transaction is initiated. However:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>in the case of distance sales or distance contracts (i.e. e-commerce) as defined in point 7 of Article 2 of Directive 2011/83/EU, the point of sale shall be the address of the fixed place of business at which the merchant conducts its business regardless of website or server locations through which the payment transaction is initiated;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in the event that the merchant does not have a fixed place of business, the point of sale shall be the address for which the merchant holds a valid business licence through which the payment transaction is initiated;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>in the event that the merchant does not have a fixed place of business nor a valid business licence, the point of sale shall be the address for correspondence for the payment of its taxes relating to its sales activity through which the payment transaction is initiated;</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>‘payment brand’ means any material or digital name, term, sign, symbol or combination thereof, capable of denoting under which payment card scheme card-based payment transactions are carried out;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>‘co-badging’ means the inclusion of two or more payment brands or payment applications of the same brand on the same card-based payment instrument;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>‘co-branding’ means the inclusion of at least one payment brand and at least one non-payment brand on the same card-based payment instrument;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(33)</p></td><td><p>‘debit card’ means a category of payment instrument that enables the payer to initiate a debit card transaction excluding those with prepaid cards;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(34)</p></td><td><p>‘credit card’ means a category of payment instrument that enables the payer to initiate a credit card transaction;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(35)</p></td><td><p>‘prepaid card’ means a category of payment instrument on which electronic money, as defined in point 2 of Article 2 of Directive 2009/110/EC, is stored.</p></td></tr></tbody></table>
CHAPTER II
INTERCHANGE FEES
Article 3
Interchange fees for consumer debit card transactions
1. Payment service providers shall not offer or request a per transaction interchange fee of more than 0,2 % of the value of the transaction for any debit card transaction.
2. For domestic debit card transactions Member States may either:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>define a per transaction percentage interchange fee cap lower than the one provided for in paragraph 1 and may impose a fixed maximum fee amount as a limit on the fee amount resulting from the applicable percentage rate; or</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>allow payment service providers to apply a per transaction interchange fee of no more than EUR 0,05, or, in the Member States whose currency is not the euro, the corresponding value in the national currency on 8 June 2015, which shall be revised every five years or whenever there is a significant variation in exchange rates. This per transaction interchange fee may also be combined with a maximum percentage rate of no more than 0,2 %, provided always that the sum of interchange fees of the payment card scheme does not exceed 0,2 % of the total annual transaction value of the domestic debit card transactions within each payment card scheme.</p></td></tr></tbody></table>
3. Until 9 December 2020, in relation to domestic debit card transactions, Member States may allow payment service providers to apply a weighted average interchange fee of no more than the equivalent of 0,2 % of the annual average transaction value of all domestic debit card transactions within each payment card scheme. Member States may define a lower weighted average interchange fee cap applicable to all domestic debit card transactions.
4. The annual transaction values referred to in paragraphs 2 and 3 shall be calculated on a yearly basis, commencing on 1 January and ending on 31 December and shall be applied starting from 1 April of the following year. The reference period for the first calculation of such value shall commence 15 calendar months before the date of application of paragraphs 2 and 3 and shall end three calendar months before that date.
5. The competent authorities referred to in Article 13 shall, upon their written request, require payment card schemes and/or payment service providers to provide all information necessary to verify the correct application of paragraphs 3 and 4 of this Article. Such information shall be sent to the competent authority before 1 March of the year following the reference period referred to in the first sentence of paragraph 4. Any other information enabling the competent authorities to verify compliance with the provisions of this Chapter shall be sent to the competent authorities upon their written request and within the deadline set by them. The competent authorities may require that such information is certified by an independent auditor.
Article 4
Interchange fees for consumer credit card transactions
Payment service providers shall not offer or request a per transaction interchange fee of more than 0,3 % of the value of the transaction for any credit card transaction. For domestic credit card transactions Member States may define a lower per transaction interchange fee cap.
Article 5
Prohibition of circumvention
For the purposes of the application of the caps referred to in Articles 3 and 4, any agreed remuneration, including net compensation, with an equivalent object or effect of the interchange fee, received by an issuer from the payment card scheme, acquirer or any other intermediary in relation to payment transactions or related activities shall be treated as part of the interchange fee.
CHAPTER III
BUSINESS RULES
Article 6
Licensing
1. Any territorial restrictions within the Union or rules with an equivalent effect in licensing agreements or in payment card scheme rules for issuing payment cards or acquiring card-based payment transactions shall be prohibited.
2. Any requirement or obligation to obtain a country specific licence or authorisation to operate on a cross-border basis or rule with an equivalent effect in licensing agreements or in payment card scheme rules for issuing payment cards or acquiring card-based payment transactions shall be prohibited.
Article 7
Separation of payment card scheme and processing entities
1. Payment card schemes and processing entities:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>shall be independent in terms of accounting, organisation and decision-making processes;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>shall not present prices for payment card scheme and processing activities in a bundled manner and shall not cross-subsidise such activities;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>shall not discriminate in any way between their subsidiaries or shareholders on the one hand and users of payment card schemes and other contractual partners on the other hand and shall not in particular make the provision of any service they offer conditional in any way on the acceptance by their contractual partner of any other service they offer.</p></td></tr></tbody></table>
2. The competent authority of the Member State where the registered office of the scheme is located may require a payment card scheme to provide an independent report confirming its compliance with paragraph 1.
3. Payment card schemes shall allow for the possibility that authorisation and clearing messages of single card-based payment transactions be separated and processed by different processing entities.
4. Any territorial discrimination in processing rules operated by payment card schemes shall be prohibited.
5. Processing entities within the Union shall ensure that their system is technically interoperable with other systems of processing entities within the Union through the use of standards developed by international or European standardisation bodies. In addition, payment card schemes shall not adopt or apply business rules that restrict interoperability among processing entities within the Union.
6. The European Banking Authority (EBA) may, after consulting an advisory panel as referred to in Article 41 of Regulation (EU) No 1093/2010 of the European Parliament and of the Council ( 9 ) , develop draft regulatory technical standards establishing the requirements to be complied with by payment card schemes and processing entities to ensure the application of point (a) of paragraph 1 of this Article.
EBA shall submit those draft regulatory technical standards to the Commission by 9 December 2015.
Power is delegated to the Commission to adopt the regulatory technical standards referred to in the first subparagraph of this paragraph in accordance with Articles 10 to 14 of Regulation (EU) No 1093/2010.
Article 8
Co-badging and choice of payment brand or payment application
1. Any payment card scheme rules and rules in licensing agreements or measures of equivalent effect that hinder or prevent an issuer from co-badging two or more different payment brands or payment applications on a card-based payment instrument shall be prohibited.
2. When entering into a contractual agreement with a payment service provider, the consumer may require two or more different payment brands on a card-based payment instrument provided that such a service is offered by the payment service provider. In good time before the contract is signed, the payment service provider shall provide the consumer with clear and objective information on all the payment brands available and their characteristics, including their functionality, cost and security.
3. Any difference in treatment of issuers or acquirers in scheme rules and rules in licensing agreements concerning co-badging of different payment brands or payment applications on a card-based payment instrument shall be objectively justified and non-discriminatory.
4. Payment card schemes shall not impose reporting requirements, obligations to pay fees or similar obligations with the same object or effect on card issuing and acquiring payment service providers for transactions carried out with any device on which their payment brand is present in relation to transactions for which their scheme is not used.
5. Any routing principles or equivalent measures aimed at directing transactions through a specific channel or process and other technical and security standards and requirements with respect to the handling of two or more different payment brands and payment applications on a card-based payment instrument shall be non-discriminatory and shall be applied in a non-discriminatory manner.
6. Payment card schemes, issuers, acquirers, processing entities and other technical service providers shall not insert automatic mechanisms, software or devices on the payment instrument or at equipment applied at the point of sale which limit the choice of payment brand or payment application, or both, by the payer or the payee when using a co-badged payment instrument.
Payees shall retain the option of installing automatic mechanisms in the equipment used at the point of sale which make a priority selection of a particular payment brand or payment application but payees shall not prevent the payer from overriding such an automatic priority selection made by the payee in its equipment for the categories of cards or related payment instruments accepted by the payee.
Article 9
Unblending
1. Each acquirer shall offer and charge its payee merchant service charges individually specified for different categories and different brands of payment cards with different interchange fee levels unless payees request the acquirer, in writing, to charge blended merchant service charges.
2. Acquirers shall include in their agreements with payees individually specified information on the amount of the merchant service charges, interchange fees and scheme fees applicable with respect to each category and brand of payment cards, unless the payee subsequently makes a different request in writing.
Article 10
‘Honour All Cards’ rule
1. Payment card schemes and payment service providers shall not apply any rule that obliges payees accepting a card-based payment instrument issued by one issuer also to accept other card-based payment instruments issued within the framework of the same payment card scheme.
2. Paragraph 1 shall not apply to consumer card-based payment instruments of the same brand and of the same category of prepaid card, debit card or credit card subject to interchange fees under Chapter II of this Regulation.
3. Paragraph 1 is without prejudice to the possibility for payment card schemes and payment service providers to provide that cards may not be refused on the basis of the identity of the issuer or of the cardholder.
4. Payees that decide not to accept all cards or other payment instruments of a payment card scheme shall inform consumers of this, in a clear and unequivocal manner, at the same time as they inform consumers of the acceptance of other cards and payment instruments of the payment card scheme. Such information shall be displayed prominently at the entrance of the shop and at the till.
In the case of distance sales, this information shall be displayed on the payee's website or other applicable electronic or mobile medium. The information shall be provided to the payer in good time before the payer enters into a purchase agreement with the payee.
5. Issuers shall ensure that their payment instruments are electronically identifiable and, in the case of newly issued card-based payment instruments, also visibly identifiable, enabling payees and payers to unequivocally identify which brands and categories of prepaid cards, debit cards, credit cards or commercial cards are chosen by the payer.
Article 11
Steering rules
1. Any rule in licensing agreements, in scheme rules applied by payment card schemes and in agreements entered into between card acquirers and payees preventing payees from steering consumers to the use of any payment instrument preferred by the payee shall be prohibited. This prohibition shall also cover any rule prohibiting payees from treating card-based payment instruments of a given payment card scheme more or less favourably than others.
2. Any rule in licensing agreements, in scheme rules applied by payment card schemes and in agreements entered into between card acquirers and payees preventing payees from informing payers about interchange fees and merchant service charges shall be prohibited.
3. Paragraphs 1 and 2 of this Article are without prejudice to the rules on charges, reductions or other steering mechanisms set out in Directive 2007/64/EC and Directive 2011/83/EU.
Article 12
Information to the payee on individual card-based payment transactions
1. After the execution of an individual card-based payment transaction, the payee's payment service provider shall provide the payee with the following information:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the reference enabling the payee to identify the card-based payment transaction;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the amount of the payment transaction in the currency in which the payee's payment account is credited;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the amount of any charges for the card-based payment transaction, indicating separately the merchant service charge and the amount of the interchange fee.</p></td></tr></tbody></table>
With the payee's prior and explicit consent, the information referred to in the first subparagraph may be aggregated by brand, application, payment instrument categories and rates of interchange fees applicable to the transaction.
2. Contracts between acquirers and payees may include a provision that the information referred to in the first subparagraph of paragraph 1 shall be provided or made available periodically, at least once a month, and in an agreed manner which allows payees to store and reproduce information unchanged.
CHAPTER IV
FINAL PROVISIONS
Article 13
Competent authorities
1. Member States shall designate competent authorities that are empowered to ensure enforcement of this Regulation and that are granted investigation and enforcement powers.
2. Member States may designate existing bodies to act as competent authorities.
3. Member States may designate one or more competent authorities.
4. Member States shall notify the Commission of those competent authorities by 9 June 2016. They shall notify the Commission without delay of any subsequent change concerning those authorities.
5. The designated competent authorities referred to in paragraph 1 shall have adequate resources for the performance of their duties.
6. Member States shall require the competent authorities to monitor effectively compliance with this Regulation, including to counter attempts by the payment service providers to circumvent this Regulation, and take all necessary measures to ensure such compliance.
Article 14
Penalties
1. Member States shall lay down rules on penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are applied.
2. Member States shall notify those provisions to the Commission by 9 June 2016 and shall notify without delay of any subsequent amendment affecting them.
Article 15
Settlement, out of court complaints and redress procedures
1. Member States shall ensure and promote adequate and effective out-of-court complaint and redress procedures or take equivalent measures for the settlement of disputes arising under this Regulation between payees and their payment service providers. For those purposes, Member States shall designate existing bodies, where appropriate, or establish new bodies. The bodies shall be independent from the parties.
2. Member States shall notify the Commission of those bodies by 9 June 2017. They shall notify the Commission without delay of any subsequent change concerning those bodies.
Article 16
Universal cards
1. For the purposes of this Regulation, in relation to domestic payment transactions that are not distinguishable as debit or credit card transactions by the payment card scheme, the provisions on debit cards or debit card transactions are applied.
2. By derogation from paragraph 1, until 9 December 2016, Member States may define a share of no more than 30 % of the domestic payment transactions referred to in paragraph 1 of this Article that are considered to be equivalent to credit card transactions to which the interchange fee cap set in Article 4 shall apply.
Article 17
Review clause
By 9 June 2019, the Commission shall submit a report on the application of this Regulation to the European Parliament and to the Council. The Commission's report shall look in particular at the appropriateness of the levels of interchange fees and at steering mechanisms such as charges, taking into account the use and cost of the various means of payments and the level of entry of new players, new technology and innovative business models on the market. The assessment shall, in particular, consider:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the development of fees for payers;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the level of competition among payment card providers and payment card schemes;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the effects on costs for the payer and the payee;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the levels of merchant pass-through of the reduction in interchange fee levels;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the technical requirements and their implications for all the parties involved;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>the effects of co-badging on user-friendliness, in particular for the elderly and other vulnerable users;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>the effect on the market of the exclusion of commercial cards from Chapter II, comparing the situation in those Member States where surcharging is prohibited with those where it is permitted;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>the effect on the market of the special provisions for interchange fees for domestic debit card transactions;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>the development of cross-border acquiring and its effect on the single market, comparing the situation for cards with capped fees and cards which are not capped, to consider the possibility of clarifying which interchange fee applies to cross-border acquiring;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(j)</p></td><td><p>the application in practice of the rules on separation of payment card scheme and processing, and the need to reconsider legal unbundling;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(k)</p></td><td><p>the possible need, depending on the effect of Article 3(1) on the actual value of interchange fees for medium and high value debit card transactions, to revise that paragraph by providing that the cap should be limited to the lower amount of EUR 0,07 or 0,2 % of the value of the transaction.</p></td></tr></tbody></table>
The report by the Commission shall, if appropriate, be accompanied by a legislative proposal that may include a proposed amendment of the maximum cap for interchange fees.
Article 18
Entry into force
1. This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union .
2. It shall apply from 8 June 2015, with the exception of Articles 3, 4, 6 and 12, which shall apply from 9 December 2015, and of Articles 7, 8, 9 and 10, which shall apply from 9 June 2016
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Strasbourg, 29 April 2015.
For the European Parliament
The President
M. SCHULZ
For the Council
The President
Z. KALNIŅA-LUKAŠEVICA
<note>
( 1 ) OJ C 193, 24.6.2014, p. 2 .
( 2 ) OJ C 170, 5.6.2014, p. 78 .
( 3 ) Position of the European Parliament of 10 March 2015 (not yet published in the Official Journal) and Decision of the Council of 20 April 2015.
( 4 ) Directive 2007/64/EC of the European Parliament and of the Council of 13 November 2007 on payment services in the internal market amending Directives 97/7/EC, 2002/65/EC, 2005/60/EC and 2006/48/EC and repealing Directive 97/5/EC ( OJ L 319, 5.12.2007, p. 1 ).
( 5 ) Regulation (EC) No 924/2009 of the European Parliament and of the Council of 16 September 2009 on cross-border payments in the Community and repealing Regulation (EC) No 2560/2001 ( OJ L 266, 9.10.2009, p. 11 ).
( 6 ) Regulation (EU) No 260/2012 of the European Parliament and of the Council of 14 March 2012 establishing technical and business requirements for credit transfers and direct debits in euro and amending Regulation (EC) No 924/2009 ( OJ L 94, 30.3.2012, p. 22 ).
( 7 ) Directive 2011/83/EU of the European Parliament and of the Council of 25 October 2011 on consumer rights, amending Council Directive 93/13/EEC and Directive 1999/44/EC of the European Parliament and of the Council and repealing Council Directive 85/577/EEC and Directive 97/7/EC of the European Parliament and of the Council ( OJ L 304, 22.11.2011, p. 64 ).
( 8 ) Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC ( OJ L 267, 10.10.2009, p. 7 ).
( 9 ) Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC ( OJ L 331, 15.12.2010, p. 12 ).
</note> | ENG | 32015R0751 |
<table><col/><col/><col/><col/><tbody><tr><td><p>5.10.2022   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 258/391</p></td></tr></tbody></table>
DECISION (EU) 2022/1800 OF THE EUROPEAN PARLIAMENT
of 4 May 2022
on discharge in respect of the implementation of the budget of the European Union Agency for Law Enforcement Cooperation (Europol) for the financial year 2020
THE EUROPEAN PARLIAMENT,
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the final annual accounts of the European Union Agency for Law Enforcement Cooperation (Europol) for the financial year 2020,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Court of Auditors’ annual report on EU agencies for the financial year 2020, together with the agencies’ replies <a>(<span>1</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the statement of assurance <a>(<span>2</span>)</a> as to the reliability of the accounts and the legality and regularity of the underlying transactions provided by the Court of Auditors for the financial year 2020, pursuant to Article 287 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Council’s recommendation of 28 February 2022 on discharge to be given to the Agency in respect of the implementation of the budget for the financial year 2020 (06003/2022 – C9-0099/2022),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Article 319 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 <a>(<span>3</span>)</a>, and in particular Article 70 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EU) 2016/794 of the European Parliament and of the Council of 11 May 2016 on the European Union Agency for Law Enforcement Cooperation (Europol) and replacing and repealing Council Decisions 2009/371/JHA, 2009/934/JHA, 2009/935/JHA, 2009/936/JHA and 2009/968/JHA <a>(<span>4</span>)</a>, and in particular Article 60 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Commission Delegated Regulation (EU) 2019/715 of 18 December 2018 on the framework financial regulation for the bodies set up under the TFEU and Euratom Treaty and referred to in Article 70 of Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council <a>(<span>5</span>)</a>, and in particular Article 105 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Rule 100 of and Annex V to its Rules of Procedure,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the opinion of the Committee on Civil Liberties, Justice and Home Affairs,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the report of the Committee on Budgetary Control (A9-0090/2022),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Grants the Executive Director of the European Union Agency for Law Enforcement Cooperation (Europol) discharge in respect of the implementation of the Agency’s budget for the financial year 2020;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Sets out its observations in the resolution below;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>Instructs its President to forward this decision, and the resolution forming an integral part of it, to the Executive Director of the European Union Agency for Law Enforcement Cooperation (Europol), the Council, the Commission and the Court of Auditors, and to arrange for their publication in the<span>Official Journal of the European Union</span> (L series).</p></td></tr></tbody></table>
The President
Roberta METSOLA
The Secretary-General
Klaus WELLE
<note>
( 1 ) OJ C 439, 29.10.2021, p. 3 . ECA annual report on EU agencies for the 2020 financial year: https://www.eca.europa.eu/en/Pages/DocItem.aspx?did=59697
( 2 ) OJ C 439, 29.10.2021, p. 3 . ECA annual report on EU agencies for the 2020 financial year: https://www.eca.europa.eu/en/Pages/DocItem.aspx?did=59697
( 3 ) OJ L 193, 30.7.2018, p. 1 .
( 4 ) OJ L 135, 24.5.2016, p. 53 .
( 5 ) OJ L 122, 10.5.2019, p. 1 .
</note> | ENG | 32022B1800 |
<table><col/><col/><col/><col/><tbody><tr><td><p>8.4.2022   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 109/67</p></td></tr></tbody></table>
COUNCIL DECISION (CFSP) 2022/574
of 7 April 2022
amending Decision (CFSP) 2017/809 in support of the implementation of United Nations Security Council Resolution 1540 (2004) on the non-proliferation of weapons of mass destruction and their means of delivery
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Articles 28(1) and 31(1) thereof,
Having regard to the proposal from the High Representative of the Union for Foreign Affairs and Security Policy,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 11 May 2017, the Council adopted Decision (CFSP) 2017/809 <a>(<span>1</span>)</a>, providing for a 36-month implementation period from the date of the conclusion of the financing agreement referred to in Article 3(3) of that Decision, for the projects referred to in Article 1 thereof.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>On 16 June 2020, the Council adopted Decision (CFSP) 2020/795 <a>(<span>2</span>)</a> amending Decision (CFSP) 2017/809 in support of the implementation of United Nations Security Council Resolution 1540 (2004) on the non-proliferation of weapons of mass destruction and their means of delivery, by extending the implementation period of the Decision until 10 August 2021.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>On 21 June 2021, the Council adopted Decision (CFSP) 2021/1025 <a>(<span>3</span>)</a> amending Decision (CFSP) 2017/809 in support of the implementation of United Nations Security Council Resolution 1540 (2004) on the non-proliferation of weapons of mass destruction and their means of delivery, by extending the implementation period of the Decision until 25 April 2022.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>On 15 February 2022, the United Nations Office for Disarmament Affairs (UNODA), which is responsible for the technical implementation of the projects referred to in Article 1 of Decision (CFSP) 2017/809, requested a further 10-month extension of the implementation period of that Decision. The requested extension would allow UNODA to continue delivering assistance to the United Nations Member States implementing United Nations Security Council Resolution 1540 (2004) (‘UNSCR 1540’), to contribute further to an ongoing comprehensive review, to continue delivering assistance to the Committee of the United Nations Security Council established by UNSCR 1540 until the end of its mandate that has been extended until 30 November 2022, and to mitigate the losses resulting from projects that remain undelivered due to the COVID-19 pandemic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The continuation of the projects referred to in Article 1 of Decision (CFSP) 2017/809 does not have any implication as regards financial resources until 25 February 2023.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Decision (CFSP) 2017/809 should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
In Article 5 of Decision (CFSP) 2017/809, paragraph 2 is replaced by the following:
‘2. This Decision shall expire on 25 February 2023.’.
Article 2
This Decision shall enter into force on the date of its adoption.
Done at Luxembourg, 7 April 2022.
For the Council
The President
J. DENORMANDIE
<note>
( 1 ) Council Decision (CFSP) 2017/809 of 11 May 2017 in support of the implementation of United Nations Security Council Resolution 1540 (2004) on the non-proliferation of weapons of mass destruction and their means of delivery ( OJ L 121, 12.5.2017, p. 39 ).
( 2 ) Council Decision (CFSP) 2020/795 of 16 June 2020 amending Decision (CFSP) 2017/809 in support of the implementation of United Nations Security Council Resolution 1540 (2004) on the non-proliferation of weapons of mass destruction and their means of delivery ( OJ L 193, 17.6.2020, p. 14 ).
( 3 ) Council Decision (CFSP) 2021/1025 of 21 June 2021 amending Decision (CFSP) 2017/809 in support of the implementation of United Nations Security Council Resolution 1540 (2004) on the non-proliferation of weapons of mass destruction and their means of delivery ( OJ L 224, 24.6.2021, p. 22 ).
</note> | ENG | 32022D0574 |
02014R1236 — EN — 30.07.2015 — 001.002
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p> COMMISSION IMPLEMENTING REGULATION (EU) No 1236/2014</p><p>of 18 November 2014</p><p>concerning the authorisation of L-valine produced by<span>Corynebacterium glutamicum</span> (DSM 25202) as a feed additive for all animal species</p><p><a>(Text with EEA relevance)</a></p><p>(OJ L 332 19.11.2014, p. 26)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a> COMMISSION IMPLEMENTING REGULATION (EU) 2015/1114 of 9 July 2015</a></p></td><td><p>  L 182</p></td><td><p>18</p></td><td><p>10.7.2015</p></td></tr></table>
COMMISSION IMPLEMENTING REGULATION (EU) No 1236/2014
of 18 November 2014
concerning the authorisation of L-valine produced by Corynebacterium glutamicum (DSM 25202) as a feed additive for all animal species
(Text with EEA relevance)
Article 1
Authorisation
The substance specified in the Annex, belonging to the additive category ‘nutritional additives’ and to the functional group ‘amino acids, their salts and analogues’, is authorised as an additive in animal nutrition subject to the conditions laid down in that Annex.
Article 2
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.
ANNEX
<table><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Identification number of the additive</p></td><td><p>Name of the holder of authorisation</p></td><td><p>Additive</p></td><td><p>Composition, chemical formula, description, analytical method</p></td><td><p>Species or category of animal</p></td><td><p>Maximum age</p></td><td><p>Minimum content</p></td><td><p>Maximum content</p></td><td><p>Other provisions</p></td><td><p>End of period of authorisation</p></td></tr><tr><td><p>mg/kg of complete feed with a moisture content of 12 %</p></td></tr><tr><td><p><span>Category of nutritional additives. Functional group: amino acids, their salts and analogues.</span></p></td></tr><tr><td><p><span><a><span>►M1</span></a></span> 3c370<span> ◄</span></p></td><td><p>—</p></td><td><p>L-valine</p></td><td><p><span>Additive composition</span></p><p>L-valine minimum 98 % (on a dry matter basis).</p><p><span>Characterisation of the active substance</span></p><p>L-valine ((2S)-2-amino-3-methylbutanoic acid) produced by fermentation with<span>Corynebacterium glutamicum</span> (DSM 25202).</p><p>Chemical formula: C<span>5</span>H<span>11</span>NO<span>2</span></p><p>CAS number: 72-18-4</p><p><span>Analytical method</span> <a>(<span>1</span>)</a></p><p>For the determination of L-valine in the feed additive: Food Chemical Codex ‘L-valine monograph’.</p><p>For the determination of valine in premixtures, compound feed and feed materials: ion exchange chromatography coupled with post-column derivatisation and spectrophotometric detection (HPLC/VIS) — Commission Regulation (EC) No 152/2009.</p></td><td><p>All species</p></td><td><p>—</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> 1.  Declarations to be made on the labelling of the additive:</p><div><p>— moisture content.</p></div><br/> 2.  For user safety: breathing protection, safety glasses and gloves should be worn during handling.<span><a><span>►M1</span></a></span> <br/> 3.  Where voluntary declaration of the additive is made on the labelling of feed materials and compound feed, the following shall be included:<div><p>— name and identification number of the additive,</p></div><div><p>— added amount of the additive.</p></div><span> ◄</span></td><td><p>9 December 2024</p></td></tr><tr><td><div><a>(<span>1</span>)   </a><p>Details of the analytical methods are available at the following address of the Reference Laboratory: https://ec.europa.eu/jrc/en/eurl/feed-additives/evaluation-reports</p></div></td></tr></tbody></table> | ENG | 02014R1236-20150730 |
<table><col/><col/><col/><col/><tbody><tr><td><p>19.7.2022   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 190/119</p></td></tr></tbody></table>
COUNCIL DECISION (EU) 2022/1235
of 12 July 2022
concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 186 in conjunction with Article 218(6), second subparagraph, point (a)(v), thereof,
Having regard to the proposal from the European Commission,
Having regard to the consent of the European Parliament,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>By means of Decision 2005/781/EC <a>(<span>1</span>)</a>, the Council approved the conclusion of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil <a>(<span>2</span>)</a> (the ‘Agreement’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>In accordance with Article XII of the Agreement, the Agreement entered into force on the date on which both Parties had notified each other in writing that their respective internal procedures necessary for the Agreement to enter into force had been completed, namely 7 August 2007. The Agreement was initially valid for a period of 5 years and may be renewed by agreement between the Parties after evaluation during the penultimate year of each subsequent renewal period.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The Council has approved the renewal of the Agreement for an additional period of 5 years twice, by means of Decisions 2012/646/EU <a>(<span>3</span>)</a> and (EU) 2018/343 <a>(<span>4</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The Exchange of Letters between the Parties, dated 11 May 2021 and 24 May 2021, confirmed their interest in renewing the Agreement for another 5 years.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The renewal of the Agreement should be approved on behalf of the Union,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
The renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil, for an additional period of 5 years, is hereby approved on behalf of the Union.
Article 2
The President of the Council shall designate the person(s) empowered to notify the Government of the Federative Republic of Brazil, on behalf of the Union, that the Union has completed its internal procedures necessary for the renewal of the Agreement in accordance with Article XII(2) of the Agreement.
Article 3
This Decision shall enter into force on the date of its adoption.
Done at Brussels, 12 July 2022.
For the Council
The President
Z. STANJURA
<note>
( 1 ) Council Decision 2005/781/EC of 6 June 2005 on the conclusion of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil ( OJ L 295, 11.11.2005, p. 37 ).
( 2 ) OJ L 295, 11.11.2005, p. 38 .
( 3 ) Council Decision 2012/646/EU of 10 October 2012 concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil ( OJ L 287, 18.10.2012, p. 4 ).
( 4 ) Council Decision (EU) 2018/343 of 5 March 2018 concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil ( OJ L 67, 9.3.2018, p. 1 ).
</note> | ENG | 32022D1235 |
<table><col/><col/><col/><col/><tbody><tr><td><p>13.7.2017   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 182/37</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2017/1263
of 12 July 2017
updating the list of invasive alien species of Union concern established by Implementing Regulation (EU) 2016/1141 pursuant to Regulation (EU) No 1143/2014 of the European Parliament and of the Council
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1143/2014 of the European Parliament and of the Council of 22 October 2014 on the prevention and management of the introduction and spread of invasive alien species ( 1 ) , and in particular Article 4(1) and (2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Commission Implementing Regulation (EU) 2016/1141<a> (<span>2</span>)</a> establishes a list of invasive alien species of Union concern (‘the Union list’), which is to be kept updated as appropriate, in accordance with Article 4(2) of Regulation (EU) No 1143/2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The Commission has concluded, on the basis of the available evidence and the risk assessments carried out pursuant to Article 5(1) of Regulation (EU) No 1143/2014, that all criteria set out in Article 4(3) of that Regulation are met for the following invasive alien species:<span>Alopochen aegyptiacus</span> Linnaeus, 1766;<span>Alternanthera philoxeroides</span> (Mart.) Griseb.;<span>Asclepias syriaca</span> L.;<span>Elodea nuttallii</span> (Planch.) St. John;<span>Gunnera tinctoria</span> (Molina) Mirbel;<span>Heracleum mantegazzianum</span> Sommier & Levier;<span>Impatiens glandulifera</span> Royle;<span>Microstegium vimineum</span> (Trin.) A. Camus;<span>Myriophyllum heterophyllum</span> Michaux;<span>Nyctereutes procyonoides</span> Gray, 1834;<span>Ondatra zibethicus</span> Linnaeus, 1766;<span>Pennisetum setaceum</span> (Forssk.) Chiov.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The Commission has concluded that for all those invasive alien species all elements set out in Article 4(6) of Regulation (EU) No 1143/2014 have been duly considered.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Some Member States envisage applying to the Commission for authorizing the continuation of farming<span>Nyctereutes procyonoides</span> Gray, 1834 under Article 9 of Regulation (EU) No 1143/2014 for alleged compelling public interests of a social or economic nature. Against this background, the inclusion of this species on the Union list should be subject to a transition period to allow completing the procedure of Article 9 of that Regulation before the listing of this species takes effect.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Since the date of adoption of Implementing Regulation (EU) 2016/1141, the CN codes laid down in Council Regulation (EEC) No 2658/87<a> (<span>3</span>)</a> have been updated, with the most recent amendments having been laid down in Commission Implementing Regulation (EU) 2016/1821<a> (<span>4</span>)</a>. Implementing Regulation (EU) 2016/1141 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Committee on Invasive Alien Species,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The Annex to Implementing Regulation (EU) 2016/1141 is 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, 12 July 2017.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 317, 4.11.2014, p. 35 .
( 2 ) Commission Implementing Regulation (EU) 2016/1141 of 13 July 2016 adopting a list of invasive alien species of Union concern pursuant to Regulation (EU) No 1143/2014 of the European Parliament and of the Council ( OJ L 189, 14.7.2016, p. 4 ).
( 3 ) Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff ( OJ L 256, 7.9.1987, p. 1 ).
( 4 ) Commission Implementing Regulation (EU) 2016/1821 of 6 October 2016 amending Annex I to Council Regulation (EEC) No 2658/87 on the tariff and statistical nomenclature and on the Common Customs Tariff ( OJ L 294, 28.10.2016, p. 1 ).
ANNEX
The Annex to Commission Implementing Regulation (EU) 2016/1141 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>In the table of the list of invasive alien species of Union concern, the following species are inserted in alphabetical order:</p><table><col/><col/><col/><col/><tbody><tr><td><p>Species</p></td><td><p>CN codes for live specimens</p></td><td><p>CN codes for parts that can reproduce</p></td><td><p>Categories of associated goods</p></td></tr><tr><td><p>(i)</p></td><td><p>(ii)</p></td><td><p>(iii)</p></td><td><p>(iv)</p></td></tr><tr><td><p>‘<span>Alopochen aegyptiacus</span> Linnaeus, 1766</p></td><td><p>ex ex 0106 39 80</p></td><td><p>ex 0407 19 90 (fertilised eggs for incubation)</p></td><td><p> </p></td></tr><tr><td><p><span>Alternanthera philoxeroides</span> (Mart.) Griseb.</p></td><td><p>ex ex 0602 90 50</p></td><td><p>ex 1209 99 99 (seeds)</p></td><td><p>(12)</p></td></tr><tr><td><p><span>Asclepias syriaca</span> L.</p></td><td><p>ex ex 0602 90 50</p></td><td><p>ex 1209 99 99 (seeds)</p></td><td><p>(7)</p></td></tr><tr><td><p><span>Elodea nuttallii</span> (Planch.) St. John</p></td><td><p>ex ex 0602 90 50</p></td><td><p>ex 1209 99 99 (seeds)</p></td><td><p> </p></td></tr><tr><td><p><span>Gunnera tinctoria</span> (Molina) Mirbel</p></td><td><p>ex ex 0602 90 50</p></td><td><p>ex 1209 99 99 (seeds)</p></td><td><p> </p></td></tr><tr><td><p><span>Heracleum mantegazzianum</span> Sommier & Levier</p></td><td><p>ex ex 0602 90 50</p></td><td><p>ex 1209 99 99 (seeds)</p></td><td><p> </p></td></tr><tr><td><p><span>Impatiens glandulifera</span> Royle</p></td><td><p>ex ex 0602 90 50</p></td><td><p>ex 1209 99 99 (seeds)</p></td><td><p> </p></td></tr><tr><td><p><span>Microstegium vimineum</span> (Trin.) A. Camus</p></td><td><p>ex ex 0602 90 50</p></td><td><p>ex 1209 99 99 (seeds)</p></td><td><p>(7), (12)</p></td></tr><tr><td><p><span>Myriophyllum heterophyllum</span> Michaux</p></td><td><p>ex ex 0602 90 50</p></td><td><p>ex 1209 99 99 (seeds)</p></td><td><p> </p></td></tr><tr><td><p><span>Nyctereutes procyonoides</span> Gray, 1834<a> (<span>*1</span>)</a></p></td><td><p>ex ex 0106 19 00</p></td><td><p>—</p></td><td><p> </p></td></tr><tr><td><p><span>Ondatra zibethicus</span> Linnaeus, 1766</p></td><td><p>ex ex 0106 19 00</p></td><td><p>—</p></td><td><p> </p></td></tr><tr><td><p><span>Pennisetum setaceum</span> (Forssk.) Chiov.</p></td><td><p>ex ex 0602 90 50</p></td><td><p>ex 1209 99 99 (seeds)</p></td><td><p> </p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>In the notes to the table for column (iv), the following point is added:</p><table><col/><col/><tbody><tr><td><p>‘(12)</p></td><td><p>ex 2309 90: Feeding preparations for birds’.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>In all the Annex, references to CN code ‘0301 99 18’ are replaced by ‘0301 99 17’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In all the Annex, references to CN code ‘0306 24 80’ are replaced by ‘0306 33 90’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>In all the Annex, references to CN code ‘0306 29 10’ are replaced by ‘0306 39 10’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>In all the Annex, references to CN code ‘0602 90 49’ are replaced by ‘0602 90 46 or 0602 90 48’.</p></td></tr></tbody></table>
<note>
( *1 ) The inclusion of Nyctereutes procyonoides Gray, 1834 shall apply as of 2 February 2019.’
</note> | ENG | 32017R1263 |
<table><col/><col/><col/><col/><tbody><tr><td><p>22.5.2023   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 134/25</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2023/978
of 12 May 2023
entering a name in the register of protected designations of origin and protected geographical indications (‘Grebbestadostron’ (PDO))
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1151/2012 of the European Parliament and of the Council of 21 November 2012 on quality schemes for agricultural products and foodstuffs ( 1 ) , and in particular Article 52(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Pursuant to Article 50(2)(a) of Regulation (EU) No 1151/2012, Sweden’s application to register the name ‘Grebbestadostron’ was published in the<span>Official Journal of the European Union</span> <a>(<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>As no statement of opposition under Article 51 of Regulation (EU) No 1151/2012 has been received by the Commission, the name ‘Grebbestadostron’ should therefore be entered in the register,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The name ‘Grebbestadostron’ (PDO) is hereby entered in the register.
The name specified in the first paragraph denotes a product in Class 1.7. Fresh fish, molluscs and crustaceans and products derived therefrom, as listed in Annex XI to Commission Implementing Regulation (EU) No 668/2014 ( 3 ) .
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, 12 May 2023.
For the Commission,
On behalf of the President,
Janusz WOJCIECHOWSKI
Member of the Commission
<note>
( 1 ) OJ L 343, 14.12.2012, p. 1 .
( 2 ) OJ C 34, 30.1.2023, p. 33 .
( 3 ) Commission Implementing Regulation (EU) No 668/2014 of 13 June 2014 laying down rules for the application of Regulation (EU) No 1151/2012 of the European Parliament and of the Council on quality schemes for agricultural products and foodstuffs ( OJ L 179, 19.6.2014, p. 36 ).
</note> | ENG | 32023R0978 |
<table><col/><col/><col/><col/><tbody><tr><td><p>13.1.2017   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 12/6</p></td></tr></tbody></table>
Statement of revenue and expenditure of the European Monitoring Centre for Drugs and Drug Addiction for the financial year 2016 — amending budget No 1
(2017/C 12/02)
REVENUE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Budget 2016</p></td><td><p>Amending budget No 1</p></td><td><p>New amount</p></td></tr><tr><td><p><span>1</span></p></td><td><p><span>EUROPEAN UNION SUBSIDY</span></p></td></tr><tr><td><p>1 1</p></td><td><p>EUROPEAN UNION SUBSIDY</p></td><td><p>14 794 000</p></td><td><p> </p></td><td><p>14 794 000</p></td></tr><tr><td><p>1 2</p></td><td><p>EUROPEAN UNION SPECIAL FUNDING FOR SPECIFIC PROJECTS</p></td><td><p>—</p></td><td><p> </p></td><td><p>—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 1 — Total</span></p></td><td><p><span>14 794 000</span></p></td><td><p> </p></td><td><p><span>14 794 000</span></p></td></tr><tr><td><p><span>2</span></p></td><td><p><span>OTHER SUBSIDIES</span></p></td></tr><tr><td><p>2 1</p></td><td><p>NORWAY’S PARTICIPATION</p></td><td><p>389 962,64</p></td><td><p>3 177,99</p></td><td><p>393 140,63</p></td></tr><tr><td><p>2 2</p></td><td><p>PRE-ACCESSION STRATEGY</p></td><td><p>210 000</p></td><td><p> </p></td><td><p>210 000</p></td></tr><tr><td><p>2 3</p></td><td><p>INCOME FROM SALE OF CURRENT EMCDDA PREMISES</p></td><td><p>—</p></td><td><p> </p></td><td><p>—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 2 — Total</span></p></td><td><p><span>599 962,64</span></p></td><td><p><span>3 177,99</span></p></td><td><p><span>603 140,63</span></p></td></tr><tr><td><p><span>3</span></p></td><td><p><span>REVENUE FOR SERVICES RENDERED AGAINST PAYMENT</span></p></td></tr><tr><td><p>3 1</p></td><td><p>REVENUE FOR SERVICES RENDERED AGAINST PAYMENT</p></td><td><p>p.m.</p></td><td><p> </p></td><td><p>p.m.</p></td></tr><tr><td><p> </p></td><td><p><span>Title 3 — Total</span></p></td><td><p><span>p.m.</span></p></td><td><p> </p></td><td><p><span>p.m.</span></p></td></tr><tr><td><p><span>4</span></p></td><td><p><span>OTHER REVENUE</span></p></td></tr><tr><td><p>4 1</p></td><td><p>INTERNAL ASSIGNED REVENUE</p></td><td><p>p.m.</p></td><td><p>19 513,76</p></td><td><p>19 513,76</p></td></tr><tr><td><p>4 2</p></td><td><p>INTEREST GENERATED BY FUNDS PAID TO THE EMCDDA</p></td><td><p>—</p></td><td><p>4 703,22</p></td><td><p>4 703,22</p></td></tr><tr><td><p>4 3</p></td><td><p>MISCELLANEOUS REVENUE</p></td><td><p>—</p></td><td><p> </p></td><td><p>—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 4 — Total</span></p></td><td><p><span>p.m.</span></p></td><td><p><span>24 216,98</span></p></td><td><p><span>24 216,98</span></p></td></tr><tr><td><p> </p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>15 393 962,64</span></p></td><td><p><span>27 394,97</span></p></td><td><p><span>15 421 357,61</span></p></td></tr></tbody></table>
EXPENDITURE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Appropriations 2016</p></td><td><p>Amending budget No 1</p></td><td><p>New amount</p></td></tr><tr><td><p><span>1</span></p></td><td><p><span>EXPENDITURE RELATING TO PERSONS WORKING WITH THE EMCDDA</span></p></td></tr><tr><td><p>1 1</p></td><td><p>STAFF IN ACTIVE EMPLOYMENT</p></td><td><p>9 321 198,92</p></td><td><p> </p></td><td><p>9 321 198,92</p></td></tr><tr><td><p>1 2</p></td><td><p>PENSIONS AND SEVERANCE GRANTS</p></td><td><p>—</p></td><td><p> </p></td><td><p>—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 1 — Total</span></p></td><td><p><span>9 321 198,92</span></p></td><td><p> </p></td><td><p><span>9 321 198,92</span></p></td></tr><tr><td><p><span>2</span></p></td><td><p><span>EXPENDITURE FOR SUPPORT ACTIVITIES</span></p></td></tr><tr><td><p>2 1</p></td><td><p>ADMINISTRATIVE AND LOGISTIC SUPPORT ACTIVITIES</p></td><td><p>1 724 288,66</p></td><td><p>21 262,15</p></td><td><p>1 745 550,81</p></td></tr><tr><td><p> </p></td><td><p><span>Title 2 — Total</span></p></td><td><p><span>1 724 288,66</span></p></td><td><p><span>21 262,15</span></p></td><td><p><span>1 745 550,81</span></p></td></tr><tr><td><p><span>3</span></p></td><td><p><span>EXPENDITURE FOR OPERATIONAL ACTIVITIES AND PROJECTS</span></p></td></tr><tr><td><p>3 1</p></td><td><p>PROJECT-RELATED ACTIVITIES</p></td><td><p>4 348 475,06</p></td><td><p>6 132,82</p></td><td><p>4 354 607,88</p></td></tr><tr><td><p> </p></td><td><p><span>Title 3 — Total</span></p></td><td><p><span>4 348 475,06</span></p></td><td><p><span>6 132,82</span></p></td><td><p><span>4 354 607,88</span></p></td></tr><tr><td><p><span>4</span></p></td><td><p><span>EXPENDITURE FOR IMPLEMENTING SPECIAL PROJECTS FUNDED BY SPECIFIC EU SUBSIDIES</span></p></td></tr><tr><td><p>4 1</p></td><td><p>PROJECTS</p></td><td><p>—</p></td><td><p> </p></td><td><p>—</p></td></tr><tr><td><p> </p></td><td><p><span>Title 4 — Total</span></p></td><td><p><span>—</span></p></td><td><p> </p></td><td><p><span>—</span></p></td></tr><tr><td><p><span>5</span></p></td><td><p><span>RESERVE</span></p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p> </p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>15 393 962,64</span></p></td><td><p><span>27 394,97</span></p></td><td><p><span>15 421 357,61</span></p></td></tr></tbody></table> | ENG | 32017B0113(02) |
<table><col/><col/><col/><col/><tbody><tr><td><p>25.6.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 168/11</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2016/1027
of 24 June 2016
fixing the allocation coefficient to be applied to applications for export licences for certain milk products to be exported to the Dominican Republic under the quota referred to in Regulation (EC) No 1187/2009
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 ( 1 ) , and in particular Article 188 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Section 3 of Chapter III of Commission Regulation (EC) No 1187/2009<a> (<span>2</span>)</a> determines the procedure for allocating export licences for certain milk products to be exported to the Dominican Republic under a quota opened for that country.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Article 29 of Regulation (EC) No 1187/2009 provides for the possibility for operators to lodge export licence applications from 20 to 30 May for exports during the quota year from 1 July to 30 June of the following year. It is appropriate, pursuant to Article 31(2) of Regulation (EC) No 1187/2009, to determine to what extent licences for quantities applied for may be granted and to fix the allocation coefficient for each part of the quota.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The applications lodged between 20 and 30 May 2016 cover quantities lower than those available. As a result, it is appropriate, pursuant to the first subparagraph of Article 31(3) of Regulation (EC) No 1187/2009 to fix the remaining quantity for which license applications can be lodged from 1 to 10 November 2016,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The applications for export licences lodged from 20 to 30 May 2016 shall be accepted.
The quantities covered by export licence applications referred to in the first paragraph of this Article for the products referred to in Article 27(2) of Regulation (EC) No 1187/2009 shall be multiplied by the following allocation coefficients:
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>1,00 for applications lodged for the part of the quota referred to in Article 28(1)(a) of Regulation (EC) No 1187/2009,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>1,00 for applications lodged for the part of the quota referred to in Article 28(1)(b) of Regulation (EC) No 1187/2009.</p></td></tr></tbody></table>
The remaining quantity as referred to in the first subparagraph of Article 31(3) of Regulation (EC) No 1187/2009 shall be 8 095 tonnes.
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, 24 June 2016.
For the Commission,
On behalf of the President,
Jerzy PLEWA
Director-General for Agriculture and Rural Development
<note>
( 1 ) OJ L 347, 20.12.2013, p. 671 .
( 2 ) Commission Regulation (EC) No 1187/2009 of 27 November 2009 laying down special detailed rules for the application of Council Regulation (EC) No 1234/2007 as regards export licences and export refunds for milk and milk products ( OJ L 318, 4.12.2009, p. 1 ).
</note> | ENG | 32016R1027 |
<table><col/><col/><col/><col/><tbody><tr><td><p>9.11.2020   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 372/50</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING DECISION (EU) 2020/1653
of 6 November 2020
terminating the anti-subsidy proceeding concerning imports of certain hot rolled stainless steel sheets and coils originating in the People's Republic of China and Indonesia
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2016/1037 of the European Parliament and of the Council of 8 June 2016 on protection against subsidised imports from countries not members of the European Union ( 1 ) , and in particular Article 14(1) thereof,
Whereas:
1. PROCEDURE
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 10 October 2019 the European Commission (‘the Commission’) initiated an anti-subsidy investigation with regard to imports into the Union of certain hot-rolled stainless steel sheets and coils (‘SSHR’ or ‘the product under investigation’) originating in the People’s Republic of China and Indonesia. The Commission published a notice of initiation in the<span>Official Journal of the European Union</span> <a>(<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The product under investigation (‘SSHR’) is flat-rolled products of stainless steel, whether or not in coils (including products cut-to-length and narrow strip), not further worked than hot-rolled and excluding products, not in coils, of a width of 600 mm or more and of a thickness exceeding 10 mm, originating in the People’s Republic of China and Indonesia.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The investigation was initiated following a complaint lodged by the European Steel Association (‘Eurofer’ or ‘the complainant’) on behalf of four Union producers representing the entirety of Union production of the product under investigation. The complaint contained sufficient evidence of subsidisation and of a resulting injury to justify the initiation of the investigation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In the notice of initiation, the Commission invited interested parties to contact it in order to participate in the investigation. In addition, the Commission specifically informed the complainants, other known Union producers, the known exporting producers and the Chinese authorities, known importers, suppliers and users, traders, as well as associations known to be concerned about the initiation of the investigation and invited them to participate.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>All interested parties had an opportunity to comment on the initiation of the investigation and to request a hearing with the Commission and/or the Hearing Officer in trade proceedings within the time limit set in the notice of initiation.</p></td></tr></tbody></table>
2. WITHDRAWAL OF THE COMPLAINT AND TERMINATION OF THE PROCEEDING
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>On 18 September 2020, the complainant informed the Commission that it withdrew the complaint.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Under Article 14(1) of Regulation (EU) 2016/1037, proceedings may be terminated where the complaint is withdrawn, unless such termination would not be in the Union interest.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>The investigation had not brought to light any considerations showing that a continuation of the case would be in the Union interest.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The Commission therefore concluded that anti-subsidy proceeding concerning imports into the Union of certain hot-rolled stainless steel sheets and coils originating in the People’s Republic of China and Indonesia should be terminated without the imposition of measures.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>Interested parties were informed accordingly and were given an opportunity to comment. The Government of Indonesia commented that it fully agreed with the Commission’s conclusion. No further comments were received.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The Decision is in accordance with the opinion of the Committee established by Article 25(1) Regulation (EU) 2016/1037,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
The anti-subsidy proceeding concerning imports into the Union of flat-rolled products of stainless steel, whether or not in coils (including products cut-to-length and narrow strip), not further worked than hot-rolled and excluding products, not in coils, of a width of 600 mm or more and of a thickness exceeding 10 mm, currently falling under HS codes 7219 11, 7219 12, 7219 13, 7219 14, 7219 22, 7219 23, 7219 24, 7220 11 and 7220 12, originating in the People’s Republic of China and Indonesia, is terminated.
Article 2
This Decision shall enter into force on the day following that of its publication in the Official Journal of the European Union .
Done at Brussels, 6 November 2020.
For the Commission
The President
Ursula VON DER LEYEN
<note>
( 1 ) OJ L 176, 30.6.2016, p. 55 .
( 2 ) Notice of initiation of an anti-subsidy proceeding concerning imports of certain hot rolled stainless steel sheets and coils originating in the People's Republic of China and Indonesia ( OJ C 342, 10.10.2019, p. 18 ).
</note> | ENG | 32020D1653 |
<table><col/><col/><col/><col/><tbody><tr><td><p>3.9.2015   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 229/5</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2015/1486
of 2 September 2015
concerning the authorisation of canthaxanthin as feed additive for certain categories of poultry, ornamental fish and ornamental birds
(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 1831/2003 of the European Parliament and of the Council of 22 September 2003 on additives for use in animal nutrition ( 1 ) , and in particular Article 9(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Regulation (EC) No 1831/2003 provides for the authorisation of additives for use in animal nutrition and for the grounds and procedures for granting such authorisation. Article 10 of that Regulation provides for the re-evaluation of additives authorised pursuant to Council Directive 70/524/EEC<a> (<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Canthaxanthin was authorised under Directive 70/524/EEC without a time limit for poultry and with a time limit for ornamental birds and ornamental fish. That product was subsequently entered in the Register of feed additives as an existing product, in accordance with Article 10(1) of Regulation (EC) No 1831/2003.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>In accordance with Article 10(2) of Regulation (EC) No 1831/2003 in conjunction with Article 7 thereof, an application was submitted for the re-evaluation of canthaxanthin and its preparations for certain categories of poultry (chickens and minor poultry species for fattening, laying poultry and poultry reared for laying), ornamental fish and ornamental birds and, in accordance with Article 7 of that Regulation, for a new use in water for drinking for all these species and categories. The applicant requested this additive to be classified in the additive category ‘sensory additives’, functional group ‘colourants’. Those applications were accompanied by the particulars and documents required under Article 7(3) of Regulation (EC) No 1831/2003.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The European Food Safety Authority (‘the Authority’) concluded in its opinion of 3 December 2013<a> (<span>3</span>)</a> that, under the proposed conditions of use in feed, canthaxanthin does not have an adverse effect on animal health, human health or the environment. The Authority further concluded that no safety concerns would arise for users. The Authority concluded that canthaxanthin is efficacious in pigmenting egg yolk and skin/fat of poultry and has the potential to enhance plumage pigmentation of ornamental birds and the skin pigmentation of ornamental fish. The Authority does not consider that there is a need for specific requirements of post-market monitoring. It also verified the report on the method of analysis of the feed additives in feed submitted by the Reference Laboratory set up by Regulation (EC) No 1831/2003.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The assessment of canthaxanthin shows that the conditions for authorisation, as provided for in Article 5 of Regulation (EC) No 1831/2003, are satisfied. Accordingly, the use of this substance should be authorised as specified in the Annex to this Regulation. Maximum contents should be set up for canthaxanthin. This additive may be used within a compound feed subsequently administered via water.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Since safety reasons do not require the immediate application of the modifications to the conditions of authorisation, it is appropriate to allow a transitional period for the interested parties to prepare themselves to meet new requirements resulting from the authorisation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The substance specified in the Annex, belonging to the additive category ‘sensory additives’ and to the functional group ‘colourants’ is authorised as additive in animal nutrition subject to the conditions laid down in that Annex.
Article 2
1. The substance specified in the Annex and premixtures containing that substance, which are produced and labelled before 23 March 2016 in accordance with the rules applicable before 23 September 2015 may continue to be placed on the market and used until the existing stocks are exhausted.
2. Compound feed and feed materials containing the substance specified in the Annex which are produced and labelled before 23 September 2016 in accordance with the rules applicable before 23 September 2015 may continue to be placed on the market and used until the existing stocks are exhausted if they are intended for food-producing animals.
3. Compound feed and feed materials containing the substance specified in the Annex which are produced and labelled before 23 September 2017 in accordance with the rules applicable before 23 September 2015 may continue to be placed on the market and used until the existing stocks are exhausted if they are intended for non-food-producing animals.
Article 3
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, 2 September 2015.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 268, 18.10.2003, p. 29 .
( 2 ) Council Directive 70/524/EEC of 23 November 1970 concerning additives in feedingstuffs ( OJ L 270, 14.12.1970, p. 1 ).
( 3 ) EFSA Journal 2014;12(1):3527.
ANNEX
<table><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Identification number of the additive</p></td><td><p>Name of the holder of authorisation</p></td><td><p>Additive</p></td><td><p>Composition, chemical formula, description, analytical method</p></td><td><p>Species or category of animal</p></td><td><p>Maximum age</p></td><td><p>Minimum content</p></td><td><p>Maximum content</p></td><td><p>Other provisions</p></td><td><p>Maximum residue levels</p></td><td><p>End of period of authorisation</p></td></tr><tr><td><p>mg of active substance/kg of complete feedingstuff with a moisture content of 12 %</p></td></tr><tr><td><p><span>Category of sensory additives. Functional group: Colourants</span></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p><span>(ii)</span></p></td><td><span>substances which, when fed to animals, add colours to food of animal origin</span></td></tr></tbody></table></td></tr><tr><td><p>2a161g</p></td><td><p>—</p></td><td><p>Canthaxanthin</p></td><td><p><span>Additive composition</span></p><p>Canthaxanthin.</p><p>Triphenylphosphine oxide (TPPO) ≤ 100 mg/kg.</p><p>Dichloromethane ≤ 600 mg/kg</p><p><span>Characterisation of the active substance</span></p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Canthaxanthin</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>C<span>40</span>H<span>52</span>O<span>2</span></p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>CAS number: 514-78-3</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Canthaxanthin, solid form, produced by chemical synthesis.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Purity:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Assay: min. 96 %</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Carotenoids other than canthaxanthin: not more than 5 % of total colouring matters.</p></td></tr></tbody></table></td></tr></tbody></table><p><span>Method of Analysis</span><a> (<span>1</span>)</a></p><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>For the quantification of canthaxanthin in the feed additive: spectrophotometry at 426 nm.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>For the quantification of canthaxanthin in the premixtures and feedingstuffs: Normal Phase High Performance Liquid Chromatography coupled to visible detection (NP-HPLC-VIS, 466 nm)</p></td></tr></tbody></table></td><td><p>Chickens for fattening and minor poultry species for fattening.</p></td><td><p>—</p></td><td><p>—</p></td><td><p>25</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Canthaxanthin may be placed on the market and used as an additive consisting of a preparation</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>The mixture of canthaxanthin with other carotenoids and xanthophylls shall not exceed 80 mg/kg of complete feed.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>For safety: breathing protection, safety glasses and gloves should be worn during handling.</p></td></tr></tbody></table></td><td><p>Poultry 15 mg canthaxanthin/kg liver (wet tissue) and 2,5 mg canthaxanthin/kg skin/fat (wet tissue)</p><p>Laying poultry 30 mg canthaxanthin/kg egg yolk (wet tissue)</p></td><td><p>23.9.2025</p></td></tr><tr><td><p>Laying poultry and poultry reared for laying.</p></td><td><p> </p></td><td><p> </p></td><td><p>8</p></td></tr></tbody></table>
<table><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Identification number of the additive</p></td><td><p>Name of the holder of authorisation</p></td><td><p>Additive</p></td><td><p>Composition, chemical formula, description, analytical method</p></td><td><p>Species or category of animal</p></td><td><p>Maximum age</p></td><td><p>Minimum content</p></td><td><p>Maximum content</p></td><td><p>Other provisions</p></td><td><p>Maximum residue levels</p></td><td><p>End of period of authorisation</p></td></tr><tr><td><p>mg of active substance/kg of complete feedingstuff with a moisture content of 12 %</p></td></tr><tr><td><p><span>Category of sensory additives. Functional group: Colourants</span></p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p><span>(iii)</span></p></td><td><span>substances which favourably affect the colour of ornamental fish or birds</span></td></tr></tbody></table></td></tr><tr><td><p>2a161g</p></td><td><p>—</p></td><td><p>Canthaxanthin</p></td><td><p><span>Additive composition</span></p><p>Canthaxanthin.</p><p>Triphenylphosphine oxide (TPPO) ≤ 100 mg/kg</p><p>Dichloromethane ≤ 600 mg/kg</p><p><span>Characterisation of the active substance</span></p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Canthaxanthin</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>C<span>40</span>H<span>52</span>O<span>2</span></p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>CAS number: 514-78-3</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Canthaxanthin, solid form, produced by chemical synthesis.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Purity:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Assay: min. 96 %</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Carotenoids other than canthaxanthin: not more than 5 % of total colouring matters.</p></td></tr></tbody></table></td></tr></tbody></table><p><span>Method of Analysis</span><a> (<span>2</span>)</a></p><p>For the quantification of canthaxanthin in the feed additive: spectrophotometry at 426 nm.</p><p>For the quantification of canthaxanthin in the premixtures and feedingstuffs: Normal Phase High Performance Liquid Chromatography coupled to visible detection (NP-HPLC-VIS, 466 nm).</p></td><td><p>Ornamental fish and ornamental birds except ornamental breeder hens.</p></td><td><p>—</p></td><td><p>—</p></td><td><p>100</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Canthaxanthin may be placed on the market and used as an additive consisting of a preparation.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>The mixture of canthaxanthin with other carotenoids and xanthopylls shall not exceed 100 mg/kg of complete feed.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>For safety: breathing protection, safety glasses and gloves should be worn during handling.</p></td></tr></tbody></table></td><td><p> </p></td><td><p>23.9.2025</p></td></tr><tr><td><p>Ornamental breeder hens</p></td><td><p>—</p></td><td><p>—</p></td><td><p>8</p></td></tr></tbody></table>
<note>
( 1 ) Details of the analytical methods are available at the following address of the European Union Reference Laboratory for Feed Additives: https://ec.europa.eu/jrc/en/eurl/feed-additives/evaluation-reports
( 2 ) Details of the analytical methods are available at the following address of the European Union Reference Laboratory for Feed Additives: https://ec.europa.eu/jrc/en/eurl/feed-additives/evaluation-reports
</note> | ENG | 32015R1486 |
<table><col/><col/><col/><col/><tbody><tr><td><p>30.5.2017   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 139/30</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2017/912
of 29 May 2017
concerning the authorisation of the preparation of Lactobacillus plantarum DSM 29024 as a feed additive for all animal species
(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 1831/2003 of the European Parliament and of the Council of 22 September 2003 on additives for use in animal nutrition ( 1 ) , and in particular Article 9(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Regulation (EC) No 1831/2003 provides for the authorisation of additives for use in animal nutrition and for the grounds and procedures for granting such authorisation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>In accordance with Article 7 of Regulation (EC) No 1831/2003 an application was submitted for the authorisation of the preparation of<span>Lactobacillus plantarum</span> DSM 29024. That application was accompanied by the particulars and documents required under Article 7(3) of Regulation (EC) No 1831/2003.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>That application concerns the authorisation of the preparation of<span>Lactobacillus plantarum</span> DSM 29024 as a feed additive for all animal species to be classified in the additive category ‘technological additives’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The European Food Safety Authority (‘the Authority’) concluded in its opinion of 6 December 2016<a> (<span>2</span>)</a> that, under the proposed conditions of use, the preparation of<span>Lactobacillus plantarum</span> DSM 29024 does not have an adverse effect on animal health, human health or the environment. The Authority also concluded that the preparation concerned has the potential to improve the production of silage prepared from easy and moderately difficult to ensile material by preserving nutrients. The Authority does not consider that there is a need for specific requirements of post-market monitoring. It also verified the report on the methods of analysis of the feed additive in feed submitted by the Reference Laboratory set up by Regulation (EC) No 1831/2003.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The assessment of the preparation of<span>Lactobacillus plantarum</span> DSM 29024 shows that the conditions for authorisation, as provided for in Article 5 of Regulation (EC) No 1831/2003, are satisfied. Accordingly, the use of that preparation should be authorised as specified in the Annex to this Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The preparation specified in the Annex, belonging to the additive category ‘technological additives’ and to the functional group ‘silage additives’, is authorised as an additive in animal nutrition, subject to the conditions laid down in that Annex.
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, 29 May 2017.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 268, 18.10.2003, p. 29 .
( 2 ) EFSA Journal 2017; 15(1):4675.
ANNEX
<table><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Identification number of the additive</p></td><td><p>Additive</p></td><td><p>Composition, chemical formula, description, analytical method</p></td><td><p>Species or category of animal</p></td><td><p>Maximum age</p></td><td><p>Minimum content</p></td><td><p>Maximum content</p></td><td><p>Other provisions</p></td><td><p>End of period of authorisation</p></td></tr><tr><td><p>CFU of additive/kg of fresh material</p></td></tr><tr><td><p><span>Technological additives: silage additives</span></p></td></tr><tr/><tr><td><p>1k20753</p></td><td><p>Lactobacillus plantarum</p><p>DSM 29024</p></td><td><p><span>Additive composition</span></p><p>Preparation of<span>Lactobacillus plantarum</span></p><p>DSM 29024 containing a minimum of 8 × 10<span>10</span> CFU/g additive.</p><p><span>Characterisation of the active substance</span></p><p>Viable cells of<span>Lactobacillus plantarum</span> DSM 29024.</p><p><span>Analytical method</span><a> (<span>1</span>)</a></p><p>Enumeration in the feed additive: spread plate method on de Man, Rogosa and Sharpe (MRS) agar (EN 15787).</p><p>Identification of the feed additive: Pulsed-Field Gel Electrophoresis (PFGE).</p></td><td><p>All animal species</p></td><td><p>—</p></td><td><p>—</p></td><td><p>—</p></td><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>In the directions for use of the additive and premixtures, the storage conditions and stability to heat treatment shall be indicated.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Minimum content of the additive when used without combination with other micro-organisms as silage additives: 5 × 10<span>7</span> CFU/kg of easy and moderately difficult to ensile fresh material<a> (<span>2</span>)</a>.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks resulting from their use. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection.</p></td></tr></tbody></table></td><td><p>19 June 2027</p></td></tr></tbody></table>
<note>
( 1 ) Details of the analytical methods are available at the following address of the Reference Laboratory: https://ec.europa.eu/jrc/en/eurl/feed-additives/evaluation-reports
( 2 ) Easy to ensile forage: > 3 % soluble carbohydrates in fresh material. Moderately difficult to ensile forage: 1,5-3,0 % soluble carbohydrates in the fresh material. Commission Regulation (EC) No 429/2008 of 25 April 2008 on detailed rules for the implementation of Regulation (EC) No 1831/2003 of the European Parliament and of the Council as regards the preparation and the presentation of application sand the assessment and the authorisation of feed additives ( OJ L 133, 22.5.2008, p. 1 ).
</note> | ENG | 32017R0912 |
<table><col/><col/><col/><col/><tbody><tr><td><p>26.6.2019   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 215/2</p></td></tr></tbody></table>
ADMINISTRATIVE COMMISSION FOR THE COORDINATION OF SOCIAL SECURITY SYSTEMS
DECISION No F3
of 19 December 2018
concerning the interpretation of Article 68 of Regulation (EC) No 883/2004 relating to the method for the calculation of the differential supplement
(Text of relevance to the EEA and to the EC/Switzerland Agreement)
(2019/C 215/02)
THE ADMINISTRATIVE COMMISSION FOR THE COORDINATION OF SOCIAL SECURITY SCHEMES,
Having regard to Article 72(a) of Regulation (EC) No 883/2004 of the European Parliament and of the Council of 29 April 2004 on the coordination of social security schemes ( 1 ) under which the Administrative Commission is responsible for dealing with all administrative questions and questions of interpretation arising from the provisions of Regulation (EC) No 883/2004 and Regulation (EC) No 987/2009 of the European Parliament and of the Council of 16 September 2009 laying down the procedure for implementing Regulation (EC) No 883/2004 on the coordination of social security systems ( 2 ) ,
Having regard to Article 68 of Regulation (EC) No 883/2004,
Having regard to Article 60 of Regulation (EC) No 987/2009;
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 68(2) of Regulation (EC) No 883/2004 provides that in the case of overlapping entitlements to family benefits under the legislation of more than one Member State, family benefits shall be provided in accordance with the legislation designated as having priority in accordance with paragraph (1). Entitlements to family benefits by virtue of other conflicting legislation or legislations shall be suspended up to the amount provided for by the first legislation and a differential supplement shall be provided, if necessary, for the sum which exceeds this amount.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>In order to facilitate the uniform application of Regulation (EC) No 883/2004 the Administrative Commission therefore agrees that a uniform procedure to implement the said Article should be established with regard to the comparison between the amounts provided for by the two or more legislations concerned and with regard to the determination of the differential supplement that may have to be paid by the institution concerned.</p><p>Acting in accordance with the conditions laid down in Article 71(2) of Regulation (EC) No 883/2004,</p></td></tr></tbody></table>
HAS DECIDED AS FOLLOWS:
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><span>The institution of the Member State whose legislation has not been designated as having priority according to Article 68(1) of Regulation (EC) No 883/2004 shall, for each member of the family, make the comparison between the amount of family benefits provided for by the legislation designated as having priority and the amount of family benefits provided by the legislation which it administers.</span></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><span>After having made the comparison for each individual member of the family, the institution concerned shall pay a differential supplement equal to the difference between the two amounts.</span></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><span>This decision shall be published on the<span>Official Journal of the European Union</span>. It enters into force on the twentieth day following that of its publication.</span></td></tr></tbody></table>
The Chair of the Administrative Commission
Bernhard SPIEGEL
<note>
( 1 ) OJ L 166, 30.4.2004, p. 1 .
( 2 ) OJ L 284, 30.10.2009, p. 1 .
</note> | ENG | 32019D0626(01) |
<table><col/><col/><col/><col/><tbody><tr><td><p>27.12.2022   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 333/164</p></td></tr></tbody></table>
DIRECTIVE (EU) 2022/2557 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 14 December 2022
on the resilience of critical entities and repealing Council Directive 2008/114/EC
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114 thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee ( 1 ) ,
Having regard to the opinion of the Committee of the Regions ( 2 ) ,
Acting in accordance with the ordinary legislative procedure ( 3 ) ,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Critical entities, as providers of essential services, play an indispensable role in the maintenance of vital societal functions or economic activities in the internal market in an increasingly interdependent Union economy. It is therefore essential to set out a Union framework with the aim of both enhancing the resilience of critical entities in the internal market by laying down harmonised minimum rules and assisting them by means of coherent and dedicated support and supervision measures.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Council Directive 2008/114/EC <a>(<span>4</span>)</a> provides for a procedure for designating European critical infrastructure in the energy and transport sectors the disruption or destruction of which would have a significant cross-border impact on at least two Member States. That Directive focuses exclusively on the protection of such infrastructure. However, the evaluation of Directive 2008/114/EC conducted in 2019 found that, due to the increasingly interconnected and cross-border nature of operations using critical infrastructure, protective measures relating to individual assets alone are insufficient to prevent all disruptions from taking place. Therefore, it is necessary to shift the approach towards ensuring that risks are better accounted for, that the role and duties of critical entities as providers of services essential to the functioning of the internal market are better defined and coherent, and that Union rules are adopted to enhance the resilience of critical entities. Critical entities should be in a position to reinforce their ability to prevent, protect against, respond to, resist, mitigate, absorb, accommodate and recover from incidents that have the potential to disrupt the provision of essential services.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>While a number of measures at Union level, such as the European Programme for Critical Infrastructure Protection, and at national level aim to support the protection of critical infrastructure in the Union, more should be done to better equip the entities operating such infrastructure to address the risks to their operations that could result in the disruption of the provision of essential services. More should also be done to better equip such entities because there is a dynamic threat landscape, which includes evolving hybrid and terrorist threats, and growing interdependencies between infrastructure and sectors. Moreover, there is an increased physical risk due to natural disasters and climate change, which intensifies the frequency and scale of extreme weather events and brings long-term changes in average climate conditions that can reduce the capacity, efficiency and lifespan of certain infrastructure types if climate adaptation measures are not in place. In addition, the internal market is characterised by fragmentation in respect of the identification of critical entities because relevant sectors and categories of entities are not recognised consistently as critical in all Member States. This Directive should therefore achieve a solid level of harmonisation in terms of the sectors and categories of entities falling within its scope.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>While certain sectors of the economy, such as the energy and transport sectors, are already regulated by sector-specific Union legal acts, those legal acts contain provisions which relate only to certain aspects of resilience of entities operating in those sectors. In order to address in a comprehensive manner the resilience of those entities that are critical for the proper functioning of the internal market, this Directive creates an overarching framework that addresses the resilience of critical entities in respect of all hazards, whether natural or man-made, accidental or intentional.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The growing interdependencies between infrastructure and sectors are the result of an increasingly cross-border and interdependent network of service provision using key infrastructure across the Union in the energy, transport, banking, drinking water, waste water, production, processing and distribution of food, health, space, financial market infrastructure and digital infrastructure sectors and in certain aspects of the public administration sector. The space sector falls within the scope of this Directive with respect to the provision of certain services that depend on ground-based infrastructure owned, managed and operated either by Member States or by private parties; consequently, infrastructure owned, managed or operated by or on behalf of the Union as part of its space programme does not fall within the scope of this Directive.</p><p>In terms of the energy sector and in particular the methods of electricity generation and transmission (in respect of supply of electricity), it is understood that, where deemed appropriate, electricity generation can include electricity transmission parts of nuclear power plants but excludes the specifically nuclear elements covered by treaties and Union law, including relevant legal acts of the Union concerning nuclear power. The process for identifying critical entities in the food sector should adequately reflect the nature of the internal market in that sector and the extensive Union rules relating to the general principles and requirements of food law and food safety. Therefore, in order to ensure that there is a proportionate approach and to adequately reflect the role and importance of those entities at national level, critical entities should only be identified among food businesses, whether for profit or not and whether public or private, that are engaged exclusively in logistics and wholesale distribution and large-scale industrial production and processing with a significant market share as observed at national level. Those interdependencies mean that any disruption of essential services, even one which is initially confined to one entity or one sector, can have cascading effects more broadly, potentially resulting in a far-reaching and long-term negative impact on the delivery of services across the internal market. Major crises, such as the COVID-19 pandemic, have shown the vulnerability of our increasingly interdependent societies in the face of high-impact low-probability risks.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The entities involved in the provision of essential services are increasingly subject to diverging requirements imposed under national law. The fact that some Member States have less stringent security requirements on those entities not only leads to various levels of resilience but also risks negatively impacting the maintenance of vital societal functions or economic activities across the Union and leads to obstacles to the proper functioning of the internal market. Investors and companies can rely on and trust critical entities that are resilient, and reliability and trust are the cornerstones of a well-functioning internal market. Similar types of entities are considered as critical in some Member States but not in others, and those which are identified as critical are subject to divergent requirements in different Member States. That results in an additional and unnecessary administrative burden for companies operating across borders, in particular for companies active in Member States with more stringent requirements. A Union framework would therefore also have the effect of levelling the playing field for critical entities across the Union.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>It is necessary to lay down harmonised minimum rules to ensure the provision of essential services in the internal market, to enhance the resilience of critical entities and to improve cross-border cooperation between competent authorities. It is important that those rules be future proof in terms of their design and implementation while allowing for necessary flexibility. It is also crucial to improve the capacity of critical entities to provide essential services in the face of a diverse set of risks.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>In order to achieve a high level of resilience, Member States should identify critical entities that will be subject to specific requirements and supervision and that will be provided with particular support and guidance in the face of all relevant risks.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>Given the importance of cybersecurity for the resilience of critical entities and in the interests of consistency, a coherent approach should be ensured, wherever possible, between this Directive and Directive (EU) 2022/2555 of the European Parliament and of the Council <a>(<span>5</span>)</a>. In light of the higher frequency and particular characteristics of cyber risks, Directive (EU) 2022/2555 imposes comprehensive requirements on a large set of entities to ensure their cybersecurity. Given that cybersecurity is addressed sufficiently in Directive (EU) 2022/2555, the matters covered by that Directive should be excluded from the scope of this Directive, without prejudice to the particular regime for entities in the digital infrastructure sector.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>Where provisions of sector-specific Union legal acts require critical entities to take measures to enhance their resilience, and where those requirements are recognised by Member States as at least equivalent to the corresponding obligations laid down in this Directive, the relevant provisions of this Directive should not apply, so as to avoid duplication and unnecessary burden. In that case, the relevant provisions of such Union legal acts should apply. Where the relevant provisions of this Directive do not apply, the provisions on supervision and enforcement laid down in this Directive should not apply either.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>This Directive does not affect the competence of Member States and their authorities in terms of administrative autonomy or their responsibility for safeguarding national security and defence or their power to safeguard other essential State functions, in particular concerning public security, territorial integrity and the maintenance of law and order. The exclusion of public administration entities from the scope of this Directive should apply to entities whose activities are predominantly carried out in the areas of national security, public security, defence or law enforcement, including the investigation, detection and prosecution of criminal offences. However, public administration entities whose activities are only marginally related to those areas should fall within the scope of this Directive. For the purposes of this Directive, entities with regulatory competences are not considered to be carrying out activities in the area of law enforcement and are therefore not excluded on that ground from the scope of this Directive. Public administration entities that are jointly established with a third country in accordance with an international agreement are excluded from the scope of this Directive. This Directive does not apply to Member States’ diplomatic and consular missions in third countries.</p><p>Certain critical entities carry out activities in the areas of national security, public security, defence or law enforcement, including the investigation, detection and prosecution of criminal offences, or provide services exclusively to public administration entities that carry out activities predominantly in those areas. In light of the Member States’ responsibility for safeguarding national security and defence, Member States should be able to decide that the obligations on critical entities laid down in this Directive do not apply, in whole or in part, to those critical entities if the services they provide or the activities they perform are predominantly related to the areas of national security, public security, defence or law enforcement, including the investigation, detection and prosecution of criminal offences. Critical entities whose services or activities are only marginally related to those areas should fall within the scope of this Directive. No Member State should be required to supply information the disclosure of which would be contrary to the essential interests of its national security. Union or national rules for the protection of classified information and non-disclosure agreements are of relevance.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>In order not to jeopardise national security or the security and commercial interests of critical entities, sensitive information should be accessed, exchanged and handled prudently and with particular attention to the transmission channels and storage capacities used.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>With a view to ensuring a comprehensive approach to the resilience of critical entities, each Member State should have in place a strategy for enhancing the resilience of critical entities (the ‘strategy’). The strategy should set out the strategic objectives and policy measures to be implemented. In the interests of coherence and efficiency, the strategy should be designed to seamlessly integrate existing policies, building, wherever possible, upon relevant existing national and sectoral strategies, plans or similar documents. In order to achieve a comprehensive approach, Member States should ensure that their strategies provide for a policy framework for enhanced coordination between the competent authorities under this Directive and the competent authorities under Directive (EU) 2022/2555 in the context of information sharing on cybersecurity risks, cyber threats and cyber incidents and non-cyber risks, threats and incidents and in the context of the exercise of supervisory tasks. When putting in place their strategies, Member States should take due account of the hybrid nature of threats to critical entities.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>Member States should communicate their strategies and substantial updates thereto to the Commission, in particular to enable the Commission to assess the correct application of this Directive as regards policy approaches to the resilience of critical entities at national level. Where necessary, the strategies could be communicated as classified information. The Commission should draw up a summary report of the strategies communicated by Member States to serve as a basis for exchanges to identify best practices and issues of common interest in the framework of a Critical Entities Resilience Group. Due to the sensitive nature of the aggregated information included in the summary report, whether classified or not, the Commission should manage the summary report with the appropriate level of awareness with respect for the security of critical entities, Member States and the Union. The summary report and the strategies should be safeguarded against unlawful or malicious action and should be accessible only to authorised persons in order to fulfil the objectives of this Directive. The communication of the strategies and substantial updates thereto should also help the Commission to understand developments in approaches to the resilience of critical entities and feed into the monitoring of the impact and added value of this Directive, which the Commission is to review periodically.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>The actions of Member States to identify and help ensure the resilience of critical entities should follow a risk-based approach that focuses on the entities most relevant for the performance of vital societal functions or economic activities. In order to ensure such a targeted approach, each Member State should carry out, within a harmonised framework, an assessment of the relevant natural and man-made risks, including those of a cross-sectoral or cross-border nature, that could affect the provision of essential services, including accidents, natural disasters, public health emergencies such as pandemics and hybrid threats or other antagonistic threats, including terrorist offences, criminal infiltration and sabotage (‘Member State risk assessment’). When carrying out Member State risk assessments, Member States should take into account other general or sector-specific risk assessments carried out pursuant to other Union legal acts and should consider the extent to which sectors depend on one another, including on sectors in other Member States and third countries. The outcome of Member State risk assessments should be used for the purposes of identifying critical entities and assisting those entities in meeting their resilience requirements. This Directive applies only to Member States and critical entities that operate within the Union. Nevertheless, the expertise and knowledge generated by competent authorities, in particular through risk assessments, and by the Commission, in particular through various forms of support and cooperation, could be used, where appropriate and in accordance with the applicable legal instruments, for the benefit of third countries, in particular those in the direct neighbourhood of the Union, by feeding into existing cooperation on resilience.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>In order to ensure that all relevant entities are subject to the resilience requirements of this Directive and to reduce divergences in that respect, it is important to lay down harmonised rules allowing for a consistent identification of critical entities across the Union, while also allowing Member States to adequately reflect the role and importance of those entities at national level. When applying the criteria laid down in this Directive, each Member State should identify entities that provide one or more essential services and that operate and have critical infrastructure located on its territory. An entity should be considered to operate on the territory of a Member State in which it carries out activities necessary for the essential service or services in question and in which that entity’s critical infrastructure, which is used to provide that service or those services, is located. Where no entity meets those criteria in a Member State, that Member State should be under no obligation to identify a critical entity in the corresponding sector or subsector. In the interests of effectiveness, efficiency, consistency and legal certainty, appropriate rules should be established as regards notifying entities that they have been identified as critical entities.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>Member States should submit to the Commission, in a manner that fulfils the objectives of this Directive, a list of essential services, the number of critical entities identified for each of the sectors and subsectors set out in the Annex and for the essential service or services that each entity provides and, if applied, thresholds. It should be possible to present thresholds as such or in aggregated form, meaning that the information can be averaged by geographic area, by year, by sector, by subsector or by other means, and can include information on the range of the indicators provided.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>Criteria should be established to determine the significance of a disruptive effect produced by an incident. Those criteria should build on the criteria set out in Directive (EU) 2016/1148 of the European Parliament and of the Council <a>(<span>6</span>)</a> in order to capitalise on the efforts carried out by Member States to identify operators of essential services as defined in that Directive and the experience gained in that regard. Major crises, such as the COVID-19 pandemic, have shown the importance of ensuring the security of the supply chain and have demonstrated how its disruption can have a negative economic and societal impact across a large number of sectors and across borders. Therefore, Member States should also consider effects on the supply chain, to the extent possible, when determining the extent to which other sectors and subsectors depend on the essential service provided by a critical entity.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>In accordance with applicable Union and national law, including Regulation (EU) 2019/452 of the European Parliament and of the Council <a>(<span>7</span>)</a>, which establishes a framework for the screening of foreign direct investments in the Union, the potential threat posed by foreign ownership of critical infrastructure within the Union is to be acknowledged because services, the economy and the free movement and safety of Union citizens depend on the proper functioning of critical infrastructure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>Directive (EU) 2022/2555 requires entities belonging to the digital infrastructure sector, which might be identified as critical entities under this Directive, to take appropriate and proportionate technical, operational and organisational measures to manage the risks posed to the security of network and information systems and to notify significant incidents and cyber threats. Since threats to the security of network and information systems can have different origins, Directive (EU) 2022/2555 applies an all-hazards approach that includes the resilience of network and information systems, as well as the physical components and environment of those systems.</p><p>Given that the requirements laid down in Directive (EU) 2022/2555 in that regard are at least equivalent to the corresponding obligations laid down in this Directive, the obligations laid down in Article 11 and Chapters III, IV and VI of this Directive should not apply to entities belonging to the digital infrastructure sector in order to avoid duplication and unnecessary administrative burden. However, considering the importance of the services provided by entities belonging to the digital infrastructure sector to critical entities belonging to all other sectors, Member States should identify, based on the criteria and using the procedure provided for in this Directive, entities belonging to the digital infrastructure sector as critical entities. Consequently, the strategies, the Member State risk assessments and the support measures set out in Chapter II of this Directive should apply. Member States should be able to adopt or maintain provisions of national law to achieve a higher level of resilience for those critical entities, provided that those provisions are consistent with applicable Union law.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>Union financial services law establishes comprehensive requirements on financial entities to manage all risks they face, including operational risks, and to ensure business continuity. Such law includes Regulations (EU) No 648/2012 <a>(<span>8</span>)</a>, (EU) No 575/2013 <a>(<span>9</span>)</a> and (EU) No 600/2014 <a>(<span>10</span>)</a> of the European Parliament and of the Council and Directives 2013/36/EU <a>(<span>11</span>)</a> and 2014/65/EU <a>(<span>12</span>)</a> of the European Parliament and of the Council. That legal framework is complemented by Regulation (EU) 2022/2554 of the European Parliament and of the Council <a>(<span>13</span>)</a>, which lays down requirements applicable to financial entities to manage Information and Communication Technology (ICT) risks, including concerning the protection of physical ICT infrastructure. Since the resilience of those entities is therefore comprehensively covered, Article 11 and Chapters III, IV and VI of this Directive should not apply to those entities in order to avoid duplication and unnecessary administrative burden.</p><p>However, considering the importance of the services provided by entities in the financial sector to critical entities belonging to all other sectors, Member States should identify, based on the criteria and using the procedure provided for in this Directive, entities in the financial sector as critical entities. Consequently, the strategies, the Member State risk assessments and the support measures set out in Chapter II of this Directive should apply. Member States should be able to adopt or maintain provisions of national law to achieve a higher level of resilience for those critical entities provided that those provisions are consistent with applicable Union law.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>Member States should designate or establish authorities competent to supervise the application of and, where necessary, enforce the rules of this Directive and ensure that those authorities are adequately empowered and resourced. In light of the differences in national governance structures, in order to safeguard existing sectoral arrangements or Union supervisory and regulatory bodies, and in order to avoid duplication, Member States should be able to designate or establish more than one competent authority. Where Member States designate or establish more than one competent authority, they should clearly delineate the respective tasks of the authorities concerned and ensure that they cooperate smoothly and effectively. All competent authorities should also cooperate more generally with other relevant authorities, at both Union and national level.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>In order to facilitate cross-border cooperation and communication and to enable the effective implementation of this Directive, each Member State should, without prejudice to the requirements of sector-specific Union legal acts, designate one single point of contact responsible for coordinating issues related to the resilience of critical entities and cross-border cooperation at Union level (‘single point of contact’), where relevant within a competent authority. Each single point of contact should liaise and coordinate communication, where relevant, with the competent authorities of its Member State, with the single points of contact of other Member States and with the Critical Entities Resilience Group.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>The competent authorities under this Directive and the competent authorities under Directive (EU) 2022/2555 should cooperate and exchange information in relation to cybersecurity risks, cyber threats and cyber incidents and non-cyber risks, threats and incidents affecting critical entities as well as in relation to relevant measures taken by competent authorities under this Directive and competent authorities under Directive (EU) 2022/2555. It is important that Member States ensure that the requirements provided for in this Directive and in Directive (EU) 2022/2555 are implemented in a complementary manner and that critical entities are not subject to an administrative burden beyond that which is necessary to achieve the objectives of this Directive and that Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>Member States should support critical entities, including those that qualify as small or medium-sized enterprises, in strengthening their resilience, in compliance with Member State obligations laid down in this Directive, without prejudice to the critical entities’ own legal responsibility to ensure such compliance and, in so doing, prevent excessive administrative burden. Member States could, in particular, develop guidance materials and methodologies, support the organisation of exercises to test the resilience of critical entities and provide advice and training to the personnel of critical entities. Where necessary and justified by public interest objectives, Member States could provide financial resources and should facilitate voluntary information sharing and the exchange of good practices between critical entities, without prejudice to the application of competition rules laid down in the Treaty on the Functioning of the European Union (TFEU).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>With the aim of enhancing the resilience of critical entities identified by Member States and in order to reduce the administrative burden on those critical entities, the competent authorities should consult one another, whenever appropriate, for the purpose of ensuring that this Directive is applied in a consistent manner. Those consultations should be entered into at the request of any interested competent authority and should focus on ensuring a convergent approach regarding interlinked critical entities that use critical infrastructure which is physically connected between two or more Member States, that belong to the same groups or corporate structures, or that have been identified in one Member State and that provide essential services to or in other Member States.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>Where provisions of Union or national law require critical entities to assess risks relevant for the purposes of this Directive and to take measures to ensure their own resilience, those requirements should be adequately considered for the purpose of supervising the compliance of critical entities with this Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>Critical entities should have a comprehensive understanding of the relevant risks to which they are exposed and a duty to analyse those risks. To that end, they should carry out risk assessments whenever necessary in view of their particular circumstances and the evolution of those risks and, in any event, every four years, in order to assess all relevant risks that could disrupt the provision of their essential services (‘critical entity risk assessment’). Where critical entities have carried out other risk assessments or drawn up documents pursuant to obligations laid down in other legal acts that are relevant for their critical entity risk assessment, they should be able to use those assessments and documents to meet the requirements set out in this Directive concerning critical entity risk assessments. A competent authority should be able to declare that an existing risk assessment carried out by a critical entity that addresses the relevant risks and the relevant extent of dependence is compliant, in whole or in part, with the obligations laid down in this Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>Critical entities should take technical, security and organisational measures that are appropriate and proportionate to the risks they face so as to prevent, protect against, respond to, resist, mitigate, absorb, accommodate and recover from an incident. While critical entities should take those measures in accordance with this Directive, the details and extent of such measures should reflect the different risks that each critical entity has identified as part of its critical entity risk assessment and the specificities of such entity in an appropriate and proportionate way. To promote a coherent Union approach, the Commission should, after consulting the Critical Entities Resilience Group, adopt non-binding guidelines to further specify those technical, security and organisational measures. Member States should ensure that each critical entity designate a liaison officer or equivalent as point of contact with the competent authorities.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>In the interests of effectiveness and accountability, critical entities should describe the measures they take, with a level of detail that sufficiently achieves the aims of effectiveness and accountability, having regard to the risks identified, in a resilience plan or in a document or documents that are equivalent to a resilience plan, and apply that plan in practice. Where a critical entity has already taken technical, security and organisational measures and drawn up documents pursuant to other legal acts that are relevant for resilience-enhancing measures under this Directive, it should be able, in order to avoid duplication, to use those measures and documents to meet the requirements as regards resilience measures under this Directive. In order to avoid duplication, a competent authority should be able to declare existing resilience measures taken by a critical entity that address its obligation to take technical, security and organisational measures pursuant to this Directive as compliant, in whole or in part, with the requirements of this Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>Regulations (EC) No 725/2004 <a>(<span>14</span>)</a> and (EC) No 300/2008 <a>(<span>15</span>)</a> of the European Parliament and of the Council and Directive 2005/65/EC of the European Parliament and of the Council <a>(<span>16</span>)</a> establish requirements applicable to entities in the aviation and maritime transport sectors to prevent incidents caused by unlawful acts and to resist and mitigate the consequences of such incidents. While the measures required under this Directive are broader in terms of risks addressed and types of measures to be taken, critical entities in those sectors should reflect in their resilience plan or equivalent documents the measures taken pursuant to those other Union legal acts. Critical entities are also to take into consideration Directive 2008/96/EC of the European Parliament and of the Council <a>(<span>17</span>)</a>, which introduces a network-wide road assessment to map the risk of accidents and a targeted road safety inspection to identify hazardous conditions, defects and problems that increase the risk of accidents and injuries, based on site visits of existing roads or sections of roads. Ensuring the protection and resilience of critical entities is of the utmost importance for the railway sector and, when implementing resilience measures under this Directive, critical entities are encouraged to refer to non-binding guidelines and good practices documents developed under sectorial workstreams, such as the EU Rail Passenger Security Platform set up by Commission Decision 2018/C 232/03 <a>(<span>18</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>The risk of employees of critical entities or their contractors misusing, for instance, their access rights within the critical entity’s organisation to harm and cause damage is of increasing concern. Member States should therefore specify the conditions under which critical entities are permitted, in duly reasoned cases and taking into account Member State risk assessments, to submit requests for background checks on persons falling within specific categories of its personnel. It should be ensured that the relevant authorities assess such requests within a reasonable timeframe and process them in accordance with national law and procedures and relevant and applicable Union law, including on the protection of personal data. In order to corroborate the identity of a person who is the subject of a background check, it is appropriate for Member States to require proof of identity, such as a passport, a national identity card or a digital form of identification, in accordance with applicable law.</p><p>Background checks should include a check of the criminal records of the person concerned. Member States should use the European Criminal Records Information System in accordance with the procedures set out in Council Framework Decision 2009/315/JHA <a>(<span>19</span>)</a> and, where relevant and applicable, Regulation (EU) 2019/816 of the European Parliament and of the Council <a>(<span>20</span>)</a> for the purpose of obtaining information from criminal records held by other Member States. Member States might also, where relevant and applicable, draw on the Second Generation Schengen Information System (SIS II) established by Regulation (EU) 2018/1862 of the European Parliament and of the Council <a>(<span>21</span>)</a>, intelligence and any other objective information available that might be necessary to determine the suitability of the person concerned to work in the position in relation to which the critical entity has requested a background check.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(33)</p></td><td><p>A mechanism for the notification of certain incidents should be established to allow the competent authorities to respond to incidents rapidly and adequately and to have a comprehensive overview of the impact, nature, cause and possible consequences of incidents with which the critical entities deal. Critical entities should notify, without undue delay, the competent authorities of incidents that significantly disrupt or have the potential to significantly disrupt the provision of essential services. Unless operationally unable to do so, critical entities should submit an initial notification no later than 24 hours after becoming aware of an incident. The initial notification should only include the information strictly necessary to make the competent authority aware of the incident and allow the critical entity to seek assistance, if required. Such a notification should indicate, where possible, the presumed cause of the incident. Member States should ensure that the requirement to submit that initial notification does not divert the critical entity’s resources from activities related to incident handling, which should be prioritised. The initial notification should be followed, where relevant, by a detailed report no later than one month after the incident. The detailed report should complement the initial notification and provide a more complete overview of the incident.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(34)</p></td><td><p>Standardisation should remain primarily a market-driven process. However, there might still be situations in which it is appropriate to require compliance with specific standards. Member States should, where useful, encourage the use of European and international standards and technical specifications relevant to the security and resilience measures applicable to critical entities.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(35)</p></td><td><p>While critical entities generally operate as part of an increasingly interconnected network of service provision and infrastructure and often provide essential services in more than one Member State, some of those critical entities are of particular significance for the Union and its internal market because they provide essential services to or in six or more Member States and, therefore, could benefit from specific support at Union level. Rules on advisory missions in respect of such critical entities of particular European significance should therefore be established. Those rules are without prejudice to the rules on supervision and enforcement set out in this Directive.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(36)</p></td><td><p>On a reasoned request from the Commission or from one or more Member States to or in which the essential service is provided, where additional information is necessary to be able to advise a critical entity in meeting its obligations under this Directive or to assess the compliance of a critical entity of particular European significance with those obligations, the Member State that has identified a critical entity of particular European significance as a critical entity should provide the Commission with certain information as set out in this Directive. In agreement with the Member State that has identified the critical entity of particular European significance as a critical entity, the Commission should be able to organise an advisory mission to assess the measures put in place by that entity. In order to ensure that such advisory missions are carried out properly, complementary rules should be established, in particular on the organisation and conduct of the advisory missions, the follow-up actions to be taken and the obligations for the critical entities of particular European significance concerned. The advisory mission should, without prejudice to the need for the Member State in which the advisory mission is conducted and the critical entity concerned to comply with the rules laid down in this Directive, be conducted subject to the detailed rules of the law of that Member State, for instance on the precise conditions to be fulfilled in order to obtain access to relevant premises or documents and on judicial redress. Specific expertise required for such advisory missions could, where relevant, be requested through the Emergency Response Coordination Centre established by Decision No 1313/2013/EU of the European Parliament and of the Council <a>(<span>22</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(37)</p></td><td><p>In order to support the Commission and facilitate cooperation among Member States and the exchange of information, including best practices, on issues relating to this Directive, a Critical Entities Resilience Group should be established as a Commission expert group. Member States should endeavour to ensure that the designated representatives of their competent authorities in the Critical Entities Resilience Group effectively and efficiently cooperate, including by designating representatives who hold security clearance, where appropriate. The Critical Entities Resilience Group should begin to perform its tasks as soon as possible, so as to provide additional means for appropriate cooperation during the transposition period of this Directive. The Critical Entities Resilience Group should interact with other relevant sector-specific expert working groups.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(38)</p></td><td><p>The Critical Entities Resilience Group should cooperate with the Cooperation Group established under Directive (EU) 2022/2555 with a view to supporting a comprehensive framework for cyber and non-cyber resilience of critical entities. The Critical Entities Resilience Group and the Cooperation Group established under Directive (EU) 2022/2555 should engage in a regular dialogue to promote cooperation between the competent authorities under this Directive and the competent authorities under Directive (EU) 2022/2555 and to facilitate the exchange of information, in particular on topics of relevance to both groups.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(39)</p></td><td><p>In order to achieve the objectives of this Directive and without prejudice to the legal responsibility of Member States and critical entities to ensure compliance with their respective obligations laid down therein, the Commission should, where it considers it appropriate, support competent authorities and critical entities with the aim of facilitating their compliance with their respective obligations. When providing support to Member States and critical entities in the implementation of obligations under this Directive, the Commission should build on existing structures and tools, such as those under the Union Civil Protection Mechanism, established by Decision No 1313/2013/EU, and the European Reference Network for Critical Infrastructure Protection. In addition, it should inform Member States about resources available at Union level, such as within the Internal Security Fund, established by Regulation (EU) 2021/1149 of the European Parliament and of the Council <a>(<span>23</span>)</a>, Horizon Europe, established by Regulation (EU) 2021/695 of the European Parliament and of the Council <a>(<span>24</span>)</a>, or other instruments relevant for the resilience of critical entities.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(40)</p></td><td><p>Member States should ensure that their competent authorities have certain specific powers for the proper application and enforcement of this Directive in relation to critical entities, where those entities fall under their jurisdiction as specified in this Directive. Those powers should include, in particular, the power to conduct inspections and audits, the power to supervise, the power to require critical entities to provide information and evidence relating to the measures they have taken to comply with their obligations and, where necessary, the power to issue orders to remedy identified infringements. When issuing such orders, Member States should not require measures which go beyond what is necessary and proportionate to ensure the compliance of the critical entity concerned, taking account of, in particular, the seriousness of the infringement and the economic capacity of the critical entity concerned. More generally, those powers should be accompanied by appropriate and effective safeguards to be specified in national law in accordance with the Charter of Fundamental Rights of the European Union. When assessing the compliance of a critical entity with its obligations as laid down in this Directive, the competent authorities under this Directive should be able to request the competent authorities under Directive (EU) 2022/2555 to exercise their supervisory and enforcement powers in relation to an entity under that Directive that has been identified as a critical entity under this Directive. The competent authorities under this Directive and the competent authorities under Directive (EU) 2022/2555 should cooperate and exchange information for that purpose.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(41)</p></td><td><p>In order to apply this Directive in an effective and consistent manner, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission to supplement this Directive by drawing up a list of essential services. That list should be used by competent authorities for the purpose of conducting Member State risk assessments and identifying critical entities pursuant to this Directive. In light of the minimum harmonisation approach of this Directive, that list is non-exhaustive, and Member States could complement it with additional essential services at national level in order to take into account national specificities in the provision of essential services. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making <a>(<span>25</span>)</a>. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(42)</p></td><td><p>In order to ensure uniform conditions for the implementation of this Directive, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council <a>(<span>26</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(43)</p></td><td><p>Since the objectives of this Directive, namely to ensure that services essential for the maintenance of vital societal functions or economic activities are provided in an unobstructed manner in the internal market and to enhance the resilience of critical entities providing such services, cannot be sufficiently achieved by the Member States, but can rather, by reason of the effects of the action, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on the European Union. In accordance with the principle of proportionality as set out in that Article 5, this Directive does not go beyond what is necessary in order to achieve those objectives.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(44)</p></td><td><p>The European Data Protection Supervisor was consulted in accordance with Article 42(1) of Regulation (EU) 2018/1725 of the European Parliament and of the Council <a>(<span>27</span>)</a> and delivered an opinion on 11 August 2021.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(45)</p></td><td><p>Directive 2008/114/EC should therefore be repealed,</p></td></tr></tbody></table>
HAVE ADOPTED THIS DIRECTIVE:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter and scope
1. This Directive:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>lays down obligations on Member States to take specific measures aimed at ensuring that services which are essential for the maintenance of vital societal functions or economic activities within the scope of Article 114 TFEU are provided in an unobstructed manner in the internal market, in particular obligations to identify critical entities and to support critical entities in meeting the obligations imposed on them;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>lays down obligations for critical entities aimed at enhancing their resilience and ability to provide services as referred to in point (a) in the internal market;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>establishes rules:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>on the supervision of critical entities;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>on enforcement;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>for the identification of critical entities of particular European significance and on advisory missions to assess the measures that such entities have put in place to meet their obligations under Chapter III;</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>establishes common procedures for cooperation and reporting on the application of this Directive;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>lays down measures with a view to achieving a high level of resilience of critical entities in order to ensure the provision of essential services within the Union and to improve the functioning of the internal market.</p></td></tr></tbody></table>
2. This Directive shall not apply to matters covered by Directive (EU) 2022/2555, without prejudice to Article 8 of this Directive. In light of the relationship between the physical security and cybersecurity of critical entities, Member States shall ensure that this Directive and Directive (EU) 2022/2555 are implemented in a coordinated manner.
3. Where provisions of sector-specific Union legal acts require critical entities to take measures to enhance their resilience and where those requirements are recognised by Member States as at least equivalent to the corresponding obligations laid down in this Directive, the relevant provisions of this Directive, including the provisions on supervision and enforcement laid down in Chapter VI, shall not apply.
4. Without prejudice to Article 346 TFEU, information that is confidential pursuant to Union or national rules, such as rules on business confidentiality, shall be exchanged with the Commission and other relevant authorities in accordance with this Directive only where that exchange is necessary for the application of this Directive. The information exchanged shall be limited to that which is relevant and proportionate to the purpose of that exchange. The exchange of information shall preserve the confidentiality of that information and the security and commercial interests of critical entities, while respecting the security of Member States.
5. This Directive is without prejudice to the Member States’ responsibility for safeguarding national security and defence and their power to safeguard other essential State functions, including ensuring the territorial integrity of the State and maintaining law and order.
6. This Directive does not apply to public administration entities that carry out their activities in the areas of national security, public security, defence or law enforcement, including the investigation, detection and prosecution of criminal offences.
7. Member States may decide that Article 11 and Chapters III, IV and VI, in whole or in part, do not apply to specific critical entities which carry out activities in the areas of national security, public security, defence or law enforcement, including the investigation, detection and prosecution of criminal offences, or which provide services exclusively to the public administration entities referred to in paragraph 6 of this Article.
8. The obligations laid down in this Directive shall not entail the supply of information the disclosure of which would be contrary to the essential interests of Member States’ national security, public security or defence.
9. This Directive is without prejudice to Union law on the protection of personal data, in particular Regulation (EU) 2016/679 of the European Parliament and of the Council ( 28 ) and Directive 2002/58/EC of the European Parliament and of the Council ( 29 ) .
Article 2
Definitions
For the purposes of this Directive, the following definitions apply:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>‘critical entity’ means a public or private entity which has been identified by a Member State in accordance with Article 6 as belonging to one of the categories set out in the third column of the table in the Annex;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>‘resilience’ means a critical entity’s ability to prevent, protect against, respond to, resist, mitigate, absorb, accommodate and recover from an incident;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>‘incident’ means an event which has the potential to significantly disrupt, or that disrupts, the provision of an essential service, including when it affects the national systems that safeguard the rule of law;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>‘critical infrastructure’ means an asset, a facility, equipment, a network or a system, or a part of an asset, a facility, equipment, a network or a system, which is necessary for the provision of an essential service;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>‘essential service’ means a service which is crucial for the maintenance of vital societal functions, economic activities, public health and safety, or the environment;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>‘risk’ means the potential for loss or disruption caused by an incident and is to be expressed as a combination of the magnitude of such loss or disruption and the likelihood of occurrence of the incident;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>‘risk assessment ’ means the overall process for determining the nature and extent of a risk by identifying and analysing potential relevant threats, vulnerabilities and hazards which could lead to an incident and by evaluating the potential loss or disruption of the provision of an essential service caused by that incident;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>‘standard’ means a standard as defined in Article 2, point (1), of Regulation (EU) No 1025/2012 of the European Parliament and of the Council <a>(<span>30</span>)</a>;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>‘technical specification’ means a technical specification as defined in Article 2, point (4), of Regulation (EU) No 1025/2012;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>‘public administration entity’ means an entity recognised as such in a Member State in accordance with national law, not including the judiciary, parliaments or central banks, which complies with the following criteria:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>it is established for the purpose of meeting needs in the general interest and does not have an industrial or commercial character;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>it has legal personality or is entitled by law to act on behalf of another entity with legal personality;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>it is financed, for the most part, by the State authorities or by other central-level bodies governed by public law, is subject to management supervision by those authorities or bodies, or has an administrative, managerial or supervisory board, more than half of whose members are appointed by the State authorities or by other central-level bodies governed by public law;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>it has the power to address to natural or legal persons administrative or regulatory decisions affecting their rights in the cross-border movement of persons, goods, services or capital.</p></td></tr></tbody></table></td></tr></tbody></table>
Article 3
Minimum harmonisation
This Directive shall not preclude Member States from adopting or maintaining provisions of national law with a view to achieving a higher level of resilience of critical entities, provided that such provisions are consistent with Member States’ obligations laid down in Union law.
CHAPTER II
NATIONAL FRAMEWORKS ON THE RESILIENCE OF CRITICAL ENTITIES
Article 4
Strategy on the resilience of critical entities
1. Following a consultation that is, to the extent practically possible, open to relevant stakeholders, each Member State shall adopt by 17 January 2026 a strategy for enhancing the resilience of critical entities (the ‘strategy’). The strategy shall set out strategic objectives and policy measures, building upon relevant existing national and sectoral strategies, plans or similar documents, with a view to achieving and maintaining a high level of resilience on the part of critical entities and covering at least the sectors set out in the Annex.
2. Each strategy shall contain at least the following elements:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>strategic objectives and priorities for the purposes of enhancing the overall resilience of critical entities, taking into account cross-border and cross-sectoral dependencies and interdependencies;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>a governance framework to achieve the strategic objectives and priorities, including a description of the roles and responsibilities of the different authorities, critical entities and other parties involved in the implementation of the strategy;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>a description of measures necessary to enhance the overall resilience of critical entities, including a description of the risk assessment referred to in Article 5;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>a description of the process by which critical entities are identified;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>a description of the process supporting critical entities in accordance with this Chapter, including measures to enhance cooperation between the public sector, on the one hand, and the private sector and public and private entities, on the other hand;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>a list of the main authorities and relevant stakeholders, other than critical entities, involved in the implementation of the strategy;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>a policy framework for coordination between the competent authorities under this Directive (‘competent authorities’) and the competent authorities under Directive (EU) 2022/2555 for the purposes of information sharing on cybersecurity risks, cyber threats and cyber incidents and non-cyber risks, threats and incidents and the exercise of supervisory tasks;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>a description of measures already in place which aim to facilitate the implementation of obligations under Chapter III of this Directive by small and medium-sized enterprises within the meaning of the Annex to Commission Recommendation 2003/361/EC <a>(<span>31</span>)</a> that the Member State in question has identified as critical entities.</p></td></tr></tbody></table>
Following a consultation that is, to the extent practically possible, open to relevant stakeholders, Member States shall update their strategies at least every four years.
3. Member States shall communicate their strategies, and substantial updates thereto, to the Commission within three months of their adoption.
Article 5
Risk assessment by Member States
1. The Commission is empowered to adopt a delegated act, in accordance with Article 23, by 17 November 2023 to supplement this Directive by establishing a non-exhaustive list of essential services in the sectors and subsectors set out in the Annex. The competent authorities shall use that list of essential services for the purpose of carrying out a risk assessment (‘Member State risk assessment’) by 17 January 2026, whenever necessary subsequently, and at least every four years. The competent authorities shall use Member State risk assessments for the purpose of identifying critical entities in accordance with Article 6 and assisting those critical entities to take measures pursuant to Article 13.
Member State risk assessments shall account for the relevant natural and man-made risks, including those of a cross-sectoral or cross-border nature, accidents, natural disasters, public health emergencies and hybrid threats or other antagonistic threats, including terrorist offences as provided for in Directive (EU) 2017/541 of the European Parliament and of the Council ( 32 ) .
2. In carrying out Member State risk assessments, Member States shall take into account at least the following:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the general risk assessment carried out pursuant to Article 6(1) of Decision No 1313/2013/EU;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>other relevant risk assessments, carried out in accordance with the requirements of the relevant sector-specific Union legal acts, including Regulations (EU) 2017/1938 <a>(<span>33</span>)</a> and (EU) 2019/941 <a>(<span>34</span>)</a> of the European Parliament and of the Council and Directives 2007/60/EC <a>(<span>35</span>)</a> and 2012/18/EU <a>(<span>36</span>)</a> of the European Parliament and of the Council;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the relevant risks arising from the extent to which the sectors set out in the Annex depend on one another, including from the extent to which they depend on entities located within other Member States and third countries, and the impact that a significant disruption in one sector may have on other sectors, including any significant risks to citizens and the internal market;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>any information on incidents notified in accordance with Article 15.</p></td></tr></tbody></table>
For the purposes of the first subparagraph, point (c), Member States shall cooperate with the competent authorities of other Member States and the competent authorities of third countries, as appropriate.
3. Member States shall make the relevant elements of Member State risk assessments available, where relevant through their single points of contact, to the critical entities that they have identified in accordance with Article 6. Member States shall ensure that the information provided to critical entities assists them in carrying out their risk assessments pursuant to Article 12 and in taking measures to ensure their resilience pursuant to Article 13.
4. Within three months of carrying out a Member State risk assessment, a Member State shall provide the Commission with relevant information on the types of risks identified following, and the outcomes of, that Member State risk assessment, per sector and subsector set out in the Annex.
5. The Commission shall, in cooperation with the Member States, develop a voluntary common reporting template for the purpose of complying with paragraph 4.
Article 6
Identification of critical entities
1. By 17 July 2026, each Member State shall identify the critical entities for the sectors and subsectors set out in the Annex.
2. When a Member State identifies critical entities pursuant to paragraph 1, it shall take into account the outcomes of its Member State risk assessment and its strategy and shall apply all of the following criteria:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the entity provides one or more essential services;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the entity operates, and its critical infrastructure is located, on the territory of that Member State; and</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>an incident would have significant disruptive effects, as determined in accordance with Article 7(1), on the provision by the entity of one or more essential services or on the provision of other essential services in the sectors set out in the Annex that depend on that or those essential services.</p></td></tr></tbody></table>
3. Each Member State shall establish a list of the critical entities identified pursuant to paragraph 2 and ensure that those critical entities are notified that they have been identified as critical entities within one month of that identification. Member States shall inform those critical entities of their obligations under Chapters III and IV and the date from which those obligations apply to them, without prejudice to Article 8. Member States shall inform critical entities in the sectors set out in points 3, 4 and 8 of the table in the Annex that they have no obligations under Chapters III and IV, unless national measures provide otherwise.
For the critical entities concerned, Chapter III shall apply from 10 months after the date of the notification referred to in the first subparagraph of this paragraph.
4. Member States shall ensure that their competent authorities under this Directive notify the competent authorities under Directive (EU) 2022/2555 of the identity of the critical entities that they have identified under this Article within one month of that identification. That notification shall specify, where applicable, that the critical entities concerned are entities in the sectors set out in points 3, 4 and 8 of the table in the Annex to this Directive and have no obligations under Chapters III and IV thereof.
5. Member States shall, where necessary and in any event at least every four years, review and, where appropriate, update the list of identified critical entities referred to in paragraph 3. Where those updates lead to the identification of additional critical entities, paragraphs 3 and 4 shall apply to those additional critical entities. In addition, Member States shall ensure that entities that are no longer identified as critical entities following any such update are notified in due time of that fact and the fact that they are no longer subject to the obligations under Chapter III from the date of receipt of that notification.
6. The Commission shall, in cooperation with the Member States, develop recommendations and non-binding guidelines to support Member States in identifying critical entities.
Article 7
Significant disruptive effect
1. When determining the significance of a disruptive effect as referred to in Article 6(2), point (c), Member States shall take into account the following criteria:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the number of users relying on the essential service provided by the entity concerned;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the extent to which other sectors and subsectors as set out in the Annex depend on the essential service in question;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the impact that incidents could have, in terms of degree and duration, on economic and societal activities, the environment, public safety and security, or the health of the population;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the entity’s market share in the market for the essential service or essential services concerned;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the geographic area that could be affected by an incident, including any cross-border impact, taking into account the vulnerability associated with the degree of isolation of certain types of geographic areas, such as insular regions, remote regions or mountainous areas;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>the importance of the entity in maintaining a sufficient level of the essential service, taking into account the availability of alternative means for the provision of that essential service.</p></td></tr></tbody></table>
2. After the identification of the critical entities under Article 6(1), each Member State shall submit the following information to the Commission without undue delay:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>a list of essential services in that Member State where there are any additional essential services as compared to the list of essential services referred to in Article 5(1);</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the number of critical entities identified for each sector and subsector set out in the Annex and for each essential service;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>any thresholds applied to specify one or more of the criteria in paragraph 1.</p></td></tr></tbody></table>
Thresholds as referred to in the first subparagraph, point (c), may be presented as such or in aggregated form.
Member States shall subsequently submit information referred to in the first subparagraph whenever necessary and at least every four years.
3. The Commission shall, after consulting the Critical Entities Resilience Group referred to in Article 19, adopt non-binding guidelines to facilitate the application of the criteria referred to in paragraph 1 of this Article, taking into account the information referred to in paragraph 2 of this Article.
Article 8
Critical entities in the banking, financial market infrastructure and digital infrastructure sectors
Member States shall ensure that Article 11 and Chapters III, IV and VI do not apply to critical entities that they have identified in the sectors set out in points 3, 4 and 8 of the table in the Annex. Member States may adopt or maintain provisions of national law to achieve a higher level of resilience for those critical entities, provided that those provisions are consistent with applicable Union law.
Article 9
Competent authorities and single point of contact
1. Each Member State shall designate or establish one or more competent authorities responsible for the correct application and, where necessary, enforcement of the rules set out in this Directive at national level.
As regards the critical entities in the sectors set out in points 3 and 4 of the table in the Annex to this Directive, the competent authorities shall, in principle, be the competent authorities referred to in Article 46 of Regulation (EU) 2022/2554. As regards the critical entities in the sector set out in point 8 of the table in the Annex to this Directive, the competent authorities shall, in principle, be the competent authorities under Directive (EU) 2022/2555. Member States may designate a different competent authority for the sectors set out in points 3, 4 and 8 of the table in the Annex to this Directive in accordance with existing national frameworks.
Where Member States designate or establish more than one competent authority, they shall clearly set out the tasks of each of the authorities concerned and ensure that they cooperate effectively to fulfil their tasks under this Directive, including with regard to the designation and activities of the single point of contact referred to in paragraph 2.
2. Each Member State shall designate or establish one single point of contact to exercise a liaison function for the purpose of ensuring cross-border cooperation with the single points of contact of other Member States and the Critical Entities Resilience Group referred to in Article 19 (‘single point of contact’). Where relevant, a Member State shall designate its single point of contact within a competent authority. Where relevant, a Member State may provide that its single point of contact also exercise a liaison function with the Commission and ensure cooperation with third countries.
3. By 17 July 2028, and every two years thereafter, the single points of contact shall submit a summary report to the Commission and to the Critical Entities Resilience Group referred to in Article 19 on the notifications they have received, including the number of notifications, the nature of notified incidents and the actions taken in accordance with Article 15(3).
The Commission shall, in cooperation with the Critical Entities Resilience Group, develop a common reporting template. The competent authorities may use, on a voluntary basis, that common reporting template for the purpose of submitting summary reports as referred to in the first subparagraph.
4. Each Member State shall ensure that its competent authority and single point of contact have the powers and the adequate financial, human and technical resources to carry out, in an effective and efficient manner, the tasks assigned to them.
5. Each Member State shall ensure that its competent authority, whenever appropriate, and in accordance with Union and national law, consults and cooperates with other relevant national authorities, including those in charge of civil protection, law enforcement and the protection of personal data, and with critical entities and relevant interested parties.
6. Each Member State shall ensure that its competent authority under this Directive cooperates and exchanges information with competent authorities under Directive (EU) 2022/2555 on cybersecurity risks, cyber threats and cyber incidents and non-cyber risks, threats and incidents affecting critical entities, including with regard to relevant measures its competent authority and competent authorities under Directive (EU) 2022/2555 have taken.
7. Within three months of the designation or establishment of the competent authority and the single point of contact, each Member State shall notify the Commission of their identity and their tasks and responsibilities under this Directive, their contact details and any subsequent change thereto. Member States shall inform the Commission where they decide to designate an authority other than the competent authorities referred to in paragraph 1, second subparagraph, as the competent authorities in respect of the critical entities in the sectors set out in points 3, 4 and 8 of the table in the Annex. Each Member State shall make public the identity of its competent authority and single point of contact.
8. The Commission shall make a list of the single points of contact publicly available.
Article 10
Member States’ support to critical entities
1. Member States shall support critical entities in enhancing their resilience. That support may include developing guidance materials and methodologies, supporting the organisation of exercises to test their resilience and providing advice and training to the personnel of critical entities. Without prejudice to applicable rules on State aid, Member States may provide financial resources to critical entities, where necessary and justified by public interest objectives.
2. Each Member State shall ensure that its competent authority cooperates and exchanges information and good practices with critical entities of the sectors set out in the Annex.
3. Member States shall facilitate voluntary information sharing between critical entities in relation to matters covered by this Directive, in accordance with Union and national law on, in particular, classified and sensitive information, competition and protection of personal data.
Article 11
Cooperation between Member States
1. Whenever appropriate, Member States shall consult one another regarding critical entities for the purpose of ensuring that this Directive is applied in a consistent manner. Such consultations shall take place, in particular, regarding critical entities that:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>use critical infrastructure which is physically connected between two or more Member States;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>are part of corporate structures that are connected with, or linked to, critical entities in other Member States;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>have been identified as critical entities in one Member State and provide essential services to or in other Member States.</p></td></tr></tbody></table>
2. The consultations referred to in paragraph 1 shall aim at enhancing the resilience of critical entities and, where possible, reducing the administrative burden on them.
CHAPTER III
RESILIENCE OF CRITICAL ENTITIES
Article 12
Risk assessment by critical entities
1. Notwithstanding the deadline set out in Article 6(3), second subparagraph, Member States shall ensure that critical entities carry out a risk assessment within nine months of receiving the notification referred to in Article 6(3), whenever necessary subsequently, and at least every four years, on the basis of Member State risk assessments and other relevant sources of information, in order to assess all relevant risks that could disrupt the provision of their essential services (‘critical entity risk assessment’).
2. Critical entity risk assessments shall account for all the relevant natural and man-made risks which could lead to an incident, including those of a cross-sectoral or cross-border nature, accidents, natural disasters, public health emergencies and hybrid threats and other antagonistic threats, including terrorist offences as provided for in Directive (EU) 2017/541. A critical entity risk assessment shall take into account the extent to which other sectors as set out in the Annex depend on the essential service provided by the critical entity and the extent to which that critical entity depends on essential services provided by other entities in such other sectors, including, where relevant, in neighbouring Member States and third countries.
Where a critical entity has carried out other risk assessments or drawn up documents pursuant to obligations laid down in other legal acts that are relevant for its critical entity risk assessment, it may use those assessments and documents to meet the requirements set out in this Article. When exercising its supervisory functions, the competent authority may declare an existing risk assessment carried out by a critical entity that addresses the risks and extent of dependence referred to in the first subparagraph of this paragraph as compliant, in whole or in part, with the obligations under this Article.
Article 13
Resilience measures of critical entities
1. Member States shall ensure that critical entities take appropriate and proportionate technical, security and organisational measures to ensure their resilience, based on the relevant information provided by Member States on the Member State risk assessment and on the outcomes of the critical entity risk assessment, including measures necessary to:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>prevent incidents from occurring, duly considering disaster risk reduction and climate adaptation measures;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>ensure adequate physical protection of their premises and critical infrastructure, duly considering, for example, fencing, barriers, perimeter monitoring tools and routines, detection equipment and access controls;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>respond to, resist and mitigate the consequences of incidents, duly considering the implementation of risk and crisis management procedures and protocols and alert routines;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>recover from incidents, duly considering business continuity measures and the identification of alternative supply chains, in order to resume the provision of the essential service;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>ensure adequate employee security management, duly considering measures such as setting out categories of personnel who exercise critical functions, establishing access rights to premises, critical infrastructure and sensitive information, setting up procedures for background checks in accordance with Article 14 and designating the categories of persons who are required to undergo such background checks, and laying down appropriate training requirements and qualifications;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>raise awareness about the measures referred to in points (a) to (e) among relevant personnel, duly considering training courses, information materials and exercises.</p></td></tr></tbody></table>
For the purposes of the first subparagraph, point (e), Member States shall ensure that critical entities take into account the personnel of external service providers when setting out categories of personnel who exercise critical functions.
2. Member States shall ensure that critical entities have in place and apply a resilience plan or equivalent document or documents which describe the measures taken pursuant to paragraph 1. Where critical entities have drawn up documents or taken measures pursuant to obligations laid down in other legal acts that are relevant for the measures referred to in paragraph 1, they may use those documents and measures to meet the requirements set out in this Article. When exercising its supervisory functions, the competent authority may declare existing resilience-enhancing measures taken by a critical entity that address, in an appropriate and proportionate manner, the technical, security and organisational measures referred to in paragraph 1 as compliant, in whole or in part, with the obligations under this Article.
3. Member States shall ensure that each critical entity designates a liaison officer or equivalent as the point of contact with the competent authorities.
4. At the request of the Member State that has identified the critical entity and with the agreement of the critical entity concerned, the Commission shall organise advisory missions, in accordance with the arrangements set out in Article 18(6), (8) and (9), to provide advice to the critical entity concerned in meeting its obligations under Chapter III. The advisory mission shall report its findings to the Commission, that Member State and the critical entity concerned.
5. The Commission shall, after consulting the Critical Entities Resilience Group referred to in Article 19, adopt non-binding guidelines to further specify the technical, security and organisational measures that may be taken pursuant to paragraph 1 of this Article.
6. The Commission shall adopt implementing acts in order to set out the necessary technical and methodological specifications relating to the application of the measures referred to in paragraph 1 of this Article. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 24(2).
Article 14
Background checks
1. Member States shall specify the conditions under which a critical entity is permitted, in duly reasoned cases and taking into account the Member State risk assessment, to submit requests for background checks on persons who:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>hold sensitive roles in or for the benefit of the critical entity, in particular in relation to the resilience of the critical entity;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>are authorised to directly or remotely access its premises, information or control systems, including in connection with the security of the critical entity;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>are under consideration for recruitment to positions that fall under the criteria set out in point (a) or (b).</p></td></tr></tbody></table>
2. Requests as referred to in paragraph 1 of this Article shall be assessed within a reasonable timeframe and processed in accordance with national law and procedures and relevant and applicable Union law, including Regulation (EU) 2016/679 and Directive (EU) 2016/680 of the European Parliament and of the Council ( 37 ) . Background checks shall be proportionate and strictly limited to what is necessary. They shall be carried out for the sole purpose of evaluating a potential security risk to the critical entity concerned.
3. A background check as referred to in paragraph 1 shall, at least:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>corroborate the identity of the person who is the subject of the background check;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>check the criminal records of that person with regards to offences which would be relevant for a specific position.</p></td></tr></tbody></table>
When carrying out background checks, Member States shall use the European Criminal Records Information System in accordance with the procedures set out in Framework Decision 2009/315/JHA and, where relevant and applicable, Regulation (EU) 2019/816 for the purpose of obtaining information from criminal records held by other Member States. The central authorities referred to in Article 3(1) of Framework Decision 2009/315/JHA and in Article 3, point (5), of Regulation (EU) 2019/816 shall provide replies to requests for such information within 10 working days from the date on which the request was received in accordance with Article 8(1) of Framework Decision 2009/315/JHA.
Article 15
Incident notification
1. Member States shall ensure that critical entities notify the competent authority, without undue delay, of incidents that significantly disrupt or have the potential to significantly disrupt the provision of essential services. Member States shall ensure that, unless operationally unable to do so, critical entities submit an initial notification no later than 24 hours after becoming aware of an incident, followed, where relevant, by a detailed report no later than one month thereafter. In order to determine the significance of a disruption, the following parameters shall, in particular, be taken into account:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the number and proportion of users affected by the disruption;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the duration of the disruption;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the geographical area affected by the disruption, taking into account whether the area is geographically isolated.</p></td></tr></tbody></table>
Where an incident has or might have a significant impact on the continuity of the provision of essential services to or in six or more Member States, the competent authorities of the Member States affected by the incident shall notify the Commission of that incident.
2. Notifications as referred to in paragraph 1, first subparagraph, shall include any available information necessary to enable the competent authority to understand the nature, cause and possible consequences of the incident, including any available information necessary to determine any cross-border impact of the incident. Such notifications shall not subject critical entities to increased liability.
3. On the basis of the information provided by a critical entity in a notification as referred to in paragraph 1, the relevant competent authority, via the single point of contact, shall inform the single point of contact of other affected Member States where the incident has or might have a significant impact on critical entities and the continuity of the provision of essential services to or in one or more other Member States.
Single points of contact sending and receiving information pursuant to the first subparagraph shall, in accordance with Union or national law, treat that information in a way that respects its confidentiality and protects the security and commercial interest of the critical entity concerned.
4. As soon as possible following a notification as referred to in paragraph 1, the competent authority concerned shall provide the critical entity concerned with relevant follow-up information, including information that could support that critical entity’s effective response to the incident in question. Member States shall inform the public where they determine that it would be in the public interest to do so.
Article 16
Standards
In order to promote the convergent implementation of this Directive, Member States shall, where useful and without imposing or discriminating in favour of the use of a particular type of technology, encourage the use of European and international standards and technical specifications relevant to the security and resilience measures applicable to critical entities.
CHAPTER IV
CRITICAL ENTITIES OF PARTICULAR EUROPEAN SIGNIFICANCE
Article 17
Identification of critical entities of particular European significance
1. An entity shall be considered a critical entity of particular European significance where it:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>has been identified as a critical entity pursuant to Article 6(1);</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>provides the same or similar essential services to or in six or more Member States; and</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>has been notified pursuant to paragraph 3 of this Article.</p></td></tr></tbody></table>
2. Member States shall ensure that a critical entity, following the notification referred to in Article 6(3), informs its competent authority where it provides essential services to or in six or more Member States. In such a case, Member States shall ensure that the critical entity informs its competent authority of the essential services it provides to or in those Member States and of the Member States to which or in which it provides such essential services. Member States shall notify the Commission, without undue delay, of the identity of such critical entities and of the information they provide under this paragraph.
The Commission shall consult the competent authority of the Member State which identified a critical entity as referred to in the first subparagraph, the competent authority of other Member States concerned and the critical entity in question. During those consultations, each Member State shall inform the Commission where it deems that the services provided to that Member State by the critical entity are essential services.
3. Where the Commission establishes, on the basis of the consultations referred to in paragraph 2 of this Article, that the critical entity concerned provides essential services to or in six or more Member States, the Commission shall notify that critical entity, through its competent authority, that it is considered a critical entity of particular European significance and inform that critical entity of its obligations under this Chapter and the date from which those obligations apply to it. Once the Commission informs the competent authority of its decision to consider a critical entity as a critical entity of particular European significance, the competent authority shall forward that notification to that critical entity without undue delay.
4. This Chapter shall apply to the critical entity of particular European significance concerned from the date of receipt of the notification referred to in paragraph 3 of this Article.
Article 18
Advisory missions
1. At the request of the Member State that has identified a critical entity of particular European significance as a critical entity pursuant to Article 6(1), the Commission shall organise an advisory mission to assess the measures that that critical entity has put in place to meet its obligations under Chapter III.
2. On its own initiative or at the request of one or more Member States to or in which the essential service is provided, and provided that the Member State that has identified a critical entity of particular European significance as a critical entity pursuant to Article 6(1) so agrees, the Commission shall organise an advisory mission as referred to in paragraph 1 of this Article.
3. On a reasoned request from the Commission or from one or more Member States to or in which the essential service is provided, the Member State that has identified a critical entity of particular European significance as a critical entity pursuant to Article 6(1) shall provide the following to the Commission:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the relevant parts of the critical entity risk assessment;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>a list of relevant measures taken in accordance with Article 13;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>supervisory or enforcement actions, including assessments of compliance or orders issued, that its competent authority has undertaken pursuant to Articles 21 and 22 in respect of that critical entity.</p></td></tr></tbody></table>
4. The advisory mission shall report its findings to the Commission, to the Member State that has identified a critical entity of particular European significance as a critical entity pursuant to Article 6(1), to the Member States to or in which the essential service is provided and to the critical entity concerned within three months of the conclusion of the advisory mission.
The Member States to or in which the essential service is provided shall analyse the report referred to in the first subparagraph and, where necessary, shall advise the Commission as to whether the critical entity of particular European significance concerned complies with its obligations under Chapter III and, where appropriate, as to the measures which could be taken to improve the resilience of that critical entity.
The Commission shall, based on the advice referred to in the second subparagraph of this paragraph, communicate its opinion to the Member State that has identified a critical entity of particular European significance as a critical entity pursuant to Article 6(1), to the Member States to or in which the essential service is provided and to that critical entity as to whether that critical entity complies with its obligations under Chapter III and, where appropriate, as to the measures which could be taken to improve the resilience of that critical entity.
The Member State that has identified a critical entity of particular European significance as a critical entity pursuant to Article 6(1) shall ensure that its competent authority and the critical entity concerned take into account the opinion referred to in the third subparagraph of this paragraph and provide information to the Commission and the Member States to or in which the essential service is provided on the measures it has taken pursuant to that opinion.
5. Each advisory mission shall consist of experts from the Member State in which the critical entity of particular European significance is located, experts from the Member States to or in which the essential service is provided, and Commission representatives. Those Member States may propose candidates to be part of an advisory mission. The Commission shall, following a consultation with the Member State that has identified a critical entity of particular European significance as a critical entity pursuant to Article 6(1), select and appoint the members of each advisory mission in accordance with their professional capacity and ensuring, where possible, a geographically balanced representation from all those Member States. Whenever necessary, members of the advisory mission shall have valid and appropriate security clearance. The Commission shall bear the costs related to participation in advisory missions.
The Commission shall organise the programme of each advisory mission, in consultation with the members of the advisory mission in question and in agreement with the Member State that has identified a critical entity of particular European significance as a critical entity pursuant to Article 6(1).
6. The Commission shall adopt an implementing act laying down rules on the procedural arrangements for requests to organise advisory missions, for handling such requests, for the conduct and reports of advisory missions and for handling the communication of the Commission’s opinion referred to in paragraph 4, third subparagraph, of this Article and of the measures taken, duly taking into account the confidentiality and commercial sensitivity of the information concerned. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 24(2).
7. Member States shall ensure that critical entities of particular European significance provide advisory missions with access to information, systems and facilities relating to the provision of their essential services necessary for carrying out the advisory mission concerned.
8. Advisory missions shall be carried out in compliance with the applicable national law of the Member State in which they take place, with respect for that Member State’s responsibility for national security and the protection of its security interests.
9. When organising advisory missions, the Commission shall take into account the reports of any inspections carried out by the Commission under Regulations (EC) No 725/2004 and (EC) No 300/2008 and the reports of any monitoring carried out by the Commission under Directive 2005/65/EC in respect of the critical entity concerned.
10. The Commission shall inform the Critical Entities Resilience Group referred to in Article 19 whenever an advisory mission is organised. The Member State in which the advisory mission took place and the Commission shall also inform the Critical Entities Resilience Group of the main findings of the advisory mission and the lessons learned with a view to promoting mutual learning.
CHAPTER V
COOPERATION AND REPORTING
Article 19
Critical Entities Resilience Group
1. A Critical Entities Resilience Group is hereby established. The Critical Entities Resilience Group shall support the Commission and facilitate cooperation among Member States and the exchange of information on issues relating to this Directive.
2. The Critical Entities Resilience Group shall be composed of representatives of the Member States and the Commission who hold security clearance, where appropriate. Where relevant for the performance of its tasks, the Critical Entities Resilience Group may invite relevant stakeholders to participate in its work. Where requested by the European Parliament, the Commission may invite experts from the European Parliament to attend meetings of the Critical Entities Resilience Group.
The Commission’s representative shall chair the Critical Entities Resilience Group.
3. The Critical Entities Resilience Group shall have the following tasks:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>supporting the Commission in assisting Member States in reinforcing their capacity to contribute to ensuring the resilience of critical entities in accordance with this Directive;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>analysing the strategies in order to identify best practices in respect of the strategies;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>facilitating the exchange of best practices with regard to the identification of critical entities by the Member States pursuant to Article 6(1), including in relation to cross-border and cross-sectoral dependencies and regarding risks and incidents;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>where appropriate, contributing on issues relating to this Directive to documents concerning resilience at Union level;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>contributing to the preparation of the guidelines referred to in Article 7(3) and Article 13(5) and, upon request, any delegated or implementing acts adopted pursuant to this Directive;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>analysing the summary reports referred to in Article 9(3) with a view to promoting the sharing of best practices on the action taken in accordance with Article 15(3);</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>exchanging best practices related to the notification of incidents referred to in Article 15;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>discussing the summary reports of advisory missions and the lessons learned in accordance with Article 18(10);</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>exchanging information and best practices on innovation, research and development relating to the resilience of critical entities in accordance with this Directive;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(j)</p></td><td><p>where relevant, exchanging information on matters concerning the resilience of critical entities with relevant Union institutions, bodies, offices and agencies.</p></td></tr></tbody></table>
4. By 17 January 2025 and every two years thereafter, the Critical Entities Resilience Group shall establish a work programme in respect of actions to be undertaken to implement its objectives and tasks. That work programme shall be consistent with the requirements and objectives of this Directive.
5. The Critical Entities Resilience Group shall meet on a regular basis and in any event at least once a year with the Cooperation Group established under Directive (EU) 2022/2555 to promote and facilitate cooperation and the exchange of information.
6. The Commission may adopt implementing acts laying down procedural arrangements necessary for the functioning of the Critical Entities Resilience Group, respecting Article 1(4). Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 24(2).
7. The Commission shall provide the Critical Entities Resilience Group with a summary report of the information provided by the Member States pursuant to Article 4(3) and Article 5(4) by 17 January 2027, whenever necessary subsequently, and at least every four years.
Article 20
Commission support to competent authorities and critical entities
1. The Commission shall, where appropriate, support Member States and critical entities in complying with their obligations under this Directive. The Commission shall prepare a Union-level overview of cross-border and cross-sectoral risks to the provision of essential services, organise advisory missions as referred to in Article 13(4) and Article 18 and facilitate information exchange among Member States and experts across the Union.
2. The Commission shall complement Member States’ activities as referred to in Article 10 by developing best practices, guidance materials and methodologies, and cross-border training activities and exercises to test the resilience of critical entities.
3. The Commission shall inform Member States about financial resources at Union level available to Member States for enhancing the resilience of critical entities.
CHAPTER VI
SUPERVISION AND ENFORCEMENT
Article 21
Supervision and enforcement
1. In order to assess the compliance of the entities identified by Member States as critical entities pursuant to Article 6(1) with the obligations laid down in this Directive, Member States shall ensure that the competent authorities have the powers and means to:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>conduct on-site inspections of the critical infrastructure and the premises that the critical entity uses to provide its essential services, and off-site supervision of measures taken by critical entities in accordance with Article 13;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>conduct or order audits in respect of critical entities.</p></td></tr></tbody></table>
2. Member States shall ensure that the competent authorities have the powers and means to require, where necessary for the performance of their tasks under this Directive, that the entities under Directive (EU) 2022/2555 that Member States have identified as critical entities under this Directive provide, within a reasonable time limit set by those authorities:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the information necessary to assess whether the measures taken by those entities to ensure their resilience meet the requirements set out in Article 13;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>evidence of the effective implementation of those measures, including the results of an audit conducted by an independent and qualified auditor selected by that entity and conducted at its expense.</p></td></tr></tbody></table>
When requiring that information, the competent authorities shall state the purpose of the requirement and specify the information required.
3. Without prejudice to the possibility to impose penalties in accordance with Article 22, the competent authorities may, following the supervisory actions referred to in paragraph 1 of this Article or the assessment of the information referred to in paragraph 2 of this Article, order the critical entities concerned to take the necessary and proportionate measures to remedy any identified infringement of this Directive, within a reasonable time limit set by those authorities, and to provide those authorities with information on the measures taken. Those orders shall take into account, in particular, the seriousness of the infringement.
4. Member State shall ensure that the powers provided for in paragraphs 1, 2 and 3 can only be exercised subject to appropriate safeguards. Those safeguards shall guarantee, in particular, that such exercise takes place in an objective, transparent and proportionate manner, and that the rights and legitimate interests of the critical entities affected, such as the protection of trade and business secrets, are duly safeguarded, including the right to be heard, the right of defence and the right to an effective remedy before an independent court.
5. Member States shall ensure that, where a competent authority under this Directive assesses the compliance of a critical entity pursuant to this Article, that competent authority informs the competent authorities of the Member States concerned under Directive (EU) 2022/2555. For that purpose, Member States shall ensure that competent authorities under this Directive can request the competent authorities under Directive (EU) 2022/2555 to exercise their supervisory and enforcement powers in relation to an entity under that Directive that has been identified as a critical entity under this Directive. For that purpose, Member States shall ensure that competent authorities under this Directive cooperate and exchange information with the competent authorities under Directive (EU) 2022/2555.
Article 22
Penalties
Member States shall lay down the rules on penalties applicable to infringements of the national measures adopted pursuant to this Directive and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive. Member States shall, by 17 October 2024, notify the Commission of those rules and of those measures and shall notify it, without delay, of any subsequent amendment affecting them.
CHAPTER VII
DELEGATED AND IMPLEMENTING ACTS
Article 23
Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article 5(1) shall be conferred on the Commission for a period of five years from 16 January 2023.
3. The delegation of power referred to in Article 5(1) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Article 5(1) shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 24
Committee procedure
1. The Commission shall be assisted by a committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
CHAPTER VIII
FINAL PROVISIONS
Article 25
Reporting and review
By 17 July 2027, the Commission shall submit to the European Parliament and to the Council a report assessing the extent to which each Member State has taken the necessary measures to comply with this Directive.
The Commission shall periodically review the functioning of this Directive and report to the European Parliament and to the Council. That report shall, in particular, assess the added value of this Directive, its impact on ensuring the resilience of critical entities and whether the Annex to this Directive should be modified. The Commission shall submit the first such report by 17 June 2029. For the purpose of reporting under this Article, the Commission shall take into account relevant documents of the Critical Entities Resilience Group.
Article 26
Transposition
1. By 17 October 2024, Member States shall adopt and publish the measures necessary to comply with this Directive. They shall immediately inform the Commission thereof.
They shall apply those measures from 18 October 2024.
2. When Member States adopt the measures referred to in paragraph 1, they shall contain a reference to this Directive or be accompanied by such reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.
Article 27
Repeal of Directive 2008/114/EC
Directive 2008/114/EC is repealed with effect from 18 October 2024.
References to the repealed Directive shall be construed as references to this Directive.
Article 28
Entry into force
This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union .
Article 29
Addressees
This Directive is addressed to the Member States.
Done at Strasbourg, 14 December 2022.
For the European Parliament
The President
R. METSOLA
For the Council
The President
M. BEK
( 1 ) OJ C 286, 16.7.2021, p. 170 .
( 2 ) OJ C 440, 29.10.2021, p. 99 .
( 3 ) Position of the European Parliament of 22 November 2022 (not yet published in the Official Journal) and Council decision of 8 December 2022.
( 4 ) Council Directive 2008/114/EC of 8 December 2008 on the identification and designation of European critical infrastructures and the assessment of the need to improve their protection ( OJ L 345, 23.12.2008, p. 75 ).
( 5 ) Directive (EU) 2022/2555 of the European Parliament and of the Council of 14 December 2022 on measures for a high common level of cybersecurity across the Union, amending Regulation (EU) No 910/2014 and Directive (EU) 2018/1972, and repealing Directive (EU) 2016/1148 (NIS 2 Directive) (see page 80 of this Official Journal).
( 6 ) Directive (EU) 2016/1148 of the European Parliament and of the Council of 6 July 2016 concerning measures for a high common level of security of network and information systems across the Union ( OJ L 194, 19.7.2016, p. 1 ).
( 7 ) Regulation (EU) 2019/452 of the European Parliament and of the Council of 19 March 2019 establishing a framework for the screening of foreign direct investments into the Union ( OJ L 79 I, 21.3.2019, p. 1 ).
( 8 ) 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 ).
( 9 ) Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and amending Regulation (EU) No 648/2012 ( OJ L 176, 27.6.2013, p. 1 ).
( 10 ) Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 ( OJ L 173, 12.6.2014, p. 84 ).
( 11 ) Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC ( OJ L 176, 27.6.2013, p. 338 ).
( 12 ) Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU ( OJ L 173, 12.6.2014, p. 349 ).
( 13 ) Regulation (EU) 2022/2554 of the European Parliament and of the Council of 14 December 2022 on digital operational resilience for the financial sector and amending Regulations (EC) No 1060/2009, (EU) No 648/2012, (EU) No 600/2014, (EU) No 909/2014 and (EU) 2016/1011 (see page 1 of this Official Journal).
( 14 ) Regulation (EC) No 725/2004 of the European Parliament and of the Council of 31 March 2004 on enhancing ship and port facility security ( OJ L 129, 29.4.2004, p. 6 ).
( 15 ) Regulation (EC) No 300/2008 of the European Parliament and of the Council of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 ( OJ L 97, 9.4.2008, p. 72 ).
( 16 ) Directive 2005/65/EC of the European Parliament and of the Council of 26 October 2005 on enhancing port security ( OJ L 310, 25.11.2005, p. 28 ).
( 17 ) Directive 2008/96/EC of the European Parliament and of the Council of 19 November 2008 on road infrastructure safety management ( OJ L 319, 29.11.2008, p. 59 ).
( 18 ) Commission Decision of 29 June 2018 setting up the EU Rail Passenger Security Platform 2018/C 232/03 ( OJ C 232, 3.7.2018, p. 10 ).
( 19 ) Council Framework Decision 2009/315/JHA of 26 February 2009 on the organisation and content of the exchange of information extracted from the criminal record between Member States ( OJ L 93, 7.4.2009, p. 23 ).
( 20 ) Regulation (EU) 2019/816 of the European Parliament and of the Council of 17 April 2019 establishing a centralised system for the identification of Member States holding conviction information on third-country nationals and stateless persons (ECRIS-TCN) to supplement the European Criminal Records Information System and amending Regulation (EU) 2018/1726 ( OJ L 135, 22.5.2019, p. 1 ).
( 21 ) Regulation (EU) 2018/1862 of the European Parliament and of the Council of 28 November 2018 on the establishment, operation and use of the Schengen Information System (SIS) in the field of police cooperation and judicial cooperation in criminal matters, amending and repealing Council Decision 2007/533/JHA, and repealing Regulation (EC) No 1986/2006 of the European Parliament and of the Council and Commission Decision 2010/261/EU ( OJ L 312, 7.12.2018, p. 56 ).
( 22 ) Decision No 1313/2013/EU of the European Parliament and of the Council of 17 December 2013 on a Union Civil Protection Mechanism ( OJ L 347, 20.12.2013, p. 924 ).
( 23 ) Regulation (EU) 2021/1149 of the European Parliament and of the Council of 7 July 2021 establishing the Internal Security Fund ( OJ L 251, 15.7.2021, p. 94 ).
( 24 ) Regulation (EU) 2021/695 of the European Parliament and of the Council of 28 April 2021 establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination, and repealing Regulations (EU) No 1290/2013 and (EU) No 1291/2013 ( OJ L 170, 12.5.2021, p. 1 ).
( 25 ) OJ L 123, 12.5.2016, p. 1 .
( 26 ) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission’s exercise of implementing powers ( OJ L 55, 28.2.2011, p. 13 ).
( 27 ) Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC ( OJ L 295, 21.11.2018, p. 39 ).
( 28 ) 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 (General Data Protection Regulation) ( OJ L 119, 4.5.2016, p. 1 ).
( 29 ) Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications) ( OJ L 201, 31.7.2002, p. 37 ).
( 30 ) Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council Decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council ( OJ L 316, 14.11.2012, p. 12 ).
( 31 ) Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises ( OJ L 124, 20.5.2003, p. 36 ).
( 32 ) Directive (EU) 2017/541 of the European Parliament and of the Council of 15 March 2017 on combating terrorism and replacing Council Framework Decision 2002/475/JHA and amending Council Decision 2005/671/JHA ( OJ L 88, 31.3.2017, p. 6 ).
( 33 ) Regulation (EU) 2017/1938 of the European Parliament and of the Council of 25 October 2017 concerning measures to safeguard the security of gas supply and repealing Regulation (EU) No 994/2010 ( OJ L 280, 28.10.2017, p. 1 ).
( 34 ) Regulation (EU) 2019/941 of the European Parliament and of the Council of 5 June 2019 on risk-preparedness in the electricity sector and repealing Directive 2005/89/EC ( OJ L 158, 14.6.2019, p. 1 ).
( 35 ) Directive 2007/60/EC of the European Parliament and of the Council of 23 October 2007 on the assessment and management of flood risks ( OJ L 288, 6.11.2007, p. 27 ).
( 36 ) Directive 2012/18/EU of the European Parliament and of the Council of 4 July 2012 on the control of major-accident hazards involving dangerous substances, amending and subsequently repealing Council Directive 96/82/EC ( OJ L 197, 24.7.2012, p. 1 ).
( 37 ) Directive (EU) 2016/680 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 by competent authorities for the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, and on the free movement of such data, and repealing Council Framework Decision 2008/977/JHA ( OJ L 119, 4.5.2016, p. 89 ).
ANNEX
SECTORS, SUBSECTORS AND CATEGORIES OF ENTITIES
<table><col/><col/><col/><tbody><tr><td><p>Sectors</p></td><td><p>Subsectors</p></td><td><p>Categories of entities</p></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Energy</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>Electricity</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Electricity undertakings as defined in Article 2, point (57), of Directive (EU) 2019/944 of the European Parliament and of the Council<a> (<span>1</span>)</a>, which carry out the function of ‘supply’ as defined in Article 2, point (12), of that Directive</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Distribution system operators as defined in Article 2, point (29), of Directive (EU) 2019/944</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Transmission system operators as defined in Article 2, point (35), of Directive (EU) 2019/944</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Producers as defined in Article 2, point (38), of Directive (EU) 2019/944</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Nominated electricity market operators as defined in Article 2, point (8), of Regulation (EU) 2019/943 of the European Parliament and of the Council<a> (<span>2</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><p> </p></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Market participants as defined in Article 2, point (25), of Regulation (EU) 2019/943 providing aggregation, demand response or energy storage services as defined in Article 2, points (18), (20) and (59), of Directive (EU) 2019/944</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>District heating and cooling</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Operators of district heating or district cooling as defined in Article 2, point (19), of Directive (EU) 2018/2001 of the European Parliament and of the Council<a> (<span>3</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>Oil</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Operators of oil transmission pipelines</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Operators of oil production, refining and treatment facilities, storage and transmission</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Central stockholding entities as defined in Article 2, point (f), of Council Directive 2009/119/EC<a> (<span>4</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>Gas</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Supply undertakings as defined in Article 2, point (8), of Directive 2009/73/EC of the European Parliament and of the Council<a> (<span>5</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Distribution system operators as defined in Article 2, point (6), of Directive 2009/73/EC</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Transmission system operators as defined in Article 2, point (4), of Directive 2009/73/EC</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Storage system operators as defined in Article 2, point (10), of Directive 2009/73/EC</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>LNG system operators as defined in Article 2, point (12), of Directive 2009/73/EC</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Natural gas undertakings as defined in Article 2, point (1), of Directive 2009/73/EC</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Operators of natural gas refining and treatment facilities</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>Hydrogen</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Operators of hydrogen production, storage and transmission</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Transport</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>Air</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Air carriers as defined in Article 3, point (4), of Regulation (EC) No 300/2008 used for commercial purposes</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Airport managing bodies as defined in Article 2, point (2), of Directive 2009/12/EC of the European Parliament and of the Council<a> (<span>6</span>)</a>, airports as defined in Article 2, point (1), of that Directive, including the core airports listed in Section 2 of Annex II to Regulation (EU) No 1315/2013 of the European Parliament and of the Council<a> (<span>7</span>)</a>, and entities operating ancillary installations contained within airports</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Traffic management control operators providing air traffic control (ATC) services as defined in Article 2, point (1), of Regulation (EC) No 549/2004 of the European Parliament and of the Council<a> (<span>8</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>Rail</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Infrastructure managers as defined in Article 3, point (2), of Directive 2012/34/EU of the European Parliament and of the Council<a> (<span>9</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Railway undertakings as defined in Article 3, point (1), of Directive 2012/34/EU and operators of service facilities as defined in Article 3, point (12), of that Directive</p></td></tr></tbody></table></td></tr><tr><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>Water</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Inland, sea and coastal passenger and freight water transport companies, as defined for maritime transport in Annex I to Regulation (EC) No 725/2004, not including the individual vessels operated by those companies</p></td></tr></tbody></table></td></tr><tr><td><p> </p></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Managing bodies of ports as defined in Article 3, point (1), of Directive 2005/65/EC, including their port facilities as defined in Article 2, point (11), of Regulation (EC) No 725/2004, and entities operating works and equipment contained within ports</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Operators of vessel traffic services (VTS) as defined in Article 3, point (o), of Directive 2002/59/EC of the European Parliament and of the Council<a> (<span>10</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>Road</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Road authorities as defined in Article 2, point (12), of Commission Delegated Regulation (EU) 2015/962<a> (<span>11</span>)</a> responsible for traffic management control, excluding public entities for whom traffic-management or the operation of intelligent transport systems is a non-essential part of their general activity</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Operators of Intelligent Transport Systems as defined in Article 4, point (1), of Directive 2010/40/EU of the European Parliament and of the Council<a> (<span>12</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>public transport</p></td></tr></tbody></table></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Public service operators as defined in Article 2, point (d), of Regulation (EC) No 1370/2007 of the European Parliament and of the Council<a> (<span>13</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>Banking</p></td></tr></tbody></table></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Credit institutions as defined in Article 4, point (1), of Regulation (EU) No 575/2013</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>Financial market infrastructure</p></td></tr></tbody></table></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Operators of trading venues as defined in Article 4, point (24), of Directive 2014/65/EU</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Central counterparties (CCPs) as defined in Article 2, point (1), of Regulation (EU) No 648/2012</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>Health</p></td></tr></tbody></table></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Healthcare providers as defined in Article 3, point (g), of Directive 2011/24/EU of the European Parliament and of the Council<a> (<span>14</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>EU reference laboratories as referred to in Article 15 of Regulation (EU) 2022/2371 of the European Parliament and of the Council<a> (<span>15</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Entities carrying out research and development activities of medicinal products as defined in Article 1, point (2), of Directive 2001/83/EC of the European Parliament and of the Council<a> (<span>16</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><p> </p></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Entities manufacturing basic pharmaceutical products and pharmaceutical preparations as referred to in Section C division 21 of NACE Rev. 2</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Entities manufacturing medical devices considered as critical during a public health emergency (‘public health emergency critical devices list’) within the meaning of Article 22 of Regulation (EU) 2022/123 of the European Parliament and of the Council<a> (<span>17</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Entities holding a distribution authorisation as referred to in Article 79 of Directive 2001/83/EC</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>Drinking water</p></td></tr></tbody></table></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Suppliers and distributors of water intended for human consumption as defined in Article 2, point (1)(a), of Directive (EU) 2020/2184 of the European Parliament and of the Council<a> (<span>18</span>)</a>, excluding distributors for which distribution of water for human consumption is a non-essential part of their general activity of distributing other commodities and goods</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>7.</p></td><td><p>Waste water</p></td></tr></tbody></table></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Undertakings collecting, disposing of or treating urban waste water, domestic waste water or industrial waste water as defined in Article 2, points (1), (2) and (3), of Council Directive 91/271/EEC<a> (<span>19</span>)</a>, excluding undertakings for which collecting, disposing of or treating urban waste water, domestic waste water or industrial waste water is a non-essential part of their general activity</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>8.</p></td><td><p>Digital infrastructure</p></td></tr></tbody></table></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Providers of internet exchange points as defined in Article 6, point (18), of Directive (EU) 2022/2555</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>DNS service providers as defined in Article 6, point (20), of Directive (EU) 2022/2555, excluding operators of root name servers</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>top-level-domain name registries as defined in Article 6, point (21), of Directive (EU) 2022/2555</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Providers of cloud computing services as defined in Article 6, point (30), of Directive (EU) 2022/2555</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Providers of data centre services as defined in Article 6, point (31), of Directive (EU) 2022/2555</p></td></tr></tbody></table></td></tr><tr><td><p> </p></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Providers of content delivery networks as defined in Article 6, point (32), of Directive (EU) 2022/2555</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Trust service providers as defined in Article 3, point (19), of Regulation (EU) No 910/2014 of the European Parliament and of the Council<a> (<span>20</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Providers of public electronic communications networks as defined in Article 2, point (8), of Directive (EU) 2018/1972 of the European Parliament and of the Council<a> (<span>21</span>)</a></p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Providers of electronic communications services as defined in Article 2, point (4), of Directive (EU) 2018/1972 insofar as their services are publicly available</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>9.</p></td><td><p>Public administration</p></td></tr></tbody></table></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Public administration entities of central governments as defined by Member States in accordance with national law</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>10.</p></td><td><p>Space</p></td></tr></tbody></table></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Operators of ground-based infrastructure, owned, managed and operated by Member States or by private parties, that support the provision of space-based services, excluding providers of public electronic communications networks as defined in Article 2, point (8), of Directive (EU) 2018/1972</p></td></tr></tbody></table></td></tr><tr><td><table><col/><col/><tbody><tr><td><p>11.</p></td><td><p>Production, processing and distribution of food</p></td></tr></tbody></table></td><td><p> </p></td><td><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Food businesses as defined in Article 3, point (2), of Regulation (EC) No 178/2002 of the European Parliament and of the Council<a> (<span>22</span>)</a> which are engaged exclusively in logistics and wholesale distribution and large scale industrial production and processing</p></td></tr></tbody></table></td></tr></tbody></table>
<note>
( 1 ) Directive (EU) 2019/944 of the European Parliament and of the Council of 5 June 2019 on common rules for the internal market for electricity and amending Directive 2012/27/EU ( OJ L 158, 14.6.2019, p. 125 ).
( 2 ) Regulation (EU) 2019/943 of the European Parliament and of the Council of 5 June 2019 on the internal market for electricity ( OJ L 158, 14.6.2019, p. 54 ).
( 3 ) Directive (EU) 2018/2001 of the European Parliament and of the Council of 11 December 2018 on the promotion of the use of energy from renewable sources ( OJ L 328, 21.12.2018, p. 82 ).
( 4 ) Council Directive 2009/119/EC of 14 September 2009 imposing an obligation on Member States to maintain minimum stocks of crude oil and/or petroleum products ( OJ L 265, 9.10.2009, p. 9 ).
( 5 ) Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in natural gas and repealing Directive 2003/55/EC ( OJ L 211, 14.8.2009, p. 94 ).
( 6 ) Directive 2009/12/EC of the European Parliament and of the Council of 11 March 2009 on airport charges ( OJ L 70, 14.3.2009, p. 11 ).
( 7 ) Regulation (EU) No 1315/2013 of the European Parliament and of the Council of 11 December 2013 on Union guidelines for the development of the trans-European transport network and repealing Decision No 661/2010/EU ( OJ L 348, 20.12.2013, p. 1 ).
( 8 ) Regulation (EC) No 549/2004 of the European Parliament and of the Council of 10 March 2004 laying down the framework for the creation of the single European sky (the framework Regulation) ( OJ L 96, 31.3.2004, p. 1 ).
( 9 ) Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area ( OJ L 343, 14.12.2012, p. 32 ).
( 10 ) Directive 2002/59/EC of the European Parliament and of the Council of 27 June 2002 establishing a Community vessel traffic monitoring and information system and repealing Council Directive 93/75/EEC ( OJ L 208, 5.8.2002, p. 10 ).
( 11 ) Commission Delegated Regulation (EU) 2015/962 of 18 December 2014 supplementing Directive 2010/40/EU of the European Parliament and of the Council with regard to the provision of EU-wide real-time traffic information services ( OJ L 157, 23.6.2015, p. 21 ).
( 12 ) Directive 2010/40/EU of the European Parliament and of the Council of 7 July 2010 on the framework for the deployment of Intelligent Transport Systems in the field of road transport and for interfaces with other modes of transport ( OJ L 207, 6.8.2010, p. 1 ).
( 13 ) Regulation (EC) No 1370/2007 of the European Parliament and of the Council of 23 October 2007 on public passenger transport services by rail and by road and repealing Council Regulations (EEC) Nos 1191/69 and 1107/70 ( OJ L 315, 3.12.2007, p. 1 ).
( 14 ) Directive 2011/24/EU of the European Parliament and of the Council of 9 March 2011 on the application of patients’ rights in cross–border healthcare ( OJ L 88, 4.4.2011, p. 45 ).
( 15 ) Regulation (EU) 2022/2371 of the European Parliament and of the Council of 23 November 2022 on serious cross-border threats to health and repealing Decision No 1082/2013/EU ( OJ L 314, 6.12.2022, p. 26 ).
( 16 ) Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the community code relating to medicinal products for human use ( OJ L 311, 28.11.2001, p. 67 ).
( 17 ) Regulation (EU) 2022/123 of the European Parliament and of the Council of 25 January 2022 on a reinforced role for the European Medicines Agency in crisis preparedness and management for medicinal products and medical devices ( OJ L 20, 31.1.2022, p. 1 ).
( 18 ) Directive (EU) 2020/2184 of the European Parliament and of the Council of 16 December 2020 on the quality of water intended for human consumption ( OJ L 435, 23.12.2020, p. 1 ).
( 19 ) Council Directive 91/271/EEC of 21 May 1991 concerning urban waste water treatment ( OJ L 135, 30.5.1991, p. 40 ).
( 20 ) Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC ( OJ L 257, 28.8.2014, p. 73 ).
( 21 ) Directive (EU) 2018/1972 of the European Parliament and of the Council of 11 December 2018 establishing the European Electronic Communication Code ( OJ L 321, 17.12.2018, p. 36 ).
( 22 ) Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety ( OJ L 31, 1.2.2002, p. 1 ).
</note> | ENG | 32022L2557 |
02014R0897 — EN — 27.06.2020 — 001.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p> COMMISSION IMPLEMENTING REGULATION (EU) No 897/2014</p><p>of 18 August 2014</p><p><a>laying down specific provisions for the implementation of cross-border cooperation programmes financed under Regulation (EU) No 232/2014 of the European Parliament and the Council establishing a European Neighbourhood Instrument</a></p><p>(OJ L 244 19.8.2014, p. 12)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a> COMMISSION IMPLEMENTING REGULATION (EU) 2020/879 of 23 June 2020</a></p></td><td><p>  L 203</p></td><td><p>59</p></td><td><p>26.6.2020</p></td></tr></table>
COMMISSION IMPLEMENTING REGULATION (EU) No 897/2014
of 18 August 2014
laying down specific provisions for the implementation of cross-border cooperation programmes financed under Regulation (EU) No 232/2014 of the European Parliament and the Council establishing a European Neighbourhood Instrument
PART ONE
SUBJECT MATTER AND DEFINITIONS
Article 1
Subject matter
This Regulation lays down detailed provisions for the implementation of cross-border cooperation programmes as set out in Article 12 of Regulation (EU) No 232/2014 and Article 6(2) of Regulation (EU) No 236/2014.
Article 2
Definitions
For the purposes of this Regulation the following definitions shall apply:
(a) ‘programme’ means a joint operational programme within the meaning of Article 10 of Regulation (EU) No 232/2014;
(b) ‘participating countries’ means all Member States, CBC partner countries and any European Economic Area country taking part in a programme;
(c) ‘programming document’ means the document which is referred to Article 9(1) of Regulation (EU) No 232/2014 and which establishes the strategic objectives, the list of programmes, their indicative multiannual allocation and geographical eligibility;
(d) ‘programme area’ means core regions, adjoining regions, the major social, economic or cultural centres and territorial units referred to in Article 8(3) and (4) of Regulation (EU) No 232/2014 respectively
(e) ‘core regions’ means the territorial units referred to in Article 8(1) of Regulation (EU) No 232/2014 and border areas in Instrument for Pre-Accession Assistance geographic entities and in European Economic Area countries as set out in the programming document;
(f) ‘adjoining regions’ means the territorial units referred to in Article 8(2) of Regulation (EU) No 232/2014 and those adjoining to core regions in Instrument for Pre-Accession Assistance geographic entities and in European Economic Area countries;
(g) ‘Joint Monitoring Committee’ means the joint committee responsible for monitoring the implementation of the programme;
(h) ‘Managing Authority’ means the authority or body appointed by the participating countries as responsible for managing the programme;
(i) ‘national authority’ means the entity appointed by each participating country bearing the ultimate responsibility for supporting the Managing Authority in the implementation of the programme on its own territory;
(j) ‘Joint Technical Secretariat’ means the body set up by the participating countries to assist the programme bodies;
(k) ‘financial instruments’ means Union measures of financial support provided on a complementary basis in order to address one or more specific policy objectives of the Union. Such instruments may take the form of equity or quasi-equity investments, loans or guarantees, or other risk-sharing instruments, and may, where appropriate, be combined with grants;
(l) ‘CBC partner countries’ means countries and territories listed in Annex I to Regulation (EU) No 232/2014, the Russian Federation and beneficiaries listed in Annex I to Regulation (EU) No 231/2014 when there is co-financing under the latter;
(m) ‘irregularities’ means any infringement of a financing agreement, a contract or of applicable law resulting from an act or omission by an economic operator involved in the implementation of the programme, which has, or would have, the effect of prejudicing the budget of the Union by charging an unjustified item of expenditure to the budget of the Union;
(n) ‘Union contribution’ means the part of the eligible expenditure of the programme or project which is financed by the Union;
(o) ‘contract’ means any procurement or grant contract concluded in the framework of a programme;
(p) ‘large infrastructure projects’ means projects comprising a set of works, activities or services intended to fulfil an indivisible function of a precise nature pursuing clearly identified objectives of common interest for the purposes of implementing investments delivering a cross-border impact and benefits and where a budget share of at least EUR 2,5 million is allocated to acquisition of infrastructure;
(q) ‘intermediate body’ means any public or private body which acts under the responsibility of a Managing Authority, or which carries out duties on behalf of such an in relation to beneficiaries implementing projects;
(r) ‘contractor’ means a natural or legal person with whom a procurement contract has been concluded;
(s) ‘beneficiary’ means a natural or legal person with whom a grant contract has been signed;
(t) ‘accounting year’ means the period from 1 July to 30 June, except for the first accounting year, in respect of which it means the period from the start date for eligibility of expenditure until 30 June 2015. The final accounting year shall be from 1 July 2023 to 30 September 2024. In case of indirect management with an international organisation in the sense of Article 80, the accounting year shall be the financial year;
(u) ‘financial year’ means the period from 1 January to 31 December.
PART TWO
COMMON PROVISIONS
TITLE I
GENERAL FRAMEWORK FOR IMPLEMENTATION
CHAPTER 1
Programmes
Article 3
Preparation
Each programme shall be prepared by a common agreement of all the participating countries, in accordance with Regulation (EU) No 232/2014, the programming document and this Regulation.
Article 4
Content
Each programme shall contain in particular the following information:
1. Introduction: a short description of the programme preparation steps including information on consultations and actions taken to involve the participating countries and other stakeholders in the preparation of the programme.
2. Description of the programme area:
(a) core regions: a list of eligible territorial units as set out in the programming document and, where relevant, any extension in accordance with Article 8(4) of Regulation (EU) No 232/2014 and in line with the requirements set out in the programming document;
(b) adjoining regions, where relevant: a list of adjoining regions, the justification for their inclusion in line with the requirements set out in the programming document and the conditions for their participation in the programme, as decided by the participating countries;
(c) major social, economic or cultural centres referred to in Article 8(3) of Regulation (EU) No 232/2014, where relevant: a list of centres identified per priority, the justification for their inclusion in line with the requirements set out in the programming document and the conditions for their participation in the programme, as decided by the participating countries;
(d) a map of the programme area, mentioning the name of each territorial unit and, where relevant, distinguishing between the territorial units referred to in (a), (b) and (c);
(e) in addition to the description of the programme area, where relevant, the intention to make use of Article 10(5) of Regulation (EU) No 232/2014 under the conditions set out in the programming document shall be indicated in the programme.
3. Programme's strategy:
(a) a description of the programme strategy including the choice of thematic objectives and corresponding priorities in line with the provisions of the programming document;
(b) a justification for the chosen strategy based on:
— an analysis of the socioeconomic and environmental situation of the programme area in terms of strengths and weaknesses and the medium-term needs deriving from that analysis,
— a description of lessons learnt from previous experiences in cross-border programmes,
— based on a wider stakeholders consultation, information on the coherence with other Union-financed programmes in the countries and regions concerned together with an analysis of coherence with national and regional strategies and policies,
— a risk analysis and mitigating measures;
(c) a description of objectively verifiable indicators, in particular:
— the expected results for each priority, and the corresponding result indicators, with a baseline value and a target value,
— the output indicators for each priority, including the quantified target value, which are expected to contribute to the results;
(d) a description of ways to mainstream the following cross-cutting issues, where relevant: democracy and human rights, environmental sustainability, gender equality and HIV/AIDS.
4. Structures and appointment of the competent authorities and management bodies:
(a) the composition of the Joint Monitoring Committee and tasks;
(b) the Managing Authority and its designation process;
(c) national authorities of all participating countries, in particular, the authority in each participating country referred to in Articles 20 and 31 and where relevant support structures, other than those referred to in points (e) and (f);
(d) the procedure for setting up the Joint Technical Secretariat, and branch offices and tasks, where relevant;
(e) the audit authority and the members of the group of auditors;
(f) the body or bodies appointed as control contact points in all participating countries and its/their tasks pursuant to Article 32;
5. Programme implementation:
(a) a summary description of the management and control systems in accordance with Article 30;
(b) a time-frame for programme implementation;
(c) a description of project selection procedures in accordance with Article 30;
(d) a description per priority of nature of support in accordance with Article 38, including a list of projects to be selected through direct award procedure or contributions to financial instruments. It shall also include an indicative timetable for the selection of projects to be financed in accordance with Article 41;
(e) a description of planned use of technical assistance and applicable contract award procedures;
(f) a description of the monitoring and evaluation systems, together with an indicative monitoring and evaluation plan for the whole duration of the programme;
(g) the communication strategy for the whole programme period and an indicative information and communication plan for the first year;
(h) information on fulfilment of regulatory requirements laid down in Directive 2001/42/EC of the European Parliament and of the Council ( 1 );
(i) an indicative financial plan containing two tables (without any division per participating country):
— a table specifying the yearly provisional financial appropriations for commitments and payments envisaged for the support from the Union for each thematic objective and technical assistance. The first year's appropriations shall include the costs for preparatory actions pursuant to Article 16,
— a table specifying the provisional amounts of the financial appropriations of the support from the Union and co-financing for the whole programming period for each thematic objective and technical assistance;
(j) rules on eligibility of expenditure referred to in Articles 48 and 49;
(k) the apportionment of liabilities among the participating countries in accordance with Article 74;
(l) the rules of transfer, use and monitoring of co-financing;
(m) a description of IT systems for the reporting and exchange of computerised data between the Managing Authority and the Commission;
(n) language(s) adopted by the programme in conformity with Article 7.
Article 5
Adoption
1. Within one year of approval of the programming document, the participating countries shall jointly submit a proposal for a programme to the Commission containing all the elements referred to in Article 4. The participating countries shall confirm in writing their agreement with the content of the programme prior to its submission to the Commission.
2. The Commission shall verify that the programme contains all the elements referred to in Article 4. The Commission shall assess the consistency of the programme with Regulation (EU) No 232/2014, the programming document, this Regulation and any other relevant Union law. The assessment shall in particular address:
(a) the quality of the analysis, its consistency with the proposed priorities and with other Union-financed programmes;
(b) the accuracy of the financial plan;
(c) the compliance with Directive 2001/42/EC.
3. Within three months of the programme submission date the Commission shall make observations and request necessary revisions. Within two months of the Commission's request the participating countries shall provide all necessary information. Within six months of the programme submission date the Commission shall approve the programme provided that all Commission observations have been duly taken into account. The Commission may extend these deadlines depending on the nature of the required revisions.
4. Each programme shall be adopted by a Commission decision for the whole programme duration in accordance with Article 10(4) of Regulation (EU) No 232/2014.
Article 6
Adjustments and revision
1. Adjustments of the programme that do not significantly affect the nature and objectives of the programme shall be considered non substantial. In particular:
(a) cumulative changes up to 20 % of the originally allocated Union contribution to each thematic objective or technical assistance or as amended pursuant to paragraph 2 involving transfer between thematic objectives or from technical assistance to thematic objectives;
(b) cumulative changes up to 20 % of the originally allocated Union contribution to each thematic objective or as amended pursuant to paragraph 2 involving transfer from thematic objectives to technical assistance.
Changes of the programme financial plan referred to in point (a) may be directly made by the Managing Authority, with the prior approval of the Joint Monitoring Committee. The Managing Authority shall inform the Commission of any of these changes, at the latest in the next annual report, and provide the Commission with all necessary additional information.
In case of changes of the programme financial plan referred to in point (b), the Managing Authority shall seek the prior approval of both the Joint Monitoring Committee and the Commission.
2. Following a reasoned request from the Joint Monitoring Committee or at the initiative of the Commission after having consulted the Joint Monitoring Committee, programmes may be revised as a result of any of the following:
(a) review of the programming document;
(b) major socioeconomic changes or substantial changes in the programme's area;
(c) implementation difficulties;
(d) changes in the financial plan beyond the margin of flexibility referred to in paragraph 1 or any change significantly affecting the nature and objectives of the programme;
(e) audits, monitoring and evaluations.
3. Requests for revision of programmes shall be duly substantiated and shall reflect the expected impact of the changes to the programme.
4. The Commission shall assess the information provided in accordance with paragraphs 2 and 3. If The Commission has observations the Managing Authority shall submit all necessary additional information to the Commission. Within five months of the submission of the request for revision, the Commission shall approve it provided that all Commission observations have been duly taken into account.
5. Any revision of a programme in the cases referred to in paragraph 2 or Article 66(5) shall be adopted by a decision of the Commission and may require the modification of the financing agreements referred to in Articles 8 and 9.
Article 7
Use of Languages
1. As working language each programme shall use one or more of the Union's official language(s). In addition, the participating countries may also decide to use other non-Union official languages as working language. The choice of working language(s) shall be described in the programme pursuant to Article 4.
2. In order to take account of the partnership nature of the programmes, the beneficiaries may submit documents to the Managing Authority concerning their project in their national language, provided that this possibility is specifically mentioned in the programme and that the Joint Monitoring Committee makes provision, through the Managing Authority, for any interpretation and translation that may be necessary.
3. Interpretation and translation costs for all languages selected by the programme shall be covered by either the technical assistance budget at programme level or the budget of each individual project at project level.
CHAPTER 2
Financing Agreements
Article 8
Financing agreements with CBC partner countries
1. The Commission shall conclude financing agreements with each of the CBC partner countries. Financing agreements may also be signed by the other participating countries and by the Managing Authority or by the country hosting the Managing Authority.
2. Financing agreements shall be signed not later than the end of the year which follows the year of the Commission decision adopting the programme. Nevertheless, where a programme involves more than one CBC partner country, at least one financing agreement shall be signed by all parties before that date. The other CBC partner countries may sign their respective financing agreements afterwards. Pending the entry into force of its financing agreement, the external component of the programme with that CBC partner country may not be launched. Where a programme is co-financed under Regulation (EU) No 231/2014, and there is more than one CBC partner country, at least one financing agreement with one participating partner country listed in Annex I to Regulation (EU) No 232/2014 or the Russian Federation shall be signed by all parties not later than the end of the year which follows the year of the Commission decision adopting the programme.
Article 9
Financing agreements with CBC partner countries providing co-financing
1. Where a CBC partner country's co-financing is transferred to the Managing Authority, the financing agreement referred to in Article 8 shall also be signed by the other participating Member States and CBC partner countries and by the Managing Authority or by the country hosting the Managing Authority.
2. That financing agreement shall contain provisions concerning the CBC partner country's co-financing, such as:
(a) amount;
(b) intended use and conditions for use, including conditions for applying;
(c) modalities of payments;
(d) financial management;
(e) record keeping;
(f) reporting obligations;
(g) verifications and controls;
(h) irregularities and recoveries.
CHAPTER 3
Other agreements or Memoranda of Understanding
Article 10
Content
The Managing Authority may conclude Memoranda of Understanding or any other agreement with participating countries outlining programme provisions, in particular national co-financing, specific financial responsibilities, audits and recoveries.
The content of those Memoranda of Understanding or any other agreement shall be in line with the provisions laid down in this Regulation and in the financing agreement(s).
CHAPTER 4
Implementation
Article 11
Methods of implementation
Programmes shall be usually implemented in shared management with Member States in accordance with Article 59 of Regulation (EU, Euratom) No 966/2012. Participating countries may propose implementation in indirect management by a CBC partner country or an international organisation in accordance with Article 60 of Regulation (EU, Euratom) No 966/2012.
Programmes implemented in indirect management shall be governed by Part Three of this Regulation.
TITLE II
CO-FINANCING
Article 12
Co-financing rate
1. Co-financing shall amount to at least 10 % of the Union contribution.
2. Where possible, co-financing shall be distributed in a balanced way throughout the duration of the programme to ensure that the minimum objective of 10 % is achieved by the end of the programme.
3. Aid granted under the programme shall comply with the applicable Union rules on State aid within the meaning of Article 107 of the Treaty on the Functioning of the European Union.
4. By way of derogation from paragraphs 1 and 2, and in accordance with Article 6(1), no co-financing of the Union contribution shall be required for expenditure incurred and paid as included in the programme annual accounts for the accounting year from 1 July 2020 to 30 June 2021.
Article 13
Co-financing sources
1. Co-financing shall come from sources other than the Union.
2. Within each programme the participating countries shall be free to determine the source, amount and distribution of co-financing.
3. If a CBC partner country undertakes to transfer its co-financing to the Managing Authority, the arrangements for providing, using and monitoring the co-financing shall be set out in the financing agreement referred to in Article 9 and if relevant in the agreements referred to in Article 10.
4. In all other cases, the arrangements applicable to the co-financing may be set out in the agreements referred to in Article 10.
Article 14
Contributions in kind
1. Any provision of non-financial resources free of charge by a third party shall be considered as contributions in kind at programme or project level. The cost of staff assigned to a project or programme shall not be considered a contribution in kind but may be considered part of the minimum 10 % co-financing referred to in Article 12 when paid by beneficiaries or participating countries.
2. Contributions in kind are not eligible costs and may not be considered part of the minimum 10 % co-financing referred to in Article 12.
TITLE III
PERIOD OF EXECUTION
Article 15
Period of execution
The period of execution of each programme shall start at the earliest on the date of the adoption of the programme by the Commission and end on 31 December 2025 at the latest.
Article 16
Starting phase of the programme
1. Under shared management, the programme shall start in the participating Member States upon receipt of the notification referred to in Article 25(4) by which the Commission informs that it does not intend to request the documents referred to in that Article or that it does not have any observation. The participating countries may launch the preparatory actions required to set up the management and control systems earlier. The related costs shall be eligible in accordance with Article 36.
2. Under indirect management referred to in Articles 80 and 82, the programme shall start in the participating Member States after the entry into force of the agreement entrusting budget implementation tasks to an international organisation or to a CBC partner country.
3. In addition, the following further preparatory actions required to start the programme may be undertaken:
(a) the establishment of the Managing Authority and, where relevant, of the Joint Technical Secretariat;
(b) the first meetings of the Joint Monitoring Committee, including also representatives of CBC partner countries that have not yet signed a financing agreement or where the financing agreement has not yet entered into force;
(c) the preparation and launching of project selection or contract award procedures with a suspension clause linked to the entry into force of the financing agreements.
4. Pending the entry into force of the respective financing agreements, only preparatory actions referred to in paragraphs 1 and 3 may be launched with the relevant CBC partner country.
Article 17
Discontinuation of the programme
1. Where none of the CBC partner countries has signed the relevant financing agreement before the date referred to in Article 8(2), the programme shall be discontinued.
European Regional Development Fund annual instalments already committed shall remain available for their normal lifetime, but they may be used only for activities that take place exclusively in the Member States concerned and contracted before the Commission discontinuation decision. The Managing Authority shall transmit to the Commission the final report within three months from the closure of the contracts and the latter shall proceed in conformity with paragraphs 2 and 3.
2. Where the programme cannot be implemented due to problems arising in relations between participating countries and in other duly justified cases, the Commission may decide to discontinue the programme before the expiry date of the period of execution at the request of the Joint Monitoring Committee or on its own initiative after having consulted the Joint Monitoring Committee.
3. Where the programme is discontinued, the Managing Authority shall transmit the final report within six months following the Commission's decision. After clearing the previous prefinancing payments, the Commission shall pay the final balance or, where appropriate, issue a recovery order. The Commission shall also de-commit the balance of commitments.
As an alternative, it may be decided to reduce the programme budget allocation in accordance with point (c) of Article 6(2).
4. In the cases referred to in paragraphs 1 and 2, support from the European Regional Development Fund corresponding to annual instalments not yet committed or annual instalments committed and de-committed totally or partially during the same budgetary year, which have not been reallocated to another programme of the same category of external cooperation programmes shall be allocated to the internal cross-border cooperation programmes in accordance with Article 4 of Regulation (EU) No 1299/2013.
Support from Regulation (EU) No 232/2014 corresponding to annual instalments not yet committed or annual instalments committed and de-committed totally or partially during the same budgetary year shall be used to finance other programmes or projects eligible under Regulation (EU) No 232/2014.
Article 18
Projects
1. Contract for large infrastructure projects selected through direct award shall be signed and contribution to financial instruments shall be provided before 30 June 2019.
2. All other contracts shall be signed before 31 December 2022 .
3. All project activities financed by the programme shall end on 31 December 2023 at the latest.
Article 19
Closure of the programme
1. Only activities linked to the closure of projects by beneficiaries in accordance with point (a)(iii) of Article 48(2) or linked to the closure of programmes under technical assistance may be carried out between 1 January 2024 and 30 September 2024.
2. A programme shall be considered closed when:
(a) all contracts concluded under the programme have been closed;
(b) the final balance has been paid or reimbursed;
(c) remaining appropriations have been de-committed by the Commission.
3. The closure of the programme shall not prejudice the Commission's right to undertake, at a later stage, financial corrections vis-à-vis the Managing Authority or the beneficiaries if the final amount of the programme or the projects has to be readjusted as a result of controls or audits carried out after the closure date.
TITLE IV
PROGRAMME STRUCTURES
Article 20
Appointment of authorities and management bodies
1. A national, regional or local public authority or body, or a private law body with a public service mission shall be selected as Managing Authority by the participating countries. The same Managing Authority may be selected for more than one programme.
2. The participating countries shall appoint a national, regional or local public authority or body, functionally independent from the Managing Authority, as the single Audit Authority. The Audit Authority shall be situated in the Member State hosting the Managing Authority. The same Audit Authority may be appointed for more than one programme.
3. One or more intermediate bodies may be appointed to carry out certain tasks of the Managing Authority under the responsibility of the latter. The relevant arrangements between the Managing Authority and the intermediate bodies shall be formally recorded in writing. The intermediate body shall guarantee its solvency and competence in the domain concerned, as well as its administrative and financial management capacity.
4. The participating countries shall lay down in the management and control systems and where relevant in the financing agreements referred to in Articles 8 and 9 and/or the agreements referred to in Article 10, the rules governing their relations with the Managing Authority and Audit Authority, the relations between these authorities and the relations between these authorities and the Commission.
5. The Member State in which the Managing Authority is located may, at its own initiative, designate a coordinating body whose responsibility is to liaise with and inform the Commission, coordinate activities of the other relevant designated bodies and promote the harmonised application of applicable law.
6. Each participating country shall appoint:
(a) a national authority to support the Managing Authority in the management of the programme in accordance with the principle of sound financial management;
(b) a control contact point to support the Managing Authority in its control of the programme obligations;
(c) a representative to the group of auditors referred to in Article 28(2);
(d) representatives to the Joint Monitoring Committee referred to in Article 21.
CHAPTER 1
Joint Monitoring Committee
Article 21
Joint Monitoring Committee
Within three months of the date of the adoption of the programme by the Commission, the participating countries shall set up the Joint Monitoring Committee.
Article 22
Composition of the Joint Monitoring Committee
1. The Joint Monitoring Committee shall be composed of one or more representatives appointed by each participating country. Representatives shall be appointed on a functional basis and not on a personal basis. Other persons may be appointed as observers by the Joint Monitoring Committee.
2. Whenever possible and appropriate, participating countries shall ensure suitable participation of all actors concerned and in particular local stakeholders, including civil society organisations and local authorities, in order to ensure their participation in the implementation of the programme.
3. The Commission shall be involved in the work of the Joint Monitoring Committee as an observer. It shall be invited to each meeting of the Joint Monitoring Committee at the same time as the representatives of the participating countries. The Commission may decide whether it will participate or not in all or part of each Joint Monitoring Committee meeting.
4. The Joint Monitoring Committee shall be chaired by one of its members, representative of the Managing Authority or any other person, as set out in the rules of procedure.
5. A representative of the Managing Authority, of the Joint Technical Secretariat or of the intermediate body referred to in Article 20(3) shall be appointed as secretary of the Joint Monitoring Committee.
Article 23
Functioning
1. The Joint Monitoring Committee shall draw up and adopt its rules of procedure by unanimity.
2. The Joint Monitoring Committee shall seek to take decisions by consensus. It may put certain decisions to a vote, particularly those relating to the final selection of projects and the grant amounts allocated to them in accordance with its rules of procedure.
3. Each participating country has equal voting rights regardless of the number of representatives it has appointed.
4. The secretary, the Commission or any other observer have no voting rights.
5. The chairperson of the Joint Monitoring Committee shall act as moderator and lead the discussions. The chairperson shall have voting rights when he or she is a representative of a participating country.
6. The Joint Monitoring Committee shall meet at least once per year. It shall be convened by its chairperson at the request of the Managing Authority or upon duly justified request of any participating country or of the Commission. It may also take decisions through written procedure at the initiative of its chairperson, the Managing Authority or any participating country in conformity with its rules of procedure.
7. Minutes shall be drawn up after each meeting of the Joint Monitoring Committee for signature by the chairperson and the secretary. A copy of these minutes shall be shared with the participating countries representatives, the Commission and any other observer.
Article 24
Functions of the Joint Monitoring Committee
1. The Joint Monitoring Committee shall follow the programme implementation and progress towards its priorities using the objectively verifiable indicators and related target values defined in the programme. The Joint Monitoring Committee shall examine all issues affecting the programme performance.
2. The Joint Monitoring Committee may issue recommendations to the Managing Authority regarding the programme implementation and evaluation. It shall monitor actions undertaken as a result of its recommendations.
3. The Joint Monitoring Committee shall in particular:
(a) approve the Managing Authority's work programme and financial plan, including planned use of technical assistance;
(b) monitor the implementation by the Managing Authority of the work programme and financial plan;
(c) approve the criteria for selecting projects to be financed by the programme;
(d) be responsible for the evaluation and selection procedure applicable to projects to be financed by the programme;
(e) approve any proposal to revise the programme;
(f) examine all reports submitted by the Managing Authority and, if necessary, take appropriate measures;
(g) examine any contentious cases brought to its attention by the Managing Authority.
(h) examine and approve the annual report referred to in Article 77;
(i) examine and approve the annual monitoring and evaluation plan referred to in Article 78;
(j) examine and approve the annual information and communication plans referred to in Article 79.
4. Notwithstanding point (d) of paragraph 3, the Joint Monitoring Committee may set up a project selection committee acting under its responsibility.
CHAPTER 2
Managing Authority
Article 25
Designation
1. The Managing Authority that has been selected by the participating countries of the programme shall undergo a designation procedure in the Member State in which it is located by decision at the appropriate level.
2. The designation procedure shall be based on a report and an opinion of an independent audit body that assesses the compliance of the management and control systems, including the role of intermediate bodies therein, with the designation criteria laid down in Annex I to this Regulation. The audit body shall take into account, where relevant, whether the management and control systems for the programme are similar to those in place for the previous programming period, as well as any evidence of their effective functioning.
The independent audit body shall be the Audit Authority, or another public or private law body with the necessary audit capacity, which is functionally independent of the Managing Authority. It shall carry out its work in accordance with internationally accepted audit standards.
3. The Member State shall submit the formal decision referred to in paragraph 1 to the Commission as soon as possible after the programme adoption by the Commission.
4. Within two months of receipt of the formal decision referred to in paragraph 1, the Commission may request the report and the opinion of the independent audit body and the description of the management and control system as regards, in particular, those parts concerning project selection. If the Commission does not intend to request these documents, it shall notify the Member State as soon as possible. If the Commission requests these documents, it may make observations within two months of receipt of these documents which shall be reviewed taking into account the observations. When the Commission does not have any initial or further observations it shall notify the Member State as soon as possible.
5. Where existing audit and control results show that the designated authority no longer complies with the criteria referred to in paragraph 2, the Member State shall, at an appropriate level, set the necessary remedial action and fix a period of probation according to the severity of the problem, during which such remedial action shall be taken.
Where the designated authority fails to implement the required remedial action within the period of probation determined by the Member State, the Member State, at an appropriate level, shall end its designation.
The Member State shall notify the Commission without delay when:
— a designated authority is put under probation, and provide information on the remedial actions and the respective probation period, or
— following implementation of remedial actions the probation is ended, or
— the designation of an authority is ended.
The notification that a designated body is put under probation by the Member State shall not, without prejudice to the application of Article 61, interrupt the handling of payment requests.
Where the designation of a Managing Authority is ended, the participating countries shall appoint a new authority or body, as referred to in Article 20(1), to take over the functions of the Managing Authority. That body or authority shall undergo the designation procedure foreseen in paragraph 2 and the Commission shall be notified thereof in conformity with paragraph 4. This change shall require a revision of the programme pursuant to Article 6.
Article 26
Functions of the Managing Authority
1. The Managing Authority shall be responsible for managing the programme in accordance with the principle of sound financial management and for ensuring that decisions of the Joint Monitoring Committee comply with the applicable law and provisions.
2. As regards the programme management, the Managing Authority shall:
(a) support the work of the Joint Monitoring Committee and provide it with the information it requires to carry out its tasks, in particular data relating to the progress of the programme in achieving its expected results and targets;
(b) draw up and, after approval by the Joint Monitoring Committee, submit the annual report and the final report to the Commission;
(c) share information with intermediate bodies, the Joint Technical Secretariat, the Audit Authority and beneficiaries that is relevant to the execution of their tasks or project implementation;
(d) establish and maintain a computerised system to record and store data on each project necessary for monitoring, evaluation, financial management, control and audit, including data on individual participants in projects, where applicable. In particular, it shall record and store technical and financial reports for each project. The system shall provide all data required for drawing up payment requests and annual accounts, including records of amounts recoverable, amounts recovered and amounts reduced following cancellation of all or part of the contribution for a project or programme;
(e) carry out where relevant environmental impact assessment studies at programme level;
(f) implement the information and communication plans in accordance with Article 79;
(g) implement the monitoring and evaluation plans in accordance with Article 78.
3. As regards the selection and management of projects, the Managing Authority shall:
(a) draw up and launch the selection procedures;
(b) manage the project selection procedures;
(c) provide the lead beneficiary with a document setting out the conditions for support for each project including the financing plan and execution deadlines;
(d) sign contracts with beneficiaries;
(e) manage projects.
4. As regards the technical assistance, the Managing Authority shall:
(a) manage the contract award procedures;
(b) sign contracts with contractors;
(c) manage contracts.
5. As regards the financial management and control of the programme, the Managing Authority shall:
(a) verify that services, supplies or works have been performed, delivered and/or installed and whether expenditure declared by the beneficiaries has been paid by them and that this complies with applicable law, programme rules and conditions for support of the projects;
(b) ensure that beneficiaries involved in project implementation maintain either a separate accounting system or a suitable accounting code for all transactions relating to a project;
(c) put in place effective and proportionate anti-fraud measures taking into account the risks identified;
(d) set up procedures to ensure that all documents regarding expenditure and audits required to ensure a suitable audit trail are held in accordance with the requirements of Article 30;
(e) draw up the management declaration and annual summary referred to in Article 68;
(f) draw up and submit payment requests to the Commission in accordance with Article 60;
(g) draw up the annual accounts;
(h) take account of the results of all audits carried out by or under the responsibility of the Audit Authority when drawing up and submitting payment requests;
(i) maintain computerised accounting records for expenditure declared to the Commission and for payments made to beneficiaries;
(j) keep an account of amounts recoverable and of amounts reduced following cancellation of all or part of the grant.
6. Verifications pursuant to point (a) of paragraph 5 shall include the following procedures:
(a) administrative verifications for each payment request by beneficiaries;
(b) on-the-spot project verifications.
The frequency and coverage of the on-the-spot verifications shall be proportionate to the amount of the grant to a project and the level of risk identified by these verifications and audits by the Audit Authority for the management and control systems as a whole.
7. On-the-spot project verifications pursuant to paragraph point (b) of paragraph 6 may be carried out on a sample basis
8. Where the institution hosting the Managing Authority is also a beneficiary under the programme, arrangements for the verifications referred to in point (a) of paragraph 5 shall ensure suitable segregation of functions.
Article 27
Joint Technical Secretariat and branch offices
1. The participating countries may decide to set up a Joint Technical Secretariat to be described in the programme in accordance with Article 4.
2. The Joint Technical Secretariat shall assist the Managing Authority, the Joint Monitoring Committee and, where relevant, the Audit Authority, in carrying out their respective functions. In particular, it shall inform potential beneficiaries about funding opportunities under programmes and shall assist beneficiaries in the project implementation. It may also be appointed as intermediate body referred to in Article 20(3).
3. Following a decision of the participating countries, branch offices may be set up in the participating countries. Their role shall be described in the programme and may include communication, information, assistance to the Managing Authority in the project evaluation and implementation follow-up. In no event, may the branch office be entrusted with a task involving exercise of public authority or the use of discretionary powers of judgment regarding projects.
4. The technical assistance budget shall finance the operation of the Joint Technical Secretariat and branch offices.
CHAPTER 3
Audit Authority
Article 28
Functions of the Audit Authority
1. The Audit Authority of the programme shall ensure that audits are carried out on the management and control systems, on an appropriate sample of projects and on the annual accounts of the programme.
1a. For the purposes of paragraph 1, the COVID-19 pandemic shall constitute a duly justified case that the audit authority may invoke based on their professional judgement to use a non-statistical sampling method for the accounting year from 1 July 2019 to 30 June 2020.
2. The Audit Authority shall be assisted by a group of auditors comprising a representative of each participating country in the programme.
3. Where audits are carried out by a body other than the Audit Authority, the Audit Authority shall ensure that this body has the necessary functional independence.
4. The Audit Authority shall ensure that the audit work complies with internationally accepted auditing standards.
5. Within 9 months of the signature of the first financing agreement in accordance with Article 8(2), the Audit Authority shall submit an audit strategy for performance of audits to the Commission. The audit strategy shall set out the audit methodology on the annual accounts and on projects, the sampling method for audits on projects and the planning of audits for the current accounting year and the two subsequent accounting years. The audit strategy shall be updated annually from 2017 until end 2024. Where a common management and control system applies to more than one programme, a single audit strategy may be prepared for the programmes concerned. The updated audit strategy shall be submitted to the Commission together with the programme annual report.
6. The Audit Authority shall draw up in conformity with Article 68:
(a) an audit opinion on the annual accounts for the preceding accounting year;
(b) an annual audit report.
Where a common management and control system applies to more than one programme, the information required under point (b) may be covered by a single report.
Article 29
Cooperation with the Audit Authority
The Commission shall cooperate with the Audit Authority to coordinate its audit plans and methods and shall share the results of audits carried out on management and control systems of the concerned programme.
TITLE V
MANAGEMENT AND CONTROL SYSTEMS
Article 30
General principles of management and control systems
1. Management and control systems shall include:
(a) the functions of each body involved in management and control, including division of functions within each body, their internal organisation in compliance with the principle of separation of functions between and within such bodies;
(b) procedures for ensuring the correctness and regularity of expenditure declared;
(c) electronic data systems for accounting, storage, monitoring and reporting;
(d) systems for monitoring and reporting where the responsible body entrusts execution of tasks to another body;
(e) arrangements for auditing the functioning of the management and control systems;
(f) systems and procedures to ensure an adequate audit trail;
(g) procedures for prevention, detection and correction of irregularities, including fraud and the recovery of amounts unduly paid, together with any interest;
(h) contract award procedures for technical assistance and projects selection procedures
(i) the role of national authorities and the responsibilities of the participating countries in accordance with Article 31.
2. The Managing Authority shall ensure that the management and control systems for the programme are set up in accordance with the provisions of this Regulation and that these systems function effectively.
Article 31
National authorities and responsibilities of participating countries
1. The national authority which has been appointed pursuant to point (a) of Article 20(6) shall inter alia:
(a) be responsible for the set up and effective functioning of management and control systems at national level;
(b) ensure the overall coordination of the institutions involved at national level in the programme implementation, including, inter alia, the institutions acting as control contact points and as member of the group of auditors;
(c) represent its country in the Joint Monitoring Committee.
For CBC partner countries, the national authority is the ultimate responsible body for implementing the provisions set out in the financing agreement referred to in Articles 8 and 9.
2. Participating countries shall support the Managing Authority in its obligation referred to in Article 30(2).
3. Participating countries shall prevent, detect and correct irregularities, including fraud and the recovery of amounts unduly paid, together with any interest pursuant Article 74 on their territories. They shall notify these irregularities without delay to the Managing Authority and the Commission and keep them informed of the progress of related administrative and legal proceedings.
4. Responsibilities of participating countries for amounts unduly paid to a beneficiary are laid down in Article 74.
5. A financial correction by the Commission shall not prejudice the Managing Authority's obligation to pursue recoveries under Articles 74 and 75 nor the obligation by Member States to recover State aid within the meaning of Article 107(1) of the Treaty on the Functioning of the European Union and under Article 14 of Council Regulation (EC) No 659/1999 ( 2 ).
Article 32
Audit and control Structures
1. Expenditure declared by the beneficiary in support of a payment request shall be examined by an auditor or by a competent public officer being independent from the beneficiary. The auditor or the competent public officer shall examine whether the costs declared by the beneficiary and the revenue of the project are real, accurately recorded and eligible in accordance with the contract.
This examination shall be performed on the basis of an agreed-upon procedure which will be undertaken in accordance with:
(a) the International Standard on Related Services 4400 Engagements to perform Agreed-upon Procedures regarding Financial Information as promulgated by International Federation of Accountants (IFAC);
(b) IFAC Code of Ethics for Professional Accountants, developed and issued by IFAC's International Ethics Standards Board for Accountants.
For public officers, those procedures and standards shall be laid down at national level taking account of international standards.
The auditor shall meet at least one of the following requirements:
(a) be a member of a national accounting or auditing body or institution which in turn is member of IFAC;
(b) be a member of a national accounting or auditing body or institution. Where this organisation is not a member of IFAC, the auditor shall commit to undertake the work in accordance with IFAC standards and ethics;
(c) be registered as a statutory auditor in the public register of a public oversight body in a Member State in accordance with the principles of public oversight set out in Directive 2006/43/EC of the European Parliament and of the Council ( 3 );
(d) be registered as a statutory auditor in the public register of a public oversight body in a CBC partner country, provided this register is subject to principles of public oversight as set out in the legislation of the country concerned.
The public officer shall have the necessary technical expertise in carrying out its examination work
2. In addition the Managing Authority shall perform its own verifications pursuant to point (a) of Article 26(5) and Article 26(6). For the purpose of carrying out verifications throughout the whole programme area, the Managing Authority may be assisted by the control contact points.
The participating countries shall take all possible measures to support the Managing Authority in its control tasks.
3. The Audit Authority shall ensure that audits are carried out on the management and control systems, on an appropriate sample of projects and on the annual accounts of the programme as referred to in Article 28. The group of auditors mentioned in Article 28(2) shall be set up within three months of the designation of the Managing Authority. It shall draw up its own rules of procedures. It shall be chaired by the Audit Authority appointed for the programme.
Each participating country may authorise the Audit Authority to carry out directly its duties on its territory.
4. The independence of the body(ies) mentioned in paragraphs 1, 2 and 3 shall be guaranteed.
Article 33
Controls by the Union
1. The Commission, the European Anti-Fraud Office, the European Court of Auditors and any external auditor authorised by these institutions and bodies may verify the use of Union funds by the Managing Authority, beneficiaries, contractors, subcontractors and third parties in receipt of financial support by examining documents and/or conducting on-the-spot checks. Each contract shall expressly stipulate that these institutions and bodies can exercise their power of control, concerning premises, documents and information, irrespective of the medium in which they are stored.
2. The Commission shall satisfy itself that, on the basis of available information, including the designation decision, annual management declaration, annual control reports, annual audit opinion, annual report and audits carried out by national and Union bodies, the management and control systems comply with this Regulation and that these function effectively.
3. The Commission may ask the Managing Authority to take the necessary actions to ensure the effectiveness of the management and control systems and the correctness of expenditure.
TITLE VI
TECHNICAL ASSISTANCE
Article 34
Technical Assistance budget
1. A maximum of 10 % of the Union's total contribution may be allocated to technical assistance. In duly justified cases in agreement with the Commission a higher amount may be allocated.
2. The technical assistance level should reflect the real needs of the programme, in particular taking into account factors such as the total budget of the programme, the size of the geographical area covered by a programme and the number of participating countries.
Article 35
Purpose
1. Technical assistance activities include preparation, management, monitoring, evaluation, information, communication, networking, complaint resolution, control and audit activities related to the implementation of the programme and activities to reinforce the administrative capacity for implementing the programme.
2. Technical assistance for activities referred to in paragraph 1 should be used for the needs, of both programme structures and beneficiaries.
3. Expenditure for activities concerning promotion and capacity building incurred outside the programme area may be covered within the limit indicated in Article 39(2) and provided the conditions set out therein are fulfilled.
Article 36
Eligibility
1. Eligibility requirements set out in Article 48 apply mutatis mutandis to technical assistance costs. Costs concerning officials of the participating countries assigned to the programme may be considered eligible as technical assistance costs. Parallel remuneration systems and topping ups shall be avoided. Costs referred to in Article 49 shall not be considered eligible as technical assistance costs.
2. Costs for preparatory actions referred to in Article 16 shall be eligible upon submission of the programme to the Commission pursuant to Article 4, but not earlier than 1 January 2014 provided the programme is approved by the Commission pursuant to Article 5.
Article 37
Procurement rules
1. If the implementation of the annual plan for the use of the technical assistance budget requires procurement, the contract must be awarded according to the following rules:
(a) where it is an entity established in a Member State it shall either apply national laws, regulations and administrative provisions adopted in connection with Union legislation applicable to public procurement or procurement rules set out in Title IV of Part Two of Regulation (EU, Euratom) No 966/2012 and Title II of Part Two of Delegated Regulation (EU) No 1268/2012;
(b) in all other cases, the relevant procurement rules shall be described in the financing agreement referred to in Articles 8 and 9 or in the agreements referred to in Articles 81 and 82.
2. In all cases, the rules on nationality and origin set out in Articles 8 and 9 of Regulation (EU) No 236/2014 shall apply.
3. Procurement by branch offices shall be limited to ordinary running costs and costs for communication and visibility activities.
TITLE VII
PROJECTS
CHAPTER 1
General Provisions
Article 38
Nature of support
1. A project is a series of activities defined and managed in relation to the objectives, outputs, results and impacts which it aims at achieving within a defined time-period and budget. The objectives, outputs, results and impacts shall contribute to the priorities identified in the programme.
2. Financial contributions by a programme to projects shall be provided through grants and exceptionally through transfers to financial instruments. Projects financed through grants shall be subject to Chapters 2 to 4.
3. Grants shall be awarded to projects selected through calls for proposals in conformity with the rules set out in the programme, except in the duly substantiated exceptional cases of Article 41.
4. The share of the Union contribution allocated to large infrastructure projects and contributions to financial instruments referred to in Article 42 may not exceed 30 %.
Article 39
Conditions for financing
1. Projects may receive financial contribution from a programme provided they meet all the following conditions:
(a) they deliver a clear cross-border cooperation impact and benefits as described in the programming document and demonstrate added value to Union strategies and programmes;
(b) they are implemented in the programme area;
(c) they fall within one of the following categories:
(i) integrated projects where each beneficiary implements a part of the activities of the project on its own territory;
(ii) symmetrical projects where similar activities are implemented in parallel in the participating countries;
(iii)
single-country projects where projects are implemented mainly or entirely in one of the participating countries but for the benefit of all or some of the participating countries and where cross-border impacts and benefits are identified.
2. Projects meeting the criteria of paragraph 1 may be partially implemented outside the programme area, provided that all the following conditions are met:
(a) the projects are necessary for achieving the programme's objectives and they benefit the programme area;
(b) the total amount allocated under the programme to activities outside the programme area does not exceed 20 % of the Union contribution at programme level;
(c) the obligations of the Managing and Audit authorities in relation to management, control and audit concerning the project are fulfilled either by the programme authorities or through agreements concluded with authorities in the countries where the activity is implemented.
3. Any project including an infrastructure component shall repay the Union contribution if, within five years of the project closure or within the period of time set out in state aid rules, where applicable, it is subject to a substantial change affecting its nature, objectives or implementation conditions which would result in undermining its original objectives. Sums unduly paid in respect of the project shall be recovered by the Managing Authority in proportion to the period for which the requirement has not been fulfilled.
4. The Managing Authority shall seek to prevent duplication of activities among projects funded by the Union. For this purpose, the Managing Authority may conduct any consultation it deems appropriate and the consulted entities, including the Commission, shall provide the necessary support.
5. The Managing Authority shall provide the lead beneficiary for each selected project with a document setting out the conditions to support the project, including the specific requirements concerning the products or services to be delivered by the project, the financial plan and the time-frame for execution.
Article 40
Calls for proposals
For each call for proposals the Managing Authority shall provide applicants with a document setting out the conditions for the participation in the call, selection and implementation of the project. This document shall also include the specific requirements concerning the deliverables under the project, the financial plan, and the time-limit for execution.
Article 41
Direct award
1. Projects may be awarded without a call for proposals only in the following cases and provided this is duly substantiated in the award decision:
(a) the body to which a project is awarded enjoys a de jure or de facto monopoly;
(b) the project relates to actions with specific characteristics that require a particular type of body based on its technical competence, high degree of specialisation or administrative power;
(c) the project is implemented in order to foster crisis response capacities in the context of the COVID-19 pandemic.
2. A final list of large infrastructure projects proposed for selection without a call for proposals shall be included in the programme. After adoption of the programme, but not later than 31 December 2017, the Managing Authority shall provide the Commission with the full project applications including the information referred to in Article 43 together with the justification for a direct award.
3. An indicative list of projects other than large infrastructure projects proposed for selection without a call for proposals shall be included in the programme. The Joint Monitoring Committee may decide to select additional projects without a call for proposal any time after the adoption of the programme. In both cases, the Commission's prior approval shall be sought. For this purpose, the Managing Authority shall provide the Commission with the information referred to in Article 43 together with the justification for a direct award.
4. The projects proposed for selection without a call for proposals shall be approved by the Commission based on a two-step procedure, consisting in the submission of a project summary followed by a full project application. For each step, the Commission shall notify its decision to the Managing Authority within two months of the document submission date. This deadline may be extended where necessary. Where the Commission rejects a proposed project, it shall notify the Managing Authority of its reasons.
4a. By way of derogation to the procedure set out in paragraph 4, projects proposed for selection without a call for proposals under point (c) of paragraph 1 shall be assessed by the Commission on the basis of a project summary. The Commission shall notify its assessment to the managing authority within two months of the document submission date. This deadline may be extended where necessary. In case of a negative assessment the Commission shall notify the managing authority of its reasons.
Article 42
Contributions to financial instruments
1. The programme may contribute to a financial instrument provided the latter complies with the programme's priorities.
2. A final list of contributions to financial instruments shall be described in the programme. After adoption of the programme, but not later than 31 December 2017, the Managing Authority shall provide the Commission with the information referred to in Article 43.
3. The Commission shall examine the proposed contribution in order to determine its added value and its consistency with the programme.
4. The approval process shall follow the rules of these financial instruments. Where the Commission rejects a proposed contribution, it shall notify the Managing Authority of its reasons.
5. Contributions to these financial instruments shall be subject to the rules applicable to these financial instruments.
Article 43
Content of projects
1. Project application documents shall contain at least:
(a) an analysis of the problems and needs justifying the project, taking into account the programme strategy and its expected contribution to address the corresponding priority;
(b) an assessment of its cross-border impact;
(c) the logical framework;
(d) an assessment of the sustainability of the project's expected results after project's completion;
(e) objectively verifiable indicators;
(f) information on the geographic coverage and target groups of the project;
(g) the expected project implementation period and detailed work plan;
(h) an analysis of the effects of the project on the cross-cutting issues referred to in point 3(d) of Article 4 where relevant;
(i) the project implementation requirements, including the following:
(i) identification of the beneficiaries and designation of the lead beneficiary, providing guarantees of its competence in the domain concerned as well as its administrative and financial management capacity;
(ii) description of the project management and implementation structure;
(iii)
arrangements among beneficiaries in line with Article 46;
(iv) monitoring and evaluation arrangements;
(v) information and communication plans, in particular, measures to acknowledge the Union support to the project;
(j) detailed financial plan and budget.
2. Project applications for projects including an infrastructure component of at least EUR 1 million shall in addition contain:
(a) a detailed description of the infrastructure investment and its location;
(b) a detailed description of the capacity building component of the project, except in duly justified cases;
(c) a full feasibility study or equivalent carried out, including the options analysis, the results, and independent quality review;
(d) an assessment of its environmental impact in compliance with the Directive 2011/92/EU of the European Parliament and of the Council ( 4 ) and, for the participating countries which are parties to it, UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context of 25 February 1991;
(e) evidence of ownership by the beneficiaries or access to the land;
(f) building permit.
3. Exceptionally and in duly justified cases, the Managing Authority may accept a later submission of the documents referred to in point (f).
Article 44
Publication of list of projects
1. In order to ensure transparency concerning the projects supported by the programme, the Managing Authority shall maintain a list of awarded projects in a spread-sheet data format, allowing the data to be sorted, searched, extracted, compared and easily published on internet. The list of projects shall be accessible on the website of the programme and updated at least every six months. In order to encourage the re-use of the list of projects by the private sector, the civil society or national public administration, the website may include a clear reference to the applicable licensing rules under which the data are published.
2. The list shall contain the following information at least:
— beneficiary name (only legal entities; no natural persons shall be named),
— project name,
— project summary,
— project implementation period,
— total eligible expenditure,
— Union co-financing rate,
— project postcode; or other appropriate location indicator,
— geographical coverage,
— date of last update of the list of projects.
3. The list of projects shall be provided to the Commission not later than 30 June of the year following the financial year in which the projects were selected. This information shall be published on an internet site of the Union institutions.
CHAPTER 2
Beneficiaries
Article 45
Participation in projects
1. Projects shall involve beneficiaries from at least one of the participating Member States and one of the participating partner countries listed in Annex I to Regulation (EU) No 232/2014 or the Russian Federation.
2. Beneficiaries are natural or legal persons to whom a grant has been awarded for a project. Natural persons may be beneficiaries, if required by the nature or characteristics of the action or the objective pursued by the applicant. Participation of natural persons shall be decided at programme level.
3. Beneficiaries referred to in paragraph 1 must meet all the following conditions:
(a) nationals of any of the participating countries, or legal persons who are effectively established in the programme area or international organisations with a base of operations in the programme area. A European grouping of territorial cooperation may be a beneficiary, regardless of its place of establishment, provided its geographic coverage is within the programme area;
(b) comply with the eligibility criteria defined for each selection procedure;
(c) not fall under any of the exclusion situations set out in Article 106(1) and Article 107 of Regulation (EU, Euratom) No 966/2012.
4. Beneficiaries that do not meet the criteria referred to in point (a) of paragraph 3 may participate in addition to beneficiaries referred to in paragraph 1, provided that all the following conditions are met:
(a) they may participate in accordance with Articles 8 and 9 of Regulation (EU) No 236/2014;
(b) their participation is required by the nature and by the objectives of the project and as necessary for its effective implementation;
(c) the total amount allocated under the programme to beneficiaries that do not meet the criteria referred to in point (a) of paragraph 3 is within the limit indicated in point (b) of Article 39(2).
Article 46
Beneficiaries' obligations
1. Each project shall designate one lead beneficiary for representing the partnership.
2. All beneficiaries shall actively cooperate in the development and implementation of projects. In addition, they shall cooperate in the staffing and/or financing of projects. Each beneficiary shall be legally and financially responsible for the activities that it is implementing and for the share of the Union funds that it receives. The specific obligations as well as the financial responsibilities of the beneficiaries shall be laid down in the agreement referred to in point (c) of paragraph 3
3. The lead beneficiary shall:
(a) receive the financial contribution from the Managing Authority for the implementation of project activities;
(b) ensure that the beneficiaries receive the total amount of the grant as quickly as possible and in full in accordance with the arrangements referred to in (c). No amount shall be deducted or withheld and no specific charge with equivalent effect shall be levied that would reduce these amounts for the beneficiaries;
(c) lay down the partnership arrangements with the beneficiaries in an agreement comprising, provisions that, inter alia, guarantee the sound financial management of the funds allocated to the project including the arrangements for recovery of funds unduly paid;
(d) assume responsibility for ensuring implementation of the entire project;
(e) ensure that the expenditure presented by the beneficiaries has been incurred for the purpose of implementing the project and corresponds to activities set in the contract and agreed between all beneficiaries;
(f) verify that the expenditure presented by the beneficiaries has been examined pursuant Article 32(1).
CHAPTER 3
Eligibility of expenditure
Article 47
Forms of grants
1. Grants may take any of the following forms:
(a) reimbursement of a specified proportion of the eligible costs referred to in Article 48 actually incurred;
(b) flat-rate financing, determined by the application of a percentage to one or several defined categories of costs;
(c) lump sums;
(d) reimbursement on the basis of unit costs;
(e) a combination of the forms referred to in points (a) to (d), only where each covers different categories of costs.
2. Grants in the form referred to in point (a) of paragraph 1 shall be calculated on the basis of the eligible costs actually incurred by the beneficiary, subject to a preliminary budget estimate as submitted with the proposal and included in the contract. Flat-rate financing as referred to in point (b) of paragraph 1 shall cover specific categories of eligible costs which are clearly identified in advance by applying a percentage. Lump sums as referred to in point (c) of paragraph 1 shall in global terms cover all or certain specific categories of eligible costs which are clearly identified in advance. Unit costs as referred to in point (d) of paragraph 1 shall cover all or certain specific categories of eligible costs which are clearly identified in advance by reference to an amount per unit.
3. Grants shall not have the purpose or effect of producing a profit within the framework of the project. The exceptions set out in Article 125(4) of Regulation (EU, Euratom) No 966/2012 shall apply.
Article 48
Eligibility of costs
1. Grants shall not exceed an overall ceiling expressed as a percentage and an absolute value which is to be established on the basis of estimated eligible costs. Grants shall not exceed the eligible costs.
2. Eligible costs are costs actually incurred by the beneficiary which meet all of the following criteria:
(a) they are incurred during the implementation period of the project. In particular:
(i) costs relating to services and works shall relate to activities performed during the implementation period. Costs relating to supplies shall relate to delivery and installation of items during the implementation period. Signature of a contract, placing of an order, or entering into any commitment for expenditure within the implementation period for future delivery of services, works or supplies after expiry of the implementation period do not meet this requirement; cash transfers between the lead beneficiary and the other beneficiaries may not be considered as costs incurred;
(ii) costs incurred should be paid before the submission of the final project reports. They may be paid afterwards, provided they are listed in the final report together with the estimated date of payment;
(iii)
an exception is made for costs relating to final project reports, including expenditure verification, audit and final evaluation of the project, which may be incurred after the implementation period of the project;
(iv) procedures to award contracts, as referred to in Article 52 and following, may have been initiated and contracts may be concluded by the beneficiary(ies) before the start of the implementation period of the project, provided the provisions of Article 52 and following have been respected;
(b) they are indicated in the project's estimated overall budget;
(c) they are necessary for the project implementation;
(d) they are identifiable and verifiable, in particular being recorded in the accounting records of the beneficiary and determined according to the accounting standards and the usual cost accounting practices applicable to the beneficiary;
(e) they comply with the requirements of applicable tax and social legislation;
(f) they are reasonable, justified, and comply with the requirements of sound financial management, in particular regarding economy and efficiency;
(g) they are supported by invoices or documents of equivalent probative value;
2a. Notwithstanding Article 19(1), expenditure shall not be eligible for the Union contribution, where it is paid after 31 December 2023.
3. A grant may be awarded retroactively in the following cases:
(a) where the applicant can demonstrate the need to start the project before the contract is signed. Costs eligible for financing shall however not have been incurred prior to the date of the submission of the grant application; or
(b) for costs related to studies and documentation for projects including an infrastructure component.
No grant may be awarded retroactively for projects already completed.
3a. By way of derogation from paragraph 3, costs of projects fostering crisis response capacities in the context of the COVID-19 pandemic shall be eligible as of 1 February 2020.
4. To allow the preparation of strong partnerships, costs incurred before submission of the grant application by projects to which a grant has been awarded are eligible provided that the following conditions are also met:
(a) they are incurred after the publication of the call for proposals;
(b) they are limited to travel and subsistence costs of staff employed by the beneficiaries, provided they meet the conditions of point (b) of paragraph 5;
(c) they do not exceed the maximum amount fixed at programme level.
5. Subject to paragraphs 1 and 2, the following direct costs of the beneficiary shall be eligible:
(a) the costs of staff assigned to the project under the following cumulative conditions:
— they relate to the costs of activities which the beneficiary would not carry out if the project was not undertaken,
— they must not exceed those normally borne by the beneficiary unless it is demonstrated that this is essential to carry out the project,
— they relate to actual gross salaries including social security charges and other remuneration-related costs;
(b) travel and subsistence costs of staff and other persons taking part in the project, provided they exceed neither the costs normally paid by the beneficiary according to its rules and regulations nor the rates published by the Commission at the time of the mission if reimbursed on the basis of lump sums, unit costs or flat rate financing;
(c) purchase or rental costs for equipment (new or used) and supplies specifically for the purpose of the project, provided they correspond to market prices;
(d) the cost of consumables specifically purchased for the project;
(e) costs entailed by contracts awarded by the beneficiaries for the purposes of the project;
(f) costs deriving directly from requirements imposed by this Regulation and the project (such as information and visibility operations, evaluations, external audits, translations) including financial service costs (such as costs of bank transfers and financial guarantees).
6. Pursuant to Article 4 a programme may establish additional eligibility rules for the programme as a whole.
Article 49
Non-eligible costs
1. The following costs relating to the implementation of the project shall not be considered eligible:
(a) debts and debt service charges (interest);
(b) provisions for losses or liabilities;
(c) costs declared by the beneficiary and already financed by the Union budget;
(d) purchases of land or buildings for an amount exceeding 10 % of the eligible expenditure of the project concerned;
(e) exchange-rate losses;
(f) duties, taxes and charges, including VAT, except where non-recoverable under the relevant national tax legislation, unless otherwise provided in appropriate provisions negotiated with CBC partner countries;
(g) loans to third parties;
(h) fines, financial penalties and expenses of litigation;
(i) contributions in kind as defined in Article 14(1).
2. Pursuant to Article 4 a programme may declare other categories of costs as ineligible.
Article 50
Lump sums, unit costs and flat-rate financing
1. The total amount of financing on the basis of lump sums, unit costs and flat rate financing may not exceed EUR 60 000 per beneficiary and per project, unless the programme establishes otherwise according to Article 4, but not exceeding EUR 100 000 .
2. The use of lump sums, unit-costs and flat-rate financing shall at least be supported by the following:
(a) justification concerning the appropriateness of such forms of financing with regard to the nature of the projects as well as to the risks of irregularities and fraud and costs of control;
(b) identification of the costs or categories of costs covered by lump sums, unit costs or flat-rate financing, which shall exclude ineligible costs as referred to in Article 49.
(c) description of the methods for determining lump sums, unit costs or flat-rate financing, and of the conditions for reasonably ensuring that the no-profit rule and co-financing principles are complied with and that double financing is avoided. These methods shall be based on:
(i) statistical data or similar objective means; or
(ii) a beneficiary-by-beneficiary approach, by reference to certified or auditable historical data of the beneficiary or to its usual cost accounting practices.
3. Once the amounts have been assessed and approved by the Managing Authority, they will not be challenged by ex post controls.
Article 51
Indirect costs
1. Indirect costs may be calculated on a flat-rate of up to 7 % of eligible direct costs, excluding costs incurred in relation to the provision of infrastructure, provided that the rate is calculated on the basis of a fair, equitable and verifiable calculation method.
2. As indirect costs for a project shall be considered those eligible costs which may not be identified as specific costs directly linked to the implementation of the project and may not be booked to it directly according to the conditions of eligibility as defined in Article 48. They may not include ineligible costs as referred to in Article 49 or costs already declared under another cost item or heading of the budget of the project.
CHAPTER 4
Section 1
Procurement
Article 52
Applicable rules
1. If the implementation of a project requires procurement of goods, works or services by a beneficiary, the following rules shall apply:
(a) where the beneficiary is a contracting authority or a contracting entity within the meaning of the Union legislation applicable to procurement procedures, it may apply national laws, regulations and administrative provisions adopted in connection with Union legislation or rules of paragraph 2;
(b) where the beneficiary is an international organisation, it may apply its own procurement rules if they offer guarantees equivalent to internationally accepted standards;
(c) where the beneficiary is a public authority of a CBC partner country whose co-financing is transferred to the Managing Authority, it may apply national laws, regulations and administrative provisions, provided that the financing agreement allows it and the general principles set out in point (a) of paragraph 2 are respected.
2. In all other cases the following obligations shall be complied with:
(a) the contract is awarded to the tender offering best value for money, or as appropriate, to the tender offering the lowest price, while avoiding any conflict of interests;
(b) for contracts with a value of more than EUR 60 000 , the following rules shall also apply:
(i) an evaluation committee shall be set up to evaluate applications and/or tenders on the basis of the exclusion, selection and award criteria published by the beneficiary in advance in the tender documents. The committee must have an odd number of members with all the technical and administrative capacities necessary to give an informed opinion on the tenders/applications;
(ii) sufficient transparency, fair competition and adequate ex-ante publicity must be ensured;
(iii)
equal treatment, proportionality and non-discrimination shall be ensured;
(iv) tender documents must be drafted according to best international practice;
(v) deadlines for submitting applications or tenders must be long enough to give interested parties a reasonable period to prepare their tenders;
(vi) candidates or tenderers shall be excluded from participating in a procurement procedure if they fall within one of the situations described in Article 106(1) of Regulation (EU, Euratom) No 966/2012. Candidates or tenderers must certify that they are not in one of these situations. In addition, contracts may not be awarded to candidates or tenderers which, during the procurement procedure fall within one of the situations referred to in Article 107 of Regulation (EU, Euratom) No 966/2012;
(vii)
procurement procedures set out in Articles 53 to 56 shall be followed.
3. In all cases, the rules of nationality and origin set forth in Articles 8 and 9 of Regulation (EU) No 236/2014 shall apply.
Article 53
Procurement procedures for service contracts
1. Service contracts with a value of EUR 300 000 or more shall be awarded by means of an international restricted tender procedure following publication of a procurement notice. The procurement notice shall be published in all appropriate media beyond the programme area, stating the number of candidates which will be invited to submit tenders within a range of four to eight candidates and ensuring genuine competition.
2. Service contracts with a value of more than EUR 60 000 but less than EUR 300 000 shall be awarded by means of a competitive negotiated procedure without publication. The beneficiary shall consult at least three service providers of its choice and negotiate the terms of the contract with one or more of them.
Article 54
Procurement procedures for supply contracts
1. Supply contracts with a value of EUR 300 000 or more shall be awarded by means of an international open tender procedure following publication of a procurement notice, which shall be published in all appropriate media beyond the programme area.
2. Supply contracts with a value of EUR 100 000 or more but less than EUR 300 000 shall be awarded by means of an open tender procedure published in the programme area. Any eligible tenderer must be provided with the same opportunities as local firms.
3. Supply contracts with a value of more than EUR 60 000 but less than EUR 100 000 shall be awarded by means of a competitive negotiated procedure without publication. The beneficiary shall consult at least three suppliers of its choice and negotiate the terms of the contract with one or more of them.
Article 55
Procurement procedures for works contracts
1. Works contracts with a value of EUR 5 000 000 or more shall be awarded by means of an international open tender procedure, or in view of the specific characteristics of certain works by means of a restricted tender procedure, following publication of a procurement notice which shall be published in all appropriate media beyond the programme area.
2. Work contracts with a value of EUR 300 000 or more but less than EUR 5 000 000 shall be awarded by means of an open tender procedure published in the programme area. Any eligible tenderer must be provided with the same opportunities as local firms.
3. Work contracts with a value of more than EUR 60 000 but less than EUR 300 000 shall be awarded by means of a competitive negotiated procedure without publication. The beneficiary shall consult at least three contractors of its choice and shall negotiate the terms of the contract with one or more of them.
Article 56
Use of Negotiated Procedure
The beneficiary may decide to use negotiated procedure on the basis of a single tender in the cases referred to in Articles 266, 268, 270 of Delegated Regulation (EU) No 1268/2012.
Section 2
Financial support to third parties
Article 57
Financial support to third parties
1. If the project requires the award of financial support to third parties, it may be given on condition that:
(a) each third party offers adequate guarantees as regards the recovery of amounts;
(b) principles of proportionality, transparency, sound financial management, equal treatment and non-discrimination are complied with;
(c) conflicts of interests are prevented;
(d) financial support may not be cumulative or awarded retrospectively, it shall, in principle, involve co-financing and it may not have the purpose or the effect of producing a profit for each third party;
(e) conditions for giving financial support are strictly defined in the contract to avoid the exercise of discretion by the beneficiary. In particular, the contract shall specify the categories of persons which are eligible for the support, the award criteria (including the criteria for determining the exact amount) and a fixed list of the different types of activity that may receive such financial support;
(f) the maximum amount of financial support that can be paid does not exceed EUR 60 000 per third party, except where the financial support is the primary aim of the project.
2. Rules on nationality and origin set out in Articles 8 and 9 Regulation (EU) No 236/2014 shall apply. Where a sub-grant exceeds EUR 60 000 the rules of participation laid down in point (b)(vi) of Article 52 shall apply mutatis mutandis .
TITLE VIII
PAYMENTS, PRESENTATION AND ACCEPTANCE OF ACCOUNTS, FINANCIAL CORRECTIONS AND RECOVERIES
CHAPTER 1
Payments
Article 58
Annual commitments
1. Under shared management, the Commission shall make the initial commitments after adoption of the programme by the Commission pursuant to Article 5.
2. Under indirect management, the Commission shall make the initial commitments after the adoption of the programme, after the entry into force of the agreement delegating budget execution tasks to an international organisation or to a CBC partner country referred to in Articles 81 and 82.
3. Subsequently the Commission shall make the corresponding commitment each financial year no later than 1 May. The amount of the annual commitments shall be determined in accordance with the financial plan taking into account the programme's progress and the availability of funds. The Commission shall inform the Managing Authority when the annual commitment is made.
Article 59
Common rules for payments
1. Payments to managing authorities may take the form of prefinancing or payment of the final balance.
2. A bank account in euro, specifically dedicated to the programme shall be opened. When payments by the Commission are channelled through another bank account than the programme's, the related amounts and any accrued interest shall be transferred to the programme bank account without delay and in full.
3. No amount shall be deducted or withheld and no specific charge or other charge with equivalent effect shall be levied on these amounts or on any accrued interest.
Article 60
Common rules for calculating prefinancing
1. Each financial year, once the Managing Authority has been notified of the annual commitment, it may request as prefinancing the transfer of up to 80 % of the Union contribution for the financial year in question. From the second financial year, requests for prefinancing shall be accompanied by the provisional budget detailing the Managing Authority's commitments and payments for the two accounting years following the latest audit opinion referred to in Article 68. After reviewing that provisional budget, assessing actual financing needs of the programme and verifying the availability of funds, the Commission shall proceed with the payment of all or part of the requested prefinancing no later than 60 days after the date on which the payment request is registered with the Commission.
2. In the course of the financial year, the Managing Authority may ask for the transfer of all or part of the funds already committed, as additional prefinancing. In support of its request, the Managing Authority shall submit an interim financial report showing that the expenditure actually incurred or likely to be incurred before the end of the financial year exceeds the amount of prefinancing already paid. Such subsequent transfers shall constitute additional prefinancing provided they are not supported by an audit opinion referred to in Article 68.
3. Each financial year of the programme's implementation, the Commission shall clear previous prefinancing payments on the basis of eligible expenditure actually incurred, supported by the audit opinion referred to in Article 68 following the acceptance of accounts as described in Article 69(2). On the basis of the results of this clearance, the Commission may proceed with the necessary financial adjustments.
Article 61
Interruption of the payment deadline
1. The authorising officer by delegation within the meaning of Regulation (EU, Euratom) No 966/2012 may interrupt payment deadline for a payment request for a maximum period of six months in any of the following circumstances:
(a) following information provided by a national or Union audit body, there is a clear evidence to suggest a significant deficiency in the functioning of the management and control system;
(b) the authorising officer by delegation has to carry out additional verifications following information coming to his attention alerting him that expenditure is linked to an irregularity having serious financial consequences;
(c) there is a failure to submit one of the documents required under Article 77;
(d) there is a failure to submit one of the documents required under Articles 60 and 64.
The Managing Authority may agree to an extension of the interruption period for another three months.
2. The authorising officer by delegation shall limit the interruption to the part of the expenditure covered by the payment request affected by the elements referred to in the first subparagraph of paragraph 1, unless it is not possible to identify the part of the expenditure affected. The authorising officer by delegation shall inform the Member State hosting the Managing Authority and the Managing Authority immediately of the reasons for interruption and shall ask them to remedy the situation. The interruption shall be ended by the authorising officer by delegation as soon as the necessary measures have been taken. This interruption may be extended beyond six months if the necessary measures have not been taken.
Article 62
Suspension of payments
1. The Commission may suspend all or part of the payments in any of the following circumstances:
(a) there is a serious deficiency in the effective functioning of the management and control systems of the programme which has put the Union contribution at risk and for which corrective measures have not been taken;
(b) there is a serious breach by participating countries of their obligations under Article 31;
(c) expenditure is linked to an irregularity which has not been corrected having serious financial consequences;
(d) there is a serious deficiency in the quality and reliability of the evaluation and monitoring system;
(e) there is evidence resulting from monitoring, evaluation or audit that the programme does not deliver in accordance with the time-frames indicated in Article 4 and as reported in accordance with Article 77.
2. The Commission may decide to suspend all or part of prefinancing payments after having given the Managing Authority the opportunity to present its observations.
3. The Commission shall end suspension of all or part of payments where the Managing Authority has taken the necessary measures to enable the suspension to be lifted.
Article 63
Payment to lead beneficiaries
1. Payments to lead beneficiaries can take one of the following forms:
(a) prefinancing;
(b) interim payment;
(c) payment of the final balance.
2. The Managing Authority shall ensure that payments to lead beneficiaries are processed as quickly as possible according to the signed contract. No amount shall be deducted or withheld, unless supported by the signed contract and no specific charge or other charge with equivalent effect shall be levied reducing these payments.
Article 64
Payment of the final balance
1. The managing authority shall submit the payment request of the final balance accompanied by the documents referred to in Article 68 and Article 77(5).
2. The final balance shall be paid no later than three months after the date of clearance of accounts of the final accounting year or one month after the date of acceptance of the final implementation report, whichever date is later.
3. Payment of the final balance for the programme in the final accounting year may exceed up to 10 % of the Union contribution for each thematic objective as laid down in the Commission implementing decision approving the programme.
The Union contribution through payment of the final balance in the final accounting year shall not exceed the total Union contribution to each programme as laid down in the Commission implementing decision approving the programme.
Article 65
Exception to the de-commitment
1. The amount concerned by de-commitment shall be reduced by the amounts that the Managing Authority has not been able to declare to the Commission because of:
(a) projects suspended by a legal proceeding or by an administrative appeal having suspensory effect; or
(b) reasons of force majeure seriously affecting the implementation of all or part of the programme;
(c) application of Articles 61 or 62;
2. The Managing Authority claiming force majeure under point (b) of paragraph 1 shall demonstrate the direct consequences of the force majeure on the implementation of all or part of the programme. For the purpose of points (a) and (b) of paragraph 1 the reduction may be requested once, if the suspension or force majeure has lasted no longer than one year, or a number of times that corresponds to the duration of the force majeure or the number of years between the date of the legal or administrative decision suspending the implementation of the project and the date of the final legal or administrative decision.
3. By 15 February, the Managing Authority shall send to the Commission information on the exceptions referred to in paragraph 1 for the amount to be declared by 31 December of preceding financial year.
Article 66
De-commitment procedure
1. The Commission shall timely inform the Managing Authority whenever there is a risk of de-commitment pursuant to Article 6 of Regulation (EU) No 236/2014.
2. On the basis of information received as of 15 February, the Commission shall inform the Managing Authority of the amount of the de-commitment resulting from that information.
3. The Managing Authority shall have two months to agree to the amount to be de-committed or to submit its observations.
4. By 30 June, the Managing Authority shall submit a revised financial plan to the Commission reflecting the impact of the reduced amount of support on the thematic objectives or technical assistance of the programme for the financial year concerned. Failing such a submission, the Commission shall revise the financial plan by reducing the Union contribution for the financial year concerned. The reduction shall affect the thematic objectives and technical assistance proportionately.
5. The Commission shall amend the decision adopting the programme.
Article 67
Use of the euro
1. Expenditure incurred in a currency other than the euro shall be converted into euro by the Managing Authority and by the beneficiary using the monthly accounting exchange rate of the Commission of one of the following:
(a) the month during which the expenditure was incurred;
(b) the month during which the expenditure was submitted for examination in accordance with Article 32(1);
(c) the month during which the expenditure was reported to the lead beneficiary.
2. The method chosen shall be set out in the programme and shall apply throughout the programme duration. Different methods may be applied to technical assistance and to projects.
CHAPTER 2
Presentation and acceptance of accounts
Article 68
Presentation of accounts
1. The accounts of the programme shall be drawn up by the Managing Authority. These accounts shall be independent and separate and shall include only transactions relating to the programme. They shall be kept in such a way as to enable analytical monitoring of the programme by priority and technical assistance.
2. In its annual report, the Managing Authority shall, by 15 February, provide the Commission with the following financial information:
(a) the accounts for the preceding accounting year;
(b) a management declaration signed by the representative of the Managing Authority confirming that:
(i) the information is properly presented, complete and accurate;
(ii) the expenditure was used for its intended purpose;
(iii)
the control systems put in place give the necessary guarantees concerning the legality of the underlying transactions.
(c) an annual summary of the controls carried out by the Managing Authority, including an analysis of the nature and extent of errors and weaknesses identified in systems, as well as corrective action taken or planned;
(d) an audit opinion on the annual accounts;
(e) an annual audit report drawn up by the Audit Authority providing a summary of audits carried out, including an analysis of the nature and extent of errors and weaknesses identified, both at system level and for projects, as well as the corrective actions taken or planned;
(f) an estimate of costs incurred from 1 July to 31 December of the preceding year;
(g) the list of projects closed during the accounting year.
3. The accounts referred to in point (a) of paragraph 2 shall be submitted for each programme and shall include at the level of each priority and technical assistance:
(a) the expenditure incurred and paid and the revenue earned and received by the Managing Authority;
(b) the amounts waived and recovered during the accounting year, the amounts to be recovered by the end of the accounting year and the unrecoverable amounts.
4. The audit opinion referred to in point (d) of paragraph 2 shall establish whether the accounts give a true and fair view, the related transactions are legal and regular and the control systems properly put in place function. The opinion shall also state whether the audit work puts in doubt the assertions made in the management declaration referred to in point (b) of paragraph 2.
Article 69
Acceptance of accounts
1. The Commission shall examine the accounts and inform the Managing Authority by 31 May of the year following the end of the accounting year whether it accepts that the accounts are complete, accurate and true.
2. On the basis of eligible expenditure incurred, as certified by the audit opinion referred to in point (d) of Article 68(2), the Commission shall clear the prefinancing.
3. Acceptance of the accounts shall be without prejudice to any subsequent financial corrections in accordance with Article 72.
Article 70
Period for record-keeping
1. The Managing Authority and the beneficiaries shall keep all documents related to the programme or a project for five years from the date of payment of the balance for the programme. In particular they shall keep reports, supporting documents, as well as accounts, accounting documents and any other document relating to the financing of the programme (including all documents relating to the contract award) and projects.
2. Notwithstanding paragraph 1, records pertaining to audits, appeals, litigation or pursuit of claims arising from the programme or project performance shall be retained until such audits, appeals, litigation or claims have been completed.
CHAPTER 3
Financial corrections and Recoveries
Section 1
Financial Corrections
Article 71
Financial corrections by the Managing Authority
1. The Managing Authority shall in the first instance be responsible for preventing and investigating irregularities and for making the financial corrections required and pursuing recoveries. In the case of a systemic irregularity, the Managing Authority shall extend its investigation to cover all operations potentially affected.
The Managing Authority shall make the financial corrections required in connection with individual or systemic irregularities detected in projects, technical assistance or in the programme. Financial corrections shall consist of cancelling all or part of the Union contribution to a project or to technical assistance. The Managing Authority shall take into account the nature and gravity of the irregularities and the financial loss and shall apply a proportionate financial correction. Financial corrections shall be recorded in the annual accounts by the Managing Authority for the accounting year in which the cancellation is decided.
2. The Union contribution cancelled in accordance with paragraph 1 may be reused within the concerned programme, subject to paragraph 3.
3. The contribution cancelled in accordance with paragraph 1 may not be reused for the project that was the subject of a financial correction or, where a financial correction is made for a systemic irregularity and for any project affected by the systemic irregularity.
Article 72
Financial corrections by the Commission
1. The Commission shall make financial corrections by cancelling all or part of the Union contribution to a programme and effecting recovery from the Managing Authority in order to exclude from Union financing expenditure which is in breach of applicable law or related to deficiencies in the programme management and control systems which have been detected by the Commission or the European Court of Auditors.
2. A breach of applicable law shall lead to a financial correction only in relation to expenditure which has been declared to the Commission and where one of the following conditions is met:
(a) the breach has affected the selection of a project or a technical assistance contract or in cases where, due to the nature of the breach, it is not possible to establish that impact but there is a substantiated risk that the breach has had such an effect;
(b) the breach has affected the amount of expenditure declared by the programme or in cases where, due to the nature of the breach, it is not possible to quantify its financial impact but there is a substantiated risk that the breach has had such an effect.
3. In particular the Commission shall make financial corrections where, after carrying out the necessary examination, it draws any of the following conclusions:
(a) there is a serious deficiency in the programme management and control systems of the programme which has put at risk the Union contribution already paid;
(b) the Managing Authority has not complied with its obligations under Article 71 prior to the opening of the financial correction procedure under this paragraph;
(c) the expenditure declared in the annual or final report is irregular and has not been corrected by the Managing Authority prior to the opening of the financial correction procedure under this paragraph.
The Commission shall base its financial corrections on individual cases of irregularity identified and shall take account of whether an irregularity is systemic. When it is not possible to quantify precisely the amount of irregular expenditure, the Commission shall apply a flat rate or extrapolated financial correction.
4. The Commission shall, when deciding the amount of a financial correction under paragraph 3, respect the principle of proportionality taking into account the nature and gravity of the irregularity and the extent and financial implications of the deficiencies in management and control systems found in the programme.
5. Where the Commission bases its position on reports of auditors other than those of its own services, it shall draw its own conclusions regarding the financial consequences after having heard the Managing Authority and the auditors.
6. The closure of the programme shall not prejudice the Commission's right to undertake, at a later stage, financial corrections vis-à-vis the Managing Authority.
7. The criteria for establishing the level of financial correction to be applied and the criteria for applying flat rates or extrapolated financial correction are those adopted in accordance with Regulation (EU) No 1303/2013 ( 5 ), in particular Article 144, as well as those contained in the Commission Decision of 19 December 2013 ( 6 ).
Article 73
Procedure
1. Before taking a decision on a financial correction, the Commission shall inform the Managing Authority of the provisional conclusions of its examination and request the Managing Authority to submit its comments within two months.
2. Where the Commission proposes a financial correction on the basis of extrapolation or a flat rate, the Managing Authority shall be given the opportunity to demonstrate through an examination of the documentation concerned that the actual extent of irregularity is less than the Commission's assessment. In agreement with the Commission, the Managing Authority may limit the scope of that examination to an appropriate proportion or sample of the documentation concerned. Except in duly justified cases, the time allowed for that examination shall not exceed a further period of two months after the two-month period referred to in paragraph 1.
3. The Commission shall take account of any evidence supplied by the Managing Authority within the time limits set out in paragraphs 1 and 2.
4. Where the Managing Authority does not accept the provisional conclusions of the Commission, the Managing Authority shall be invited to a hearing by the Commission, to ensure that all relevant information and observations are available for the conclusions of the Commission on the application of the financial correction.
5. In case of an agreement and without prejudice to paragraph 6, the Managing Authority may reuse the cancelled contribution for the concerned programme in accordance with Article 71(2).
6. In order to apply financial corrections, the Commission shall take a decision within six months of the date of the hearing or of the date of receipt of additional information where the Managing Authority agrees to submit such additional information following the hearing. The Commission shall take account of all information and observations submitted during the course of the procedure. If no hearing takes place, the six-month period shall begin to run two months after the date of the invitation letter to the hearing sent by the Commission.
7. Where the Commission or the European Court of Auditors detect irregularities demonstrating a serious deficiency in the effective functioning of the management and control systems, the resulting financial correction shall reduce the Union contribution.
The first subparagraph shall not apply in the case of a serious deficiency in the effective functioning of management and control systems which, prior to the date of detection by the Commission or the European Court of Auditors:
(a) had been identified in the management declaration, annual control report or the audit opinion submitted to the Commission in accordance with Article 68, or in other audit reports of the Audit Authority submitted to the Commission and appropriate measures taken; or
(b) had been the subject of appropriate remedial measures by the Managing Authority.
The assessment of serious deficiencies in the effective functioning of management and control systems shall be based on the applicable law when the relevant management declarations, annual control reports and audit opinions were submitted.
When deciding on a financial correction the Commission shall:
(a) respect the principle of proportionality by taking account of the nature and gravity of the serious deficiency in the effective functioning of a management and control system and its financial implications for the budget of the Union;
(b) for the purpose of applying a flat rate or extrapolated correction, exclude irregular expenditure previously detected by the Managing Authority which has been the subject of an adjustment in the accounts and expenditure subject to an ongoing assessment of its legality and regularity;
(c) take into account flat rate or extrapolated corrections applied to the expenditure by the Managing Authority for other serious deficiencies detected by the Managing Authority when determining the residual risk for the budget of the Union.
Section 2
Recoveries
Article 74
Financial responsibilities and Recoveries
1. The Managing Authority shall be responsible for pursuing the recovery of amounts unduly paid.
2. Where the recovery relates to a breach of legal obligations on the part of the Managing Authority stemming from this Regulation and Regulation (EU, Euratom) No 966/2012 the Managing Authority shall be responsible for reimbursing the amounts concerned to the Commission.
3. Where the recovery relates to systemic deficiencies in the programme management and control systems, the Managing Authority shall be responsible for reimbursing the amounts concerned to the Commission in accordance with the apportionment of liabilities among the participating countries as laid down in the programme.
4. Where the recovery relates to a claim against a beneficiary established in a Member State and the Managing Authority is unable to recover the debt, the Member State in which the beneficiary is established shall pay the due amount to the Managing Authority and claim it back from the beneficiary.
5. Where the recovery relates to a claim against a beneficiary established in a CBC partner country and the Managing Authority is unable to recover the debt, the level of responsibility of the CBC partner country in which the beneficiary is established shall be such as it is laid down in the relevant financing agreements referred to in Articles 8 and 9.
Article 75
Repayment to the Managing Authority
1. The Managing Authority shall recover the amounts unduly paid together with any interest on late payments from the lead beneficiary. The concerned beneficiaries shall repay the lead beneficiary the amounts unduly paid in accordance with the partnership agreement signed between them. If the lead beneficiary does not succeed in securing repayment from the concerned beneficiary, the Managing Authority shall formally notify the latter to repay to the lead beneficiary. If the concerned beneficiary does not repay, the Managing Authority shall request the participating country in which the concerned beneficiary is established to reimburse the amounts unduly paid in accordance with Article 74(2) to (5).
2. The Managing Authority shall exercise due diligence to ensure reimbursement of the recovery orders with support from the participating countries. The Managing Authority shall in particular ensure that the claim is certain, of a fixed amount and due. Where the Managing Authority is planning to waive recovery of an established debt, it shall ensure that the waiver is in order and complies with the principles of sound financial management and proportionality. The waiver decision must be submitted to the Joint Monitoring Committee for prior approval.
3. The Managing Authority shall keep the Commission informed of all steps taken to recover the due amounts. The Commission may at any time take over the task of recovering the amounts directly either from the beneficiary or from the concerned participating country.
4. Files transferred to a participating country or to the Commission shall contain all the documents needed for recovery as well as proof of steps taken by the Managing Authority to recover the due amounts.
5. Contracts concluded by the Managing Authority shall contain a clause allowing the Commission or the participating country in which the beneficiary is established to recover any amounts due to the Managing Authority which the latter was not able to recover.
Article 76
Repayment to the Commission
1. Any repayment due to the Commission shall be effected before the due date indicated in the recovery order. The due date shall be 45 days from the date of the issuing of the debit note.
2. Any delay in effecting repayment shall give rise to interest on account of late payment, starting on the due date and ending on the date of actual payment. The rate of such interest shall be three and a half percentage points above the rate applied by the European Central Bank in its main refinancing operations on the first working day of the month in which the due date falls. Amounts to be repaid may be offset against amounts of any kind due to the beneficiary or participating country. This shall not affect the parties' right to agree on payment in instalments.
TITLE IX
REPORTING, MONITORING AND EVALUATION
Article 77
Annual reports of the Managing Authority
1. By 15 February the Managing Authority shall submit an annual report approved by the Joint Monitoring Committee to the Commission. That annual report shall include one technical and one financial part covering the preceding accounting year.
2. The technical part shall describe:
(a) the progress achieved in implementing the programme and its priorities;
(b) the detailed list of signed contracts as well as the list of selected projects not yet contracted, including reserve lists;
(c) the technical assistance activities carried out;
(d) the measures undertaken to monitor and evaluate projects, their results and actions undertaken to remedy the problems identified;
(e) the implemented information and communication activities.
3. The financial part shall be prepared in accordance with Article 68(2).
4. In addition, the annual report shall contain the forecast of activities to be implemented in the following accounting year. It shall include:
(a) an updated audit strategy;
(b) the work programme, financial plan and planned use of technical assistance;
(c) the annual monitoring and evaluation plan in accordance with Article 78(2);
(d) the annual information and communication plan in accordance with Article 79(4).
5. By 15 February 2025 the Managing Authority shall submit a final report approved by the Joint Monitoring Committee to the Commission. This final report shall contain mutatis mutandis the information requested under paragraphs 2 and 3 above for the last accounting year and for the entire duration of the programme.
6. The deadlines set out in paragraphs 1 and 5 may exceptionally be extended by the Commission to 1 March, upon communication by the managing authority concerned.
Article 78
Monitoring and Evaluation
1. Programme monitoring and evaluation shall aim at improving the quality of the design and implementation, as well as at assessing and improving its consistency, effectiveness, efficiency and impact. The findings of monitoring and evaluations shall be taken into account in the programming and implementation cycle.
2. An indicative monitoring and evaluation plan shall be included in the programme for its whole duration. Each programme shall subsequently draw up an annual monitoring and evaluation plan to be carried out by the Managing Authority in accordance with the Commission's guidance and evaluation methodology. The annual plan shall be submitted to the Commission not later than 15 February.
3. The Managing Authority shall carry out result-oriented programme and project monitoring in addition to the day-to-day monitoring.
4. The Commission shall have access to all monitoring and evaluation reports.
5. The Commission can at any moment, launch evaluation or monitoring of the programme or of a part thereof. The results of these exercises, which shall be communicated to the Joint Monitoring Committee and the Managing Authority of the programme, may lead to adjustments in the programme.
TITLE X
VISIBILITY
Article 79
Visibility
1. The responsibility to ensure that appropriate information is communicated to the public shall lie with both the Managing Authority and the beneficiaries.
2. The Managing Authority and the beneficiaries shall ensure adequate visibility of the Union contribution to programmes and projects in order to strengthen public awareness of the Union action and create a consistent image of the Union support in all participating countries.
3. The Managing Authority shall ensure that its visibility strategy and visibility measures undertaken by the beneficiaries comply with the Commission's guidance.
4. The communication strategy for its whole duration and an indicative information and communication plan for the first year, including visibility measures, shall be included in the programme. Each programme shall subsequently draw up an annual information and communication plan to be carried out by the Managing Authority. That plan shall be submitted to the Commission not later than 15 February.
PART THREE
SPECIAL PROVISIONS
TITLE I
INDIRECT MANAGEMENT WITH INTERNATIONAL ORGANISATIONS
Article 80
International organisations as Managing Authority
1. Participating countries may propose that the programme be managed by an international organisation.
2. Only international organisations in the sense of Article 43 of Delegated Regulation (EU) No 1268/2012 may be proposed as Managing Authority.
3. An international organisation shall meet the requirements set out in Article 60 of Regulation (EU) No 966/2012.
4. Before the Commission adopts a programme it shall obtain evidence that the requirements set out in paragraph 3 are fulfilled.
Article 81
Rules applicable to programmes managed by an international organisation
1. The Commission and the international organisation shall conclude an agreement detailing the arrangements applicable to the programme. In case the programme makes a contribution to a financial instrument pursuant to Article 42, conditions and reporting requirements set out in Article 140 of Regulation (EU, Euratom) No 966/2012 shall be respected.
2. The provisions contained in Part Two shall apply to programmes managed by an international organisation unless the agreement referred to in paragraph 1 provides otherwise.
TITLE II
INDIRECT MANAGEMENT WITH A CBC PARTNER COUNTRY
Article 82
CBC partner countries as Managing Authority
1. Participating countries may propose that the programme is managed by a CBC partner country.
2. The nature of the tasks entrusted to the appointed CBC partner country shall be set out in the agreement signed by the Commission and the CBC partner country pursuant to the provisions on indirect management contained in the Regulation (EU, Euratom) No 966/2012 and Delegated Regulation (EU) No 1268/2012.
3. The agreement referred to in paragraph 2 shall detail the arrangements applicable to the programme. In particular, it shall lay down which provisions of Part Two apply in view of the nature of the tasks entrusted to the Managing Authority and the amounts involved.
PART FOUR
FINAL PROVISIONS
Article 83
Transitional provisions
Commission Regulation (EC) No 951/2007 ( 7 ) shall continue to apply for legal acts and commitments implementing the budget years preceding 2014.
Article 84
Entry into force
This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Union .
It shall apply from 1 January 2014.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX
Designation Criteria for the Managing Authority
The designation procedure shall be based on the following components of internal control:
1. Internal control environment
(i) An organisational structure covering the functions of managing authority and the allocation of functions between and within each body as described in Chapter 2 of Title IV of Part Two, ensuring that the principle of segregation of functions, where appropriate, is respected.
(ii) If delegation of tasks to intermediate bodies, a framework for ensuring the definition of their respective responsibilities and obligations, verification of their capacities to carry out delegated tasks and the existence of reporting procedures.
(iii)
Reporting and monitoring procedures for preventing, detecting and correcting irregularities and for recovering amounts unduly paid.
(iv) Plan for allocation of appropriate human resources with necessary skills, at different levels and for different functions in the organisation.
2. Risk management
Taking into account the principle of proportionality, a system for ensuring that an appropriate risk management exercise is conducted at least once per year, and in particular, in the event of major modifications of the activities.
3. Management and control activities
(i) Project selection procedures, ensuring the principles of transparency, equal treatment, non-discrimination, objectivity and fair competition. With a view to respect these principles:
(a) the projects shall be selected and awarded on the basis of pre-announced selection and award criteria which are defined in the evaluation grid. The selection criteria serve to assess the applicant's ability to complete the proposed action or work programme. The award criteria are used to assess the quality of the project's proposal against the set objectives and priorities;
(b) the grants shall be subject to ex ante and ex post publicity rules;
(c) the applicants shall be informed in writing about the evaluation results. If the grant requested is not awarded, the Managing Authority shall provide the reasons for the rejection of the application with reference to the selection and award criteria that are not met by the application;
(d) any conflict of interest shall be avoided;
(e) the same rules and conditions shall be applied to all applicants.
(ii) Contract management procedures.
(iii)
Verification procedures including administrative verifications in respect of each payment request by beneficiaries and the on-the-spot verifications of projects.
(iv) Procedures for processing and authorising payments.
(v) Procedures for establishing a system to collect, record and store electronically data on each project and for ensuring that the IT systems are secured in line with internationally accepted standards.
(vi) Procedures established by the managing authority to ensure that beneficiaries maintain either a separate accounting system or an adequate accounting code for all transactions relating to a project.
(vii)
Procedures for putting in place effective and proportionate anti-fraud measures.
(viii)
Procedures for drawing up the accounts and ensure that they are true, complete and accurate and that the expenditure complies with applicable rules.
(ix) Procedures to ensure an adequate audit trail and archiving system.
(x) Procedures to draw up the management declaration of assurance, report on the controls carried out and weaknesses identified, and the annual summary of final audits and controls.
(xi) Where tasks are delegated to intermediate bodies, the designation criteria should include an assessment of the procedures in place to ensure that the Managing Authority verifies the capacity of the intermediate bodies to carry out tasks and to monitor that these tasks are being properly implemented.
4. Information and communication
(i) The Managing Authority obtains or generates and uses relevant information to support the functioning of other components of the internal control.
(ii) The Managing Authority internally disseminates information, including objectives and responsibilities for internal control, necessary to support the functioning of other components of the internal control.
(iii)
The Managing Authority communicates with external parties regarding matters affecting the functioning of other components of internal control.
5. Monitoring
Documented procedures, verifications and evaluations performed to ascertain that the components of internal control exist and function.
<note>
( 1 ) Directive 2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment (OJ L 197, 21.7.2001, p. 30).
( 2 ) Council Regulation (EC) No 659/1999 of 22 March 1999 laying down detailed rules for the application of Article 93 of the EC Treaty (OJ L 83, 27.3.1999, p. 1).
( 3 ) Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts, amending Council Directives 78/660/EEC and 83/349/EEC and repealing Council Directive 84/253/EEC (OJ L 157, 9.6.2006, p. 87).
( 4 ) Directive 2011/92/EU of the European Parliament and of the Council of 13 December 2011 on the assessment of the effects of certain public and private projects on the environment (OJ L 26, 28.1.2012, p. 1).
( 5 ) Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006 (OJ L 347, 20.12.2013, p. 320).
( 6 ) Commission Decision of 19 December 2013 on the setting out and approval of the guidelines for determining financial corrections to be made by the Commission to expenditure financed by the Union under shared management for non-compliance with the rules on public procurement (C(2013)9527).
( 7 ) Commission Regulation (EC) No 951/2007 of 9 August 2007 laying down implementing rules for cross-border cooperation programmes financed under Regulation (EC) No 1638/2006 of the European Parliament and of the Council laying down general provisions establishing a European Neighbourhood and Partnership Instrument (OJ L 210, 10.8.2007, p. 10).
</note> | ENG | 02014R0897-20200627 |
<table><col/><col/><col/><col/><tbody><tr><td><p>3.12.2020   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 406/29</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2020/1820
of 2 December 2020
authorising the placing on the market of dried Euglena gracilis as a novel food under Regulation (EU) 2015/2283 of the European Parliament and of the Council and amending Commission Implementing Regulation (EU) 2017/2470
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2015/2283 of the European Parliament and of the Council of 25 November 2015 on novel foods, amending Regulation (EU) No 1169/2011 of the European Parliament and of the Council and repealing Regulation (EC) No 258/97 of the European Parliament and of the Council and Commission Regulation (EC) No 1852/2001 ( 1 ) , and in particular Article 12 thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Regulation (EU) 2015/2283 provides that only novel foods authorised and included in the Union list may be placed on the market within the Union.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Pursuant to Article 8 of Regulation (EU) 2015/2283, Commission Implementing Regulation (EU) 2017/2470 <a>(<span>2</span>)</a> establishing a Union list of authorised novel foods was adopted.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>On 20 December 2018, the company Kemin Foods L.C. (‘the applicant’) introduced an application to the Commission in accordance with Article 10(1) of Regulation (EU) 2015/2283 to place dried whole cell<span>Euglena gracilis</span> on the Union market as a novel food. The application requested for dried whole cell<span>Euglena gracilis</span> to be used as a novel food in a number of food categories for the general population as follows: breakfast, granola and protein bars; yoghurt; yoghurt beverages; fruit juices, smoothies and nectars, vegetable juices; fruit-flavoured drinks; meal replacement beverages. The applicant also requested for dried whole cell<span>Euglena gracilis</span> to be used in food supplements as defined in Directive 2002/46/EC of the European Parliament and of the Council <a>(<span>3</span>)</a>, excluding food supplements for infants, and in total diet replacement for weight control as defined by Regulation (EU) No 609/2013 of the European Parliament and of the Council <a>(<span>4</span>)</a>, excluding total diet replacement for weight control for infants.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The applicant also made a request to the Commission for the protection of proprietary data for a number of studies submitted in support of the application namely,<span>in vitro</span> fermentation studies <a>(<span>5</span>)</a>, bacterial reverse mutation test <a>(<span>6</span>)</a>,<span>in vivo</span> micronucleus test <a>(<span>7</span>)</a>, acute toxicity study in rats <a>(<span>8</span>)</a>, 14-day dietary toxicity/palatability study in rats <a>(<span>9</span>)</a>, 90-day dietary toxicity study in rats <a>(<span>10</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>In accordance with Article 10(3) of Regulation (EU) 2015/2283, the Commission consulted the European Food Safety Authority (‘Authority’) on 13 May 2019, asking it to provide a scientific opinion by carrying out an assessment for dried<span>Euglena gracilis</span> as a novel food.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>On 25 March 2020, the Authority adopted the scientific opinion on the “Safety of dried whole cell<span>Euglena gracilis</span> as a novel food pursuant to Regulation (EU) 2015/2283” <a>(<span>11</span>)</a>. That opinion is in line with the requirements of Article 11 of Regulation (EU) 2015/2283.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>In that opinion, the Authority concluded that dried<span>Euglena gracilis</span> is safe at the proposed uses and use levels. Therefore, the opinion of the Authority gives sufficient grounds to establish that dried<span>Euglena gracilis</span> under the specific conditions of use complies with Article 12(1) of Regulation (EU) 2015/2283.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>In accordance with Commission Delegated Regulation (EU) 2017/1798 <a>(<span>12</span>)</a> total diet replacement for weight control are foods intended for healthy overweight or obese adults who intend to achieve weight reduction. Therefore, dried<span>Euglena gracilis</span> may be authorised for use in total diet replacement for weight control only for adults, excluding infants, children and adolescents.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>In its opinion, the Authority considered that the data from the 90-day dietary toxicity study in rats served as a basis to establish the safety of the novel food. Therefore, it is considered that the conclusions on the safety of dried<span>Euglena gracilis</span> could not have been reached without the data from the unpublished report of that study.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The Commission requested the applicant to further clarify the justification provided with regard to their proprietary claim over the 90-day dietary toxicity study in rats, and to clarify its claim to an exclusive right of reference to that study, as referred to in Article 26(2)(b) of Regulation (EU) 2015/2283.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The applicant declared that, at the time of the submission of the application, it held proprietary and exclusive right of reference to that study under national law, and that therefore third parties cannot lawfully access or use that study or refer to that data.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>The Commission assessed all the information provided by the applicant and considered that the applicant has sufficiently substantiated the fulfilment of the requirements laid down in Article 26(2) of Regulation (EU) 2015/2283. Therefore, the 90-day dietary toxicity study in rats contained in the applicant’s file should not be used by the Authority for the benefit of a subsequent applicant for a period of five years from the date of entry into force of this Regulation. Accordingly, the placing on the market within the Union of dried<span>Euglena gracilis</span> should be restricted to the applicant for that period.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>However, restricting the authorisation of dried<span>Euglena gracilis</span> and of the reference to the study contained in the applicant’s file for the sole use of the applicant, does not prevent other applicants from applying for an authorisation to place on the market the same novel food provided that, their application is based on legally obtained information supporting such authorisation under Regulation (EU) 2015/2283.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
1. Dried Euglena gracilis as specified in the Annex to this Regulation shall be included in the Union list of authorised novel foods established in Implementing Regulation (EU) 2017/2470.
2. For a period of five years from the date of entry into force of this Regulation only the initial applicant:
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Company: Kemin Foods L.C.,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>Address: 2100 Maury Street Des Moines, IA 50317, USA,</p></td></tr></tbody></table>
is authorised to place on the market within the Union the novel food referred to in paragraph 1, unless a subsequent applicant obtains authorisation for the novel food without reference to the data protected pursuant to Article 2 of this Regulation or with the agreement of Kemin Foods L.C.
3. The entry in the Union list referred to in paragraph 1 shall include the conditions of use and labelling requirements laid down in the Annex to this Regulation.
Article 2
The data contained in the application file on the basis of which the novel food referred to in Article 1 has been assessed by the Authority, claimed by the applicant as proprietary and without which the novel food could not have been authorised, shall not be used for the benefit of a subsequent applicant for a period of five years from the date of entry into force of this Regulation without the agreement of Kemin Foods L.C.
Article 3
The Annex to Implementing Regulation (EU) 2017/2470 is amended in accordance with the Annex to this Regulation.
Article 4
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, 2 December 2020.
For the Commission
The President
Ursula VON DER LEYEN
( 1 ) OJ L 327, 11.12.2015, p. 1 .
( 2 ) Commission Implementing Regulation (EU) 2017/2470 of 20 December 2017 establishing the Union list of novel foods in accordance with Regulation (EU) 2015/2283 of the European Parliament and of the Council on novel foods ( OJ L 351, 30.12.2017, p. 72 ).
( 3 ) Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements ( OJ L 183, 12.7.2002, p. 51 ).
( 4 ) Regulation (EU) No 609/2013 of the European Parliament and of the Council of 12 June 2013 on food intended for infants and young children, food for special medical purposes, and total diet replacement for weight control and repealing Council Directive 92/52/EEC, Commission Directives 96/8/EC, 1999/21/EC, 2006/125/EC and 2006/141/EC, Directive 2009/39/EC of the European Parliament and of the Council and Commission Regulations (EC) No 41/2009 and (EC) No 953/2009 ( OJ L 181, 29.6.2013, p. 35 ).
( 5 ) Prebiotic effects of algal meal and algal-glucan. Examination of growth profile of probiotic bacteria in the presence algal meal and algal glucan. Kemin Corporation, 2016 (unpublished).
( 6 ) Dried algae ( Euglena gracilis ). Bacterial Reverse Mutation Test (Ames Test). Product Safety Labs, 2015a (unpublished).
( 7 ) Dried algae ( Euglena gracilis ). Mammalian Erythrocyte Micronucleus Test (Peripheral Blood, Flow Cytometry – Mouse). Product Safety Labs, 2015b (unpublished).
( 8 ) Algamune™ Algae Meal: Oral Toxicity Procedure In Rats. Product Safety Labs, 2014 (unpublished).
( 9 ) Dried algae ( Euglena gracilis ). A 14-day dietary toxicity/palatability study in rats. Product Safety Labs, 2015c (unpublished).
( 10 ) Dried algae ( Euglena gracilis ). A 90-day dietary study in rats. Product Safety Labs, 2015d (unpublished).
( 11 ) EFSA Journal 2020;18(5):6100.
( 12 ) Commission Delegated Regulation (EU) 2017/1798 of 2 June 2017 supplementing Regulation (EU) No 609/2013 of the European Parliament and of the Council as regards the specific compositional and information requirements for total diet replacement for weight control ( OJ L 259, 7.10.2017, p. 2 ).
ANNEX
The Annex to Implementing Regulation (EU) 2017/2470 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>in Table 1 (Authorised novel foods), the following entry is inserted:</p><table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Authorised novel food</p></td><td><p>Conditions under which the novel food may be used</p></td><td><p>Additional specific labelling requirements</p></td><td><p>Other requirements</p></td><td><p>Data protection</p></td></tr><tr><td><p>‘Dried<span>Euglena gracilis</span></p></td><td><p><span>Specified food category</span></p></td><td><p><span>Maximum levels</span></p></td><td><p>The designation of the novel food on the labelling of the foodstuffs containing it shall be ‘dried biomass of<span>Euglena gracilis</span> algae’.</p><p>The labelling of food supplements containing dried<span>Euglena gracilis</span> shall bear a statement that those food supplements should not be consumed by infants/children under 3 years of age/children under 10 years of age/children and adolescents under 18 years of age<a> (<span>*1</span>)</a>.</p></td><td><p> </p></td><td><p>Authorised on 23 December 2020. This inclusion is based on proprietary scientific evidence and scientific data protected in accordance with Article 26 of Regulation (EU) 2015/2283.</p><p>Applicant: Kemin Foods L.C., 2100 Maury Street Des Moines, IA 50317, USA.</p><p>During the period of data protection, the novel food is authorised for placing on the market within the Union only by Kemin Foods L.C. unless a subsequent applicant obtains authorisation for that novel food without reference to the proprietary scientific evidence or scientific data protected in accordance with Article 26 of Regulation (EU) 2015/2283 or with the agreement of Kemin Foods L.C.</p><p>End date of the data protection: 23 December 2025.’</p></td></tr><tr><td><p>Breakfast cereal bars, granola bars and protein bars</p></td><td><p>630 mg/100 g</p></td></tr><tr><td><p>Yoghurt</p></td><td><p>150 mg/100 g</p></td></tr><tr><td><p>Yoghurt Beverages</p></td><td><p>95 mg/100 g</p></td></tr><tr><td><p>Fruit and vegetable juices, nectars, fruit/vegetable blend beverages</p></td><td><p>120 mg/100 g</p></td></tr><tr><td><p>Fruit-Flavoured Drinks</p></td><td><p>40 mg/100 g</p></td></tr><tr><td><p>Meal replacement beverages</p></td><td><p>75 mg/100 g</p></td></tr><tr><td><p>Food supplements as defined in Directive 2002/46/EC, excluding food supplements for infants</p></td><td><p>100 mg/day for young children</p><p>150 mg/day for children from 3 to 9 years of age</p><p>225 mg/day for children from 10 years of age and adolescents (to 17 years of age)</p><p>375 mg/day for adults</p></td></tr><tr><td><p>Total diet replacement for weight control as defined by Regulation (EU) No 609/2013</p></td><td><p>190 mg/meal</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>in Table 2 (Specifications), the following entry is inserted:</p><table><col/><col/><tbody><tr><td><p>Authorised Novel Food</p></td><td><p>Specification</p></td></tr><tr><td><p><span>‘Dried<span>Euglena gracilis</span></span></p></td><td><p><span>Description/Definition:</span></p><p>The novel food is dried whole cell Euglena, which is the dried biomass of the microalga<span>Euglena gracilis</span>.</p><p>The novel food is produced by fermentation followed by filtration and a heat-killing step of the microalga to ensure the absence of viable<span>Euglena gracilis</span> cells in the novel food.</p><p><span>Characteristics/Composition:</span></p><p>Total carbohydrates: ≤ 75 %</p><p>β-glucan: > 50 %</p><p>Protein: ≥ 15 %</p><p>Fat: ≤ 15 %</p><p>Ash: ≤ 10 %</p><p>Moisture: ≤ 6 %</p><p><span>Heavy metals:</span></p><p>Lead: ≤ 0,5 mg/kg</p><p>Cadmium: ≤ 0,5 mg/kg</p><p>Mercury: ≤ 0,05 mg/kg</p><p>Arsenic: ≤ 0,02 mg/kg</p><p><span>Microbiological criteria:</span></p><p>Aerobic plate count: ≤ 10 000 CFU/g</p><p>Coliforms: ≤ 100 MPN/g</p><p>Yeast and mould: ≤ 500 CFU/g</p><p><span>Escherichia coli</span>: Absence in 10 g</p><p><span>Staphylococcus aureus</span>: Absence in 10 g</p><p><span>Salmonella</span>: Absence in 25 g</p><p><span>Listeria monocytogenes</span>: Absence in 25 g</p><p>CFU: colony forming units.</p><p>MPN: most probable number’</p></td></tr></tbody></table></td></tr></tbody></table>
<note>
( *1 ) Depending on the age group the food supplement is intended for.
</note> | ENG | 32020R1820 |
<table><col/><col/><col/><col/><tbody><tr><td><p>27.6.2022   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 168/84</p></td></tr></tbody></table>
COUNCIL IMPLEMENTING DECISION (EU) 2022/1004
of 17 June 2022
authorising Finland to apply a reduced rate of taxation to electricity supplied to certain heat pumps, electric boilers and recirculating water pumps, in accordance with Article 19 of Directive 2003/96/EC
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Directive 2003/96/EC of 27 October 2003 restructuring the Community framework for the taxation of energy products and electricity ( 1 ) , and in particular Article 19 thereof,
Having regard to the proposal from the European Commission,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>By letter of 6 August 2021, Finland, in accordance with the procedure laid down in Article 19 of Directive 2003/96/EC, requested authorisation to apply a reduced rate of taxation to electricity supplied to heat pumps and electric boilers that generate heat for the district heating network, to heat pumps with a nominal thermal output of at least 0,5 MW not connected to the district heating network, and to recirculating water pumps in geothermal heating plants. The Finnish authorities provided additional information and clarifications in support of the request on 4 November 2021, 26 January 2022 and 16 February 2022.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Through the envisaged reduced rate, Finland aims to increase the electrification of the heating end-use sector and promote non-combustion heat production in order to reduce emissions. The increased use of electrically powered heating installations is expected to yield environmental and climate benefits.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Allowing Finland to apply a reduced rate of taxation to electricity supplied to heat pumps and electric boilers that generate heat for the district heating network, to heat pumps with a nominal thermal output of at least 0,5 MW not connected to the district heating network and to recirculating water pumps in geothermal heating plants does not go beyond what is necessary to increase electrification of the heating end-use sector. Such heating installations promote the green transition and decrease the use of heat production based on the burning of fuels. Those installations are not yet competitive on the market, and the application of a reduced rate of taxation as requested by Finland would limit the administrative burden. Therefore, that measure is unlikely to lead to significant distortions in competition during its lifetime and will thus not negatively affect the proper functioning of the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In accordance with Article 19(2) of Directive 2003/96/EC, each authorisation granted under Article 19(1) of that Directive is to be strictly limited in time. In order to ensure that the authorisation period is sufficiently long so as not to discourage relevant economic operators from making the necessary investments, it is appropriate to grant the authorisation from 1 January 2022 until 31 December 2027. However, in order not to undermine future general development of the existing legal framework, it is appropriate to provide that, in the event that the Council, acting on the basis of Article 113 or any other relevant provision of the Treaty on the Functioning of the European Union, introduces a modified general system for the taxation of energy products and electricity to which the authorisation would not be adapted, the authorisation should cease to apply on the date on which that modified general system becomes applicable.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>In order to enable installation operators to pursue the promotion of heat pumps and electric boilers that generate heat for the district heating network, heat pumps with a nominal thermal output of at least 0,5 MW not connected to the district heating network, and recirculating water pumps in geothermal heating plants, it should be ensured that Finland is able to apply the tax reduction, as requested, with effect from 1 January 2022. By providing for application from a date prior to the taking effect of the authorisation, the legitimate expectations of economic operators are respected, as the authorisation does not encroach upon their rights and obligations.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>This Decision is without prejudice to the application of Union rules regarding State aid,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
Provided that the minimum level of taxation referred to in Article 10 of Directive 2003/96/EC, as set out for business use in Table C of Annex I to that Directive, is respected, Finland is authorised to apply a reduced rate of taxation to electricity supplied to any of the following:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>heat pumps and electric boilers that generate heat for the district heating network;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>heat pumps with a nominal thermal output of at least 0,5 MW not connected to the district heating network;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>recirculating water pumps in geothermal heating plants.</p></td></tr></tbody></table>
Article 2
This Decision shall apply from 1 January 2022 until 31 December 2027.
However, in the event that the Council, acting on the basis of Article 113 or any other relevant provision of the Treaty on the Functioning of the European Union, introduces a modified general system for the taxation of energy products and electricity to which the authorisation granted in Article 1 of this Decision would not be adapted, this Decision shall cease to apply on the date on which that modified general system becomes applicable.
Article 3
This Decision is addressed to the Republic of Finland.
Done at Luxembourg, 17 June 2022.
For the Council
The President
B. LE MAIRE
<note>
( 1 ) OJ L 283, 31.10.2003, p. 51 .
</note> | ENG | 32022D1004 |
<table><col/><col/><col/><col/><tbody><tr><td><p>27.9.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 243/11</p></td></tr></tbody></table>
COUNCIL DECISION (EU) 2018/1296
of 18 September 2018
establishing the position to be adopted on behalf of the European Union at the 13th General Assembly of the Intergovernmental Organisation for International Carriage by Rail (OTIF) as regards certain amendments to the Convention concerning International Carriage by Rail (COTIF) and to the Appendices thereto
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 91, in conjunction with Article 218(9), thereof,
Having regard to the proposal from the European Commission,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>The Union acceded to the Convention concerning International Carriage by Rail of 9 May 1980, as amended by the Vilnius Protocol of 3 June 1999 (the ‘COTIF Convention’), pursuant to Council Decision 2013/103/EU <a>(<span>1</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Decision 2013/103/EU specifies that the Commission is to represent the Union at the meetings of the Intergovernmental Organisation for International Carriage by Rail (OTIF).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The Member States, with the exception of Cyprus and Malta, are contracting parties to and apply the COTIF Convention.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The General Assembly of OTIF was set up in accordance with point (a) of Article 13(1) of the COTIF Convention (the ‘General Assembly’). At its 13th session, due to take place from 25 to 26 September 2018, the General Assembly is expected to decide upon certain amendments to the COTIF Convention as well as to the Appendices E (Contract of Use of Infrastructure in International Rail Traffic — CUI) and G (Technical Admission of Railway Material used in International Traffic — ATMF) thereto. At this session, the General Assembly is also expected to decide upon the adoption of a new Appendix H to the COTIF Convention regarding the safe operation of trains in international traffic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>It is appropriate to establish the position to be adopted on behalf of the Union at the 13th General Assembly OTIF, as the envisaged amendments to the COTIF Convention and the Appendices thereto will be binding on the Union and capable of decisively influencing the content of Union law, namely Directives (EU) 2016/797 <a>(<span>2</span>)</a> and (EU) 2016/798 <a>(<span>3</span>)</a> of the European Parliament and of the Council.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The amendments to the Rules of Procedure of the General Assembly of OTIF aim to update certain provisions as a result of the accession of the Union to the COTIF Convention in 2011, in particular with regard to provisions governing the right to vote of the regional organisation and establishing the quorum.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The amendments to the COTIF Convention aim to improve and facilitate the procedure for revising the COTIF Convention with a view to the consistent and rapid implementation of amendments to the Appendices thereto, and in order to prevent adverse effects of the current lengthy revision procedure, including the risk of internal misalignment between amendments adopted by the Revision Committee and those adopted by the General Assembly, as well as external misalignment, in particular with Union law.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>The amendments to Appendix E (CUI) to the COTIF Convention aim to clarify the scope of application of the CUI Uniform Rules to ensure that those rules are more systemically applied for their intended purpose, namely in international railway traffic such as in freight corridors or for international passenger trains.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The amendments to Appendix G (ATMF) to the COTIF Convention aim to achieve harmonisation between the OTIF rules and the Union rules, in particular after the adoption of the fourth railway package by the Union in 2016.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>Most of the proposed amendments are in line with the law and the strategic objectives of the Union, and should therefore be supported by the Union.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The position of the Union at the 13th General Assembly of OTIF should therefore be based on the Attachment,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
1. The position to be adopted on behalf of the Union at the 13th General Assembly of the Intergovernmental Organisation for International Carriage by Rail (OTIF) is set out in the Attachment.
2. Minor changes to the positions set out in the Attachment may be agreed by the representatives of the Union at the General Assembly without further decision of the Council.
Article 2
The Decisions of the 13th General Assembly, once adopted, shall be published in the Official Journal of the European Union , indicating the date of their entry into force.
Article 3
This Decision shall enter into force on the date of its adoption.
Done at Brussels, 18 September 2018.
For the Council
The President
G. BLÜMEL
( 1 ) Council Decision 2013/103/EU of 16 June 2011 on the signing and conclusion of the Agreement between the European Union and the Intergovernmental Organisation for International Carriage by Rail on the Accession of the European Union to the Convention concerning International Carriage by Rail (COTIF) of 9 May 1980, as amended by the Vilnius Protocol of 3 June 1999 ( OJ L 51, 23.2.2013, p. 1 ).
( 2 ) Directive (EU) 2016/797 of the European Parliament and of the Council of 11 May 2016 on the interoperability of the rail system within the European Union ( OJ L 138, 26.5.2016, p. 44 ).
( 3 ) Directive (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway safety ( OJ L 138, 26.5.2016, p. 102 ).
ATTACHMENT
1. INTRODUCTION
The 13th session of the General Assembly of the Intergovernmental Organisation Convention for International Carriage by Rail (OTIF) will take place on 25 and 26 September 2018. The meeting documents are available on the website of OTIF at the following link: http://extranet.otif.org/en/?page_id=1071.
2. COMMENTS ON AGENDA ITEMS
Agenda Item 1 – Election of the Chair and Vice-Chair
Document(s): None
Competence: Union (shared)
Exercise of voting rights: Member States
Position: None
Agenda Item 2 – Adoption of the agenda
Document(s): SG-18028-AG 13/2.1; SG-18047-AG 13/2.2
Competence: Union (shared and exclusive), without prejudice to the competences of the Member States in respect of agenda item 9
Exercise of voting rights: Union, without prejudice to the competences of the Member States in respect of agenda item 9
Position: In favour of the adoption of the agenda
Agenda Item 3 – Formation of the Credentials Committee
Document(s): None
Competence: Union (shared)
Exercise of voting rights: Member States
Position: None
Agenda Item 4 – Organisation of the work and designation of any Committees considered necessary
Document(s): None
Competence: Union (shared)
Exercise of voting rights: Member States
Position: None
Agenda Item 5 – Modification of the Rules of Procedure
Document(s): SG-18030-AG 13/5
Competence: Union (shared and exclusive)
Exercise of voting rights: Union
Position: Support the amendments to the Rules of Procedure of the General Assembly.
The proposed draft amendments to the Rules of Procedure of the General Assembly of OTIF relate to the deadlines for submitting and dispatching documents, the participation of independent experts and clarification of the provisions relating to the exercising of rights by regional organisations. The current version of the Rules of Procedure predates the Union's accession to the COTIF Convention; certain provisions need therefore to be updated, in particular the provisions establishing the quorum and governing the rights to vote of the Union (Articles 20 and 21), which have to be modified in order to comply with Article 38 of the COTIF Convention and with the EU-OTIF Agreement. The other modifications proposed aim to ensuring orderly proceedings of the General Assembly on the basis of the best available international practice and OTIF's practice; they should also be supported.
Agenda Item 6 – Election of a Secretary-General for the period from 1 January 2019 to 31 December 2021
Document(s): Restricted distribution
Competence: Union (shared)
Exercise of voting rights: Member States
Position: None
Agenda Item 7 – Membership of OTIF – general situation
Document(s): SG-18032-AG 13/7
Competence: Union (shared)
Exercise of voting rights: not applicable
Position: None
Agenda Item 8 – Cooperation with international organisations and associations
Document(s): SG-18048-AG 13/8
Competence: Union (shared and exclusive)
Exercise of voting rights: Union
Position:
Oppose the proposal from the OTIF Secretariat that the General Assembly should authorise the Administrative Committee to establish and dissolve consultative contact groups with other international organisations and associations, and supervise the functioning of contact groups.
Propose that, in accordance with Article 13 § 2 of the COTIF Convention, the General Assembly decides to establish temporarily, i.e. for a period of four years, an ad hoc committee entrusted with the task to establish and dissolve consultative contact groups with other international organisations and associations, and supervise the functioning of contact groups. The Union should be entitled to participate in the work of the ad hoc Committee in accordance with 5(1) of the Accession agreement. The activities of the Committee should be guided by and in line with OTIF's work programme.
The proposal from the OTIF Secretariat consists in a decision of the General Assembly authorising the Administrative Committee to be empowered to establish and dissolve consultative contact groups with other international organisations and associations, and to supervise the functioning of such groups. At this stage, the Union shares the objective, namely to allow for a degree of flexibility in the matters concerned. However, it cannot accept the proposal as such, since it amounts to conferring a new task upon the Administrative Committee, beyond those set out in Article 15 § 2 of the COTIF Convention, without formal amendment of the latter, operated in accordance with the applicable procedures.
Since the Union shares the general objective, however, it suggests the General Assembly to establish temporarily an ad hoc committee, in accordance with Article 13 § 2 of the Convention, with the task to establish and dissolve consultative contact groups with other international organisations and associations, and to supervise the functioning of such groups. In this respect, is important to bear in mind that such tasks have practical implications for the development of policies at OTIF level in all areas. It is thus necessary to guarantee that the Union is fully involved in these activities, in accordance with Article 5(1) of the Accession Agreement.
A period of four years should be appropriate, so as to judge, prior to its expiration, whether the experience gained is satisfactory. In the affirmative, and following due preparation, an amendment of the Convention could be envisaged for a structural solution, in compliance with the guarantees for the Union established by Article 5(1) of the Accession Agreement.
Agenda Item 9 – Budget framework
Document(s): Restricted distribution
Competence: Member States
Exercise of voting rights: Member States
Position: None
Pursuant to Article 4 of the EU-OTIF Agreement, ‘ The Union shall not contribute to the budget of OTIF and shall not take part in decisions concerning that budget. ’
Agenda Item 10 – Partial revision of the base Convention: amendment of the procedure for revising COTIF
Document(s): SG-18035-AG 13/10
Competence: Union (shared)
Exercise of voting rights: Member States
Position: Support the amendment to Article 34 §§ 3 to 6 of the COTIF Convention and approve the modifications to the Explanatory Report.
In line with the outcome of the discussion on this topic at the 26th session of the Revision Committee, it is necessary and appropriate to support the proposed amendment to the COTIF Convention, in order to provide for a fixed time period (36 months) for the entry into force of amendments to the Appendices adopted by the General Assembly, including the clause of flexibility to extend such a deadline on a case-by-case basis, where so decided by the General Assembly by the majority provided for under Article 14 § 6 of COTIF Convention.
The proposal aims at improving and facilitating the procedure for revising the COTIF Convention with a view to the consistent and rapid implementation of amendments to the Convention and its Appendices, and in order to prevent adverse effects of the current lengthy revision procedure, including the risk of internal misalignment between amendments adopted by the Revision Committee and those adopted by the General Assembly, as well as external misalignment, particularly with Union law.
Agenda Item 11 – Partial revision of the CIM UR – Secretary General's report
Document(s): SG-18036-AG 13/11
Competence: Union (shared and exclusive)
Exercise of voting rights: Union (in case a vote takes place)
Position: Take note of the Secretary General's report and instruct the Secretary-General to submit to the 14th General Assembly a report on the progress of work on customs issues and the digitalisation of freight transport documents and, if necessary, to submit proposals to amend the CIM UR.
Agenda Item 12 – Partial revision of the CUI UR
Document(s): SG-18037-AG 13/12
Competence: Union (shared)
Exercise of voting rights: Member States
Position:
Support the amendments to the Title and Articles 1, 3, 5 (§ 1), 5 bis (§§ 1 and 2), 7 (§ 2), 8, 9 (§1) and 10 (§3) of the CUI UR, and approve the modifications to the Explanatory Report.
Support, for the purpose of the modifications to the CUI UR, the amendments to Articles 2 (§ 1, letter a), No 3) and 6 (§ 1, letter e)) of the COTIF Convention.
In line with the amendments approved during the 26th session of the Revision Committee in February 2018, the proposed modifications aim essentially at clarifying the scope of the CUI UR by introducing a definition in Article 3 of ‘international railway traffic’ to mean ‘traffic which requires the use of an international train path or several successive national train paths situated in at least two States and coordinated by the infrastructure managers concerned’, and by amending Article 1 (Scope) accordingly, while keeping the link with CIV and CIM UR. The objective is to ensure that the CUI UR are more systemically applied for their intended purpose, i.e. in international railway traffic.
The draft amendments are consistent with the definitions and provisions of the Union acquis regarding the management of rail infrastructure and the coordination between infrastructure managers (e.g. Articles 40, 43 and 46 of Directive 2012/34/EU (recast)). As regards the draft amendment proposed to Article 8 (Liability of the manager), this is essentially editorial and does not affect the scope or substance of the provision. The draft amendments proposed to Article 9 as well as to Articles 3, 5, 5bis, 7 and 10 are strictly editorial.
Agenda Item 13 – Partial revision of the ATMF UR
Document(s): SG-18038-AG 13/13
Competence: Union (exclusive)
Exercise of voting rights: Union
Position: Support the partial revision of the ATMF UR as proposed by the OTIF Secretariat.
A partial revision of the ATMF UR was adopted at the 26th session of the Revision Committee for the reasons described in the following paragraph. This revision however also implied some minor changes of editorial or linguistic nature to Articles 1, 3 and 9 of ATMF UR, which are outside the competence of the Revision Committee. They should thus be adopted by the General Assembly.
The provisions of the ATMF UR are compatible with the provisions of the European Union's Interoperability Directive 2008/57/EC and with part of the Safety Directive 2009/49/EC. With the adoption of the fourth railway package, the Union changed several provisions of this acquis . On the basis of an analysis by the Commission, the OTIF Secretariat and the relevant working group prepared modifications concerning Articles 2, 3a, 5, 6, 7, 10, 10b, 11 and 13 of the ATMF UR. These modifications are necessary in order to harmonise some terminology with the new EU provisions and to take into account some procedural changes in the EU, in particular the fact that the EU Agency for Railways will be competent to issue vehicle authorisations. The basic concept of ATMF is not affected by the proposed changes.
Agenda Item 14 – New Appendix H regarding the safe operation of trains in international traffic
Document(s): SG-18039-AG 13/14.1; SG-18040-AG 13/14.2
Competence: Union (exclusive)
Exercise of voting rights: Union
Position:
Support (SG-18039-AG 13/14.1) the inclusion of a new Appendix H to the COTIF Convention regarding the safe operation of trains in international traffic and approve the modifications to the Explanatory Report.
Support (SG-18040-AG 13/14.2), for the purpose of the inclusion of a new Appendix H, the modifications to Articles 2 (§ 1), 6 (§ 1), 20 (§§ 1 and 2), 33 (§§ 4 and 6) and 35 (§§4 and 6) of the COTIF Convention and approve the modifications to the Explanatory Report.
The draft new Appendix H sets out provisions to regulate the safe operation of trains in international traffic with the objective to harmonise the COTIF Convention with the Union's acquis and support interoperability beyond the European Union. The proposed text is in line with the provisions of the new safety Directive (EU) 2016/798 and the related secondary legislation. As indicated, it is also necessary to modify certain provisions of the COTIF Convention for the purpose of the inclusion of this new Appendix H.
The proposed texts are submitted to the General Assembly pursuant to a decision of the 26th session of the Revision Committee and are fully in line with the Union position that was defined ahead of the Revision Committee.
Agenda Item 15 – General discussion regarding the need to harmonise access conditions
Document(s): SG-18041-AG 13/15
Competence: Union (exclusive)
Exercise of voting rights: Union
Position: Support the proposal from the OTIF Secretariat to mandate the Secretary-General to continue the work on the development of a non-binding legal framework on international railway network access conditions, in accordance with the guidelines set out section VI of document SG-18041-AG 13/15, within the framework of the working group of legal experts and in cooperation with competent international organisations and associations.
The subject matter – railway network access conditions – is regulated at EU level by Directive 2012/34/EC (recast) of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area. In line with the discussion that took place on this topic during the 26th session of the Revision Committee in February 2018, it is appropriate to continue supporting the initiative on the development by OTIF of a non-binding legal framework on railway network access conditions, as a means to facilitate and improve international railway traffic beyond the EU.
Agenda Item 16 – Unified Railway Law – Secretary General's report
Document(s): SG-18042-AG 13/16
Competence: Union (shared)
Exercise of voting rights: Member States
Position:
Take note of the Secretary General's report and instruct the Secretary-General to continue cooperation with UNECE on the Unified Railway Law initiative.
Mandate the Administrative Committee to follow up the UNECE initiative on Unified Railway Law and issue its advisory opinion on general policy issues, where feasible, and mandate the Working Group of Legal experts to follow up the UNECE initiative on Unified Railway Law and issue its advisory opinion on legal matters, where feasible.
Instruct the Secretary-General and the Working Group of Legal Experts, in consultation with the Administrative Committee, to consider and propose solutions for appropriate OTIF involvement in the management of binding legal instruments which could take over the Draft Legal Regime on the contract of carriage of goods as developed within the framework of the UNECE initiative on Unified Railway Law, and instruct the Secretary-General to submit a report to the 14th General Assembly.
While a single international legal regime may provide benefits for rail transport across the Eurasian continent in comparison to the two legal systems that exist at present, such a single regime could be developed only with the clear commitment and participation of OSJD and OTIF and their members – otherwise a third international legal regime will be developed and international railway regulation will be further fragmented. Consequently, a prior political decision by the existing organisations to coordinate this aim is necessary before any comprehensive legal system can be put in place. It is therefore necessary and appropriate to ensure that OTIF continues to be involved in this process, notably through the activities of its Administrative Committee and its Working Group of Legal Experts, and reports on the progress of the work at UNECE at the next meeting of the General Assembly.
Agenda Item 17 – Working group of legal experts
Document(s): SG-18046-AG 13/17
Competence: Union (shared)
Exercise of voting rights: Member States
Position:
Endorse the setting up of an advisory working group of legal experts to: prepare draft amendments or supplements to the Convention; provide legal advice and assistance, promote and facilitate the functioning and implementation of the COTIF Convention, monitor and assess the application and implementation of the COTIF Convention, act as a forum for OTIF's members to raise and discuss relevant legal issues.
Mandate the Secretary-General to submit conclusions and proposals made by the working group to the competent organs of OTIF for consideration and/or decision.
Instruct the Secretary-General to submit a report on the working group's activities at the 14th meeting of the General Assembly.
In line with the outcome of the discussion on this topic at the 26th session of the Revision Committee in February 2018, it is appropriate to endorse the creation of a standing group of legal experts within OTIF to assist and facilitate the functioning of the existing organs in the legal field and to ensure the effective management of the COTIF Convention.
Agenda Item 18 – Report on the activities of the Administrative Committee in the period between 1 October 2015 and 30 September 2018
Document(s): Restricted distribution
Competence: Union (shared)
Exercise of voting rights: Member States
Position: Take note of the report
Agenda Item 19 – Election of the Administrative Committee for the period between 1 October 2018 and 30 September 2021 (composition and chair)
Document(s): Restricted distribution
Competence: Union (shared)
Exercise of voting rights: Member States
Position: None
Agenda Item 20 – Provisional date of the 14th General Assembly
Document(s): None
Competence: not applicable
Exercise of voting rights: not applicable
Position: None
Agenda Item 21 – Any other business
Document(s): Not available
Competence: Not applicable
Exercise of voting rights: Not applicable
Position: None
Agenda Item 22 – Any General Assembly mandates
Document(s): None
Competence: Union (shared and exclusive)
Exercise of voting rights: Union
Position: Mandates in accordance with agenda item 8
Agenda Item 23 – Committee reports, if necessary
Document(s): Not available
Competence: Not applicable
Exercise of voting rights: Not applicable
Position: None
Agenda Item 24 – Adoption of decisions, mandates, recommendations and other General Assembly documents (final document)
Document(s): Not available
Competence: Union (shared and exclusive)
Exercise of voting rights: Union
Position: As specified under relevant agenda items. | ENG | 32018D1296 |
<table><col/><col/><col/><col/><tbody><tr><td><p>26.9.2017   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 246/4</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2017/1752
of 12 September 2017
entering a name in the register of protected designations of origin and protected geographical indications (Fenalår fra Norge (PGI))
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1151/2012 of the European Parliament and of the Council of 21 November 2012 on quality schemes for agricultural products and foodstuffs ( 1 ) , and in particular Article 52(2) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Pursuant to Article 50(2)(a) of Regulation (EU) No 1151/2012, Norway's application to register the name ‘Fenalår fra Norge’ was published in the<span>Official Journal of the European Union</span><a> (<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>As no statement of opposition under Article 51 of Regulation (EU) No 1151/2012 has been received by the Commission, the name ‘Fenalår fra Norge’ should therefore be entered in the register,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The name ‘Fenalår fra Norge’ (PGI) is hereby entered in the register.
The name specified in the first paragraph denotes a product in Class 1.2. — Meat products (cooked, salted, smoked, etc.), as listed in Annex XI to Commission Implementing Regulation (EU) No 668/2014 ( 3 ) .
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, 12 September 2017.
For the Commission,
On behalf of the President,
Phil HOGAN
Member of the Commission
<note>
( 1 ) OJ L 343, 14.12.2012, p. 1 .
( 2 ) OJ C 177, 3.6.2017, p. 14 .
( 3 ) Commission Implementing Regulation (EU) No 668/2014 of 13 June 2014 laying down rules for the application of Regulation (EU) No 1151/2012 of the European Parliament and of the Council on quality schemes for agricultural products and foodstuffs ( OJ L 179, 19.6.2014, p. 36 ).
</note> | ENG | 32017R1752 |
<table><col/><col/><col/><col/><tbody><tr><td><p>11.12.2020   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 417/27</p></td></tr></tbody></table>
DECISION (EU) 2020/1843 OF THE EUROPEAN PARLIAMENT
of 13 May 2020
on discharge in respect of the implementation of the budget of the Bio-based Industries Joint Undertaking for the financial year 2018
THE EUROPEAN PARLIAMENT,
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the final annual accounts of the Bio-based Industries Joint Undertaking for the financial year 2018,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Court of Auditors’ annual report on the EU Joint Undertakings for the financial year 2018, together with the Joint Undertakings’ replies <a>(<span>1</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the statement of assurance <a>(<span>2</span>)</a> as to the reliability of the accounts and the legality and regularity of the underlying transactions provided by the Court of Auditors for the financial year 2018, pursuant to Article 287 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Council’s recommendation of 18 February 2020 on discharge to be given to the Joint Undertaking in respect of the implementation of the budget for the financial year 2018 (05763/2019 – C9-0068/2019),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Article 319 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002 <a>(<span>3</span>)</a>, and in particular Article 209 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 <a>(<span>4</span>)</a>, and in particular Article 71 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Council Regulation (EU) No 560/2014 of 6 May 2014 establishing the Bio-based Industries Joint Undertaking <a>(<span>5</span>)</a>, and in particular Article 12 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Commission Delegated Regulation (EU) No 110/2014 of 30 September 2013 on the model financial regulation for public-private partnership bodies referred to in Article 209 of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council <a>(<span>6</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Commission Delegated Regulation (EU) 2019/887 of 13 March 2019 on the model financial regulation for public-private partnership bodies referred to in Article 71 of Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council <a>(<span>7</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Rule 100 of and Annex V to its Rules of Procedure,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the report of the Committee on Budgetary Control (A9-0034/2020),</p></td></tr></tbody></table>
1. Grants the Executive Director of the Bio-based Industries Joint Undertaking discharge in respect of the implementation of the Joint Undertaking’s budget for the financial year 2018;
2. Sets out its observations in the resolution below;
3. Instructs its President to forward this decision and the resolution forming an integral part of it to the Executive Director of the Bio-based Industries Joint Undertaking, the Council, the Commission and the Court of Auditors, and to arrange for their publication in the Official Journal of the European Union (L series).
The President
David Maria SASSOLI
The Secretary-General
Klaus WELLE
<note>
( 1 ) OJ C 426, 18.12.2019, p. 1 .
( 2 ) OJ C 426, 18.12.2019, p. 24 .
( 3 ) OJ L 298, 26.10.2012, p. 1 .
( 4 ) OJ L 193, 30.7.2018, p. 1 .
( 5 ) OJ L 169, 7.6.2014, p. 130 .
( 6 ) OJ L 38, 7.2.2014, p. 2 .
( 7 ) OJ L 142, 29.5.2019, p. 16 .
</note> | ENG | 32020B1843 |
<table><col/><col/><col/><col/><tbody><tr><td><p>20.6.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 157/1</p></td></tr></tbody></table>
COMMISSION DECISION (EU) 2018/884
of 16 October 2017
on aid measure SA.32874 (2012/C) (ex SA.32874 (2011/NN)) implemented by Denmark
(notified under document C(2017) 4461)
(Only the Danish text is authentic)
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union, and in particular the first subparagraph of Article 108(2) thereof ( 1 ) ,
Having given interested parties notice to submit their comments pursuant to that Article, and having regard to those comments,
Whereas:
I. PROCEDURE
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>The Permanent Representation of Denmark to the European Union sent the Commission, by email dated 17 March 2011, a pre-notification of this measure (a reduction of and exemption from the tax relating to on the protection of drinking water).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>In the course of examining this pre-notification, on 27 April 2011 the Commission asked the Danish authorities for additional information.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>The Danish authorities submitted, by email dated 16 September 2011, the additional information that the Commission had requested on 27 April 2011.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>After this information was received, two technical meetings were held between the Danish authorities and the Commission on 3 October and 10 November 2011. Further to the meeting held on 10 November 2011, the Danish authorities submitted some new additional information to the Commission.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>After the meeting on 10 November 2011, the Permanent Representation of Denmark to the European Union communicated by email dated 17 November 2011 that the pre-notification of the measure had been withdrawn.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The Commission informed the Danish authorities by fax dated 14 December 2011 that it had registered the aid as non-notified State aid under case SA.32874 (2011/NN), as the tax had already been introduced prior to the pre-notification and without the Commission's approval.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The Permanent Representation of Denmark to the European Union forwarded to the Commission, by email dated 27 December 2011, a letter from the Danish authorities stating that the tax scheme would cease on 31 December 2011 and would be replaced by an increase in the general water rates, which had already been examined by the Commission in the context of aid case NN 1/2005 <a>(<span>2</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>The Commission informed Denmark by letter dated 22 March 2012 <a>(<span>3</span>)</a> of its decision dated 21 March 2012 to initiate the procedure laid down in Article 108(2) TFEU in respect of the measure (hereinafter referred to as the ‘examination procedure’). This gave the Danish authorities a deadline of one month to make comments.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>The Commission's decision to initiate the examination procedure (hereinafter referred to as the ‘opening decision’) was published in the<span>Official Journal of the European Union</span> <a>(<span>4</span>)</a>. The Commission invited interested parties to submit their comments on the measure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The Commission received comments from one interested party (the Danish Agriculture and Food Council, hereinafter referred to as the ‘interested party’). The Commission forwarded these comments to the Danish authorities, who were given the opportunity to respond.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The Permanent Representation of Denmark to the European Union forwarded to the Commission, by email dated 16 May 2012, a letter from the Danish authorities in which they requested that the deadline for submitting comments be extended to 11 June 2012. The deadline extension was granted in a message sent by fax dated 24 May 2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>The Permanent Representation of Denmark to the European Union sent the Commission, by email dated 12 June 2012, the Danish authorities' comments on the opening decision.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>The Permanent Representation of Denmark to the European Union forwarded, by email dated 2 July 2012, the Danish authorities' remarks on the comments submitted by the interested party.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>The Commission asked the Danish authorities, in a letter dated 10 September 2013, for further information regarding their comments on the opening decision.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>The Danish authorities submitted the relevant information by email dated 7 November 2013. In reply to a letter from the Commission dated 10 November 2015, the authorities sent new additional information by email dated 19 April 2016.</p></td></tr></tbody></table>
II. DESCRIPTION
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>On 27 December 2008 Folketinget (the Danish Parliament) passed a law implementing a tax on permits to extract groundwater with an eye to using the proceeds to fund surveys of and management planning for areas that are particularly important to the drinking water supply. The law was incorporated as Chapter 4a (Section 24) in Consolidating Act No 935 of 24 September 2009.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>The tax, which was calculated on the basis of the volume of water that could be extracted annually under the permit, amounted to DKK 0,305 (approximately EUR 0,04) per m<span>3</span> in 2009, DKK 0,315 in 2010 and DKK 0,310 in 2011.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>The tax scheme was originally intended to last until 2017, and in accordance with Section 24a of the Consolidating Act the entirety of the tax was to be collected from owners of public utilities <a>(<span>5</span>)</a>. Holders of permits for extraction from their own facilities would only pay one third of the tax, calculated on the basis of the annual permissible extraction volume. If the permit concerned a volume above 25 000 m<span>3</span>, in accordance with Section 24b the owner paid one third of the tax on 25 000 m<span>3</span>. In accordance with Section 24c, holders of extraction permits for a maximum of 6 000 m<span>3</span> per year were entirely exempted from the tax.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>According to the available information, 85 000 private extraction permits have been issued in Denmark. The vast majority of these concern the agricultural sector. The number of permits for a maximum of 6 000 m<span>3</span> is estimated at 75 000. The Danish authorities cannot guarantee that all agricultural enterprises hold private extraction permits and are therefore not dependent on public utilities, but point out that those farms that are able to connect to a public utility generally hold an extraction permit and only use the public supply for household needs.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>According to the Danish authorities' figures for 2009, 12 275 permit holders obtained a tax reduction equivalent to an average of EUR 1 080 annually for extraction permits on an average of 35 500 m<span>3</span> of water. The figures for 2009-2011 show that 1 091 agricultural enterprises obtained tax reductions, which exceeds the<span>de minimis</span> ceiling. The Danish authorities have indicated that 106 permit holders are registered as food-processing enterprises.</p></td></tr></tbody></table>
III. GROUNDS FOR INITIATING THE EXAMINATION PROCEDURE
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>The Commission initiated the examination procedure for the following reasons:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>in reviewing the case, the Commission noted that the relevant measure appeared to directly constitute State aid, seeing that it was granted by the State (which forwent revenue by conceding a reduction of or exemption from the tax), favoured certain undertakings (in this case, primarily agricultural undertakings with permits for private extraction that were granted a relief from their financial burden, including in particular those that had the advantage of an exemption rather than a reduction), had the potential to affect trade and threatened to distort competition,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>it could not be concluded on the basis of the Danish authorities' statement that the<span>de minimis</span> regulations on the primary production (Commission Regulation (EC) No 1535/2007 <a>(<span>6</span>)</a>) or the processing/marketing (Commission Regulation (EC) No 1998/2006 <a>(<span>7</span>)</a>), respectively, of agricultural products were applicable or that the various tax levels were justified by the inherent logic of the tax system,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the aid element was not in accordance with either the relevant provisions of the Guidelines on State aid for environmental protection <a>(<span>8</span>)</a> (hereinafter referred to as the ‘Environmental Guidelines’) referred to in the Community guidelines for State aid in the agriculture and forestry sector 2007 to 2013 <a>(<span>9</span>)</a> or the provisions of the Temporary framework for State aid measures to support access to finance in the current financial and economic crisis <a>(<span>10</span>)</a> (hereinafter referred to as the ‘Temporary Crisis Framework’) referred to by the Danish authorities.</p></td></tr></tbody></table></td></tr></tbody></table>
IV. COMMENTS OF THE DANISH AUTHORITIES
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>In their email of 12 June 2012 the Danish authorities sent a new detailed description of the measure and its context, along with their own analysis of the measure. The main argument of the analysis set out below is that the measure does not constitute State aid under Article 107(1) TFEU, partly because it is not selective and partly because it can be justified by the nature and general scheme of the Danish tax system. It is also stated that even if the measure were to constitute State aid, it is compatible with the internal market. Finally, it is argued that even if the Commission were to find that any State aid were incompatible with the inner market, there are several factors to suggest that the aid does not need to be recovered.</p></td></tr></tbody></table>
No State aid
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>The Danish authorities do not agree with the Commission that the measure fulfils all the criteria for State aid under Article 107(1) TFEU. Specifically, they are of the opinion that the tax collected in accordance with Section 24b of the Consolidating Act (see recital 18) did not favour certain undertakings or the production of certain goods. Regarding the tax exemption in Section 24c, the authorities state that even if it were to constitute a selective advantage, this advantage would be so limited that it would be unable to distort competition or affect trade between Member States.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>In support of the first argument that the tax does not favour certain undertakings or the production of certain goods, the Danish authorities refer to the case-law of the Court of Justice of the European Union, from which it follows, firstly, that it is to be examined ‘whether, within the context of a particular legal system, that [State] measure constitutes an advantage for certain undertakings in comparison with others which are in a comparable legal and factual situation’ <a>(<span>11</span>)</a>, and secondly, that taxes and deductions that differentiate between undertakings, and which are therefore prima facie selective, do not fit the definition of State aid if this differentiation is due to the nature and overall structure of the tax system <a>(<span>12</span>)</a>. The Danish authorities argue, also on the basis of the case-law of the Court of Justice, that it should first be determined which system of norms or reference system should form the basis for examining the selective character of a measure, and that afterwards it should be examined whether some undertakings covered by the reference system gain an advantage over other undertakings covered by the same system.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>Taking this case-law as a basis, the Danish authorities thus argue that the Commission did not provide detailed reasoning in recital 15 of the opening decision but merely stated that the measure favoured certain undertakings (agricultural enterprises with private extraction permits for which the financial burden that would otherwise be applied was eased, including those enterprises that obtained an exemption instead of a reduction). They argue further that the Commission therefore seems to assume that the tax in Section 24a — the tax imposed on owners of public water utilities — forms the reference system for all other owners of water extraction systems, and that the latter are in a factual and legal situation comparable to that of the former and of the enterprises connected to a public utility, meaning that the exemptions and reductions in Section 24b constitute a selective advantage.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>The Danish authorities do not agree with the Commission on this point. They state that the tax under Section 24a cannot be seen as the reference system simply because it is higher than the taxes in Sections 24b and 24c. Moreover, the number of owners of public water utilities that are subject to the tax in Section 24a is much smaller than the number of owners of water extraction systems that are subject to the tax in Section 24b. According to the Danish authorities, two reference systems were created upon the introduction of the tax scheme in 2009: a<span>sui generis</span> system for owners of public water utilities (and indirectly for enterprises that are entitled to use water from these utilities) and a system that applies to all the other owners of systems for extracting groundwater.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>According to the Danish authorities, the coexistence of two reference systems means that the legal situation of the enterprises that pay tax under Section 24a is not comparable to the legal situation of the enterprises that pay tax under Section 24b or that benefit from the tax exemption under Section 24c, for the following reasons:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>owners of public water utilities, unlike the others, are required to supply drinking water and can pass the tax on to the price that users pay,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the users and enterprises located in the public utility's supply area cannot change providers,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>owners of public water utilities are not undertakings, given that the Court of Justice defines an undertaking as any entity engaged in an economic activity (i.e. offering goods or services), regardless of its form or legal status. Since the utility companies cannot expand their customer base, because users cannot change suppliers, there is no competitive market,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>in that context, taxable persons under Sections 24b and 24c cannot be considered to have obtained an advantage in comparison to those who are taxable persons under Section 24a, since the latter are not undertakings,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>those enterprises that receive water from the public water utilities pay taxes indirectly (see the first paragraph) and are taxed on the basis of their actual water consumption, unlike those enterprises that extract water themselves and are taxed on the basis of the permissible extraction volume without taking their actual consumption into account,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>owners of private water extraction systems must regularly request extraction permits, since the permit is valid for 10-15 years (15 years in the case of water for irrigation), which can result in excessive taxation, given that the tax is calculated using as a starting point the volume of water that can be extracted rather than the volume that is actually consumed,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>because the basis for taxation is different for public water utilities and for private water extraction systems, the lower tax paid by enterprises that extract water privately does not necessarily give them an economic advantage, for instance if the volume of precipitation in the course of a year reduces the need for irrigation, meaning that water consumption is less than the volume stated in the permit and on which taxes have been paid. According to data from the Jupiter database, which is administered by GEUS (Geological Survey of Denmark and Greenland), in the period 2009-2011 agricultural holdings used only 34 % of the volume for which extraction permits had been granted, while food processing enterprises used 48 % (however, this number is subject to a certain degree of uncertainty, given that primary producers are not required to measure the precise volume of water they extract),</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>while enterprises located in an area supplied by a public utility are entitled to connect to it, enterprises located outside such an area are entitled to establish their own water extraction system. However, the costs of establishing and operating the system as well as any water treatment are their own responsibility, and the same is true of the costs of the quality control which the municipality can require.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>The Danish authorities also stress that the factual situation of the enterprises that are taxable under Section 24a is not comparable to the factual situation of the enterprises that are taxable under Section 24b or that benefit from the tax exemption under Section 24c, for the following reasons:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>agricultural holdings that extract their own water do not directly compete with the enterprises that are connected to a public water utility. Their location means that nearly all of them own their own water extraction system, and even if some of them may be connected to a public water utility, those enterprises that use large volumes of water have a supplementary private extraction permit, ensuring that drinking water from the public water supply is used only for the household,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>many holdings and enterprises hold a permit for extracting surface water and as such are not subject to the tax on extracting groundwater <a>(<span>13</span>)</a>. Introducing a lower tax for agricultural holdings that extract groundwater evens out the differences between enterprises that extract groundwater and those that extract surface water and are therefore not subject to the tax,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the water quality also varies depending on whether an enterprise is connected to a public water utility or has a permit for private extraction. The public system is required to supply clean drinking water, whereas the amounts of pesticides, nitrates and bacteria in the water from private systems often exceeds the maximum limits, and holders of private permits therefore often have to invest DKK 10 000-50 000 to meet the legal requirements for drinking water.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>The Danish authorities argue that the Danish tax scheme does not distinguish between enterprises in different sectors that are in the same situation, but does distinguish between enterprises that own a water extraction system and those that do not. The Danish tax scheme does not distinguish between potentially substitutable processes or products placed on a competitive market, given that the extracted water is not subsequently placed on the market. The fact that primary producers, because of their location, cannot freely choose between private extraction and connection to a public utility also means that there is no potentially competitive environment or possibility of substitution between groundwater extracted for irrigation and drinking water supplied by the public utility to enterprises and citizens.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>In the view of the Danish authorities, it can therefore be concluded that the tax imposed on owners of public utilities did not confer a selective advantage on the enterprises entitled to extract their own water inasmuch as, in consideration of the tax's intended objective (protecting drinking water), there were no other enterprises or holdings that were in a comparable factual or legal situation or that were discriminated against.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>As regards the relationship between the enterprises that are taxable under Section 24b and those that are exempted from the tax under Section 24c, the Danish authorities recognise that those enterprises that are engaged in an economic activity and that have benefited from a tax exemption have enjoyed a competitive advantage as compared to their competitors that paid tax under Section 24b. However, they argue that this selectivity only applies with regard to those competitors and not with regard to enterprises that were directly taxed under Section 24a nor with regard to enterprises that were indirectly taxed via their water bills from a public utility and that were not in a comparable situation.</p></td></tr></tbody></table>
Justification by the nature and inherent logic of the tax system
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>If the Commission continues to maintain that the tax as it was applied favours certain undertakings despite the legal and factual differences, the Danish authorities are of the opinion that the derogations in the tax system can be justified by the tax system's nature and general scheme, and that the tax scheme therefore does not constitute State aid, even though they again recognise that there was discrimination between the enterprises that were taxed under Section 24b and those that were exempted under Section 24c. If the Commission maintains that the provisions of Section 24a are to be seen as the normal tax scheme, and that the measures laid down in Sections 24b and 24c constitute selective derogations, these derogations can be justified by the tax system's nature or inherent logic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(33)</p></td><td><p>In that context the Danish authorities state that the reduced tax paid by those other than owners of public water utilities can be justified not least by the fact that farmers and other owners of private water extraction systems must cover the costs connected to water extraction themselves and are not entitled to connect to a public utility if they are located outside the utility's supply area. They add that the objective of the tax is to fund efforts to protect and preserve drinking water resources and not to allow farmers to water their crops with drinking water. In the Danish authorities' view, this is sufficient to justify the discrimination that follows from the tax scheme and which rests on a series of factual and legal differences that comply with the scheme's objective.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(34)</p></td><td><p>With regard to the tax reduction and the ceiling of 25 000 m<span>3</span> on the calculation base in Section 24b, the Danish authorities state the following:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>this measure applied to all enterprises, regardless of size, location or sector,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the tax was reduced by two thirds on the basis of assumptions made at the time of introducing the scheme that effectively one third of the volume that was permitted to be extracted would be used. These assumptions have since been supported by data collected after the tax was introduced and showing that in the period 2009-2011 agricultural holdings in the primary sector had a utilisation rate of 34 % (enterprises engaged in the processing and marketing of agricultural products had a utilisation rate of 48 % in the same period, but since agricultural holdings in the primary sector account for more than 90 % of the permits issued, it was decided to apply the rate of 34 % for all beneficiaries in the interests of good administrative management of the system),</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>if the ceiling had not been introduced, the tax in Section 24b would have yielded DKK 60 million — more than double the amount that the tax in this paragraph was intended to generate in order to fund management planning — and the tax would have been less well distributed among farmers (ranging from EUR 80 to EUR 335 with the ceiling and from EUR 40 to EUR 35 000 without the ceiling). If the agricultural holdings had had to pay the full tax, instead of one third, the total amount collected just from primary agricultural production would have been DKK 138 million,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the ceiling makes it possible to maintain a certain degree of equal treatment between those enterprises that use surface water (free of tax) and those that use groundwater,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>given that the tax is calculated on the basis of the volume that is permitted to be extracted, and not on effective consumption, some enterprises would have paid a disproportionately high amount without the ceiling,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the ceiling makes it possible to impose a fixed amount to be paid by enterprises with permits for extracting more than 25 000 m<span>3</span> (61 % of agricultural holdings). This means that the advantage affects only the 39 % of enterprises holding permits for extracting less than 25 000 m<span>3</span> that have only paid part of the standard tax, and for which the advantage amounts to no more than EUR 250 per year — much less than the<span>de minimis</span> threshold,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the ceiling makes it possible to reduce the effect that natural conditions have on enterprises that produce the same products (for instance, weather conditions that have a different effect on the need for irrigation from one area to the next),</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>in the present case, water constitutes a production factor and is not itself a product. The Commission concluded in case N 472/2002 <a>(<span>14</span>)</a> on a permanent ceiling on land taxes that the ceiling was justified by the tax system's inherent logic — specifically on the basis of the land's key significance as a production factor in the agricultural sector,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the ceiling is neither materially nor regionally selective, given that it was applied to all undertakings in all sectors regardless of their size or water consumption, it did not depend on specific criteria (such as geographic criteria) that could exclude certain undertakings, and the authorities did not have discretionary powers to derogate from the rules for calculating the tax (see in this context the Commission's decisions in cases N 159/2009 and N 480/2007),</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>if the Commission should still be of the opinion that the ceiling is selective, this is justified by the tax system's inherent logic, given that 61 % of holders of permits for private water extraction paid the highest tax under Section 24b, and as such this amount should be considered to be the norm. The objective of the tax was to earn revenue for funding joint actions for protecting water, and the ceiling was introduced in order to avoid placing an undue economic burden on the sector and at the same time to ensure that the burden is fairly shared among producers of the same types of products whose need for water is affected by natural conditions (soil characteristics, precipitation),</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the ceiling can be justified on the basis of the provisions in the Commission notice on the application of the State aid rules to measures relating to direct business taxation <a>(<span>15</span>)</a>, given that it serves a redistributive purpose (point 24 of the Commission notice), does not contain any discretionary elements and is related to a particularly important production factor (point 27 of the Commission notice), all of which are circumstances that can justify the tax on the basis of the tax system's nature or inherent logic. In this context the Danish authorities again refer to the Commission's decision in case N 472/2002 and stress the importance of water as a production factor.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(35)</p></td><td><p>As regards the tax exemption in Section 24c and the differential treatment of enterprises in the same sector referred to in the opening decision, the Danish authorities argue that, on the basis of the tax system's structure, it was logical to grant an exemption from the tax to the many holders of permits for extracting smaller volumes of water, considering the insignificant yields the tax would contribute and the limited impact on water resources. Given that the tax was calculated on the basis of the volume that could theoretically be extracted according to the permit, the enterprises only had to pay EUR 81 in 2009, EUR 84 in 2010 and EUR 83 in 2011. Moreover, because the vast majority of the extraction permits only concern an average volume of 1 000 m<span>3</span> per year, the amount of the exemption was only EUR 40 for the entire period. In addition, holders of small extraction permits (maximum 6 000 m<span>3</span>) differ in that they are not subject to reporting obligations, with the result that there is no comprehensive register of permits that the tax administration can use.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(36)</p></td><td><p>With regard to the question on selectivity, the Danish authorities state in conclusion that it is exclusively the exemption in Segment 24c that can be considered to be selective, because it favours certain undertakings, but that in any case it is justified by the tax system's nature and inherent logic. They add that even if the Commission continues to consider the tax scheme in Section 24a as the reference system, this is not a case of discrimination considering the differences in factual and legal circumstances set out above.</p></td></tr></tbody></table>
Distortion of competition and effect on trade
<table><col/><col/><tbody><tr><td><p>(37)</p></td><td><p>In their emails dated 12 June 2012 and 7 November 2013 the Danish authorities address this issue from two angles: firstly, the tax scheme in Section 24a is compared to the schemes in Sections 24b and 24c; and secondly; the tax scheme in Section 24b is compared to the scheme in Section 24c.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(38)</p></td><td><p>With regard to the first comparison, the Danish authorities stress that if a national measure does not confer a selective advantage, it cannot distort competition or affect trade between Member States. Having, demonstrated, as they see it, that the tax reduction or exemption does not favour the recipients in relation to other enterprises which can be presumed to be in a comparable factual or legal situation, they consider that there can be no distortion of competition within the meaning of Article 107(1) TFEU.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(39)</p></td><td><p>With regard to the second comparison, the Danish authorities recognise that the enterprises that are exempted from the tax have received an advantage in comparison to other enterprises, but they argue that the value of the exemption is so insignificant that it does not affect competition on the internal market. This is substantiated, in their view, by the fact that no enterprise has submitted any complaint. In addition, the Danish authorities are of the opinion that it is for the Commission to prove that an aid measure distorts competition. In that context they refer to the Judgment of the Court of 24 October 1996 in case C-329/93,<span>Federal Republic of Germany, Hanseatische Industrie-Beteiligungen GmbH and Bremer Vulkan Verbund AG</span> v<span>Commission of the European Communities</span> <a>(<span>16</span>)</a>, and in particular paragraph 52, in which it is stated that ‘while in certain cases the very circumstances in which the aid has been granted may show that it is liable to affect trade between Member States and to distort competition, the Commission must at least set out those circumstances in the statement of the reasons for its decision’. According to the Danish authorities, in its opening decision the Commission simply stated the extent of Denmark's trade in agricultural products and it has therefore not sufficiently justified its view that the tax scheme threatens to distort competition and trade on the internal market. To illustrate the exemption's limited value, the Danish authorities point out that an enterprise that was granted a tax exemption for the maximum volume (6 000 m<span>3</span>) received aid in the amount of DKK 610 (approximately EUR 81) in 2009, DKK 630 (approximately EUR 84) in 2010 and DKK 620 (approximately EUR 83) in 2011 as compared to enterprises that received a reduction under Section 24b. Moreover, the majority of the exempted holdings only have extraction permits for 1 000 m<span>3</span>, which makes the value of the exemption even more insignificant. Given that the tax was repealed on 1 January 2012, the beneficiary holdings could receive a maximum of EUR 250 in aid compared to those that exclusively had the advantage of a reduction. All amounts are below the threshold laid down in the<span>de minimis</span> regulations for both primary agricultural production and food processing and therefore do not distort competition.</p></td></tr></tbody></table>
Compatibility
(a) Primary production
<table><col/><col/><tbody><tr><td><p>(40)</p></td><td><p>The Danish authorities state in its analysis that any aid in relation to the tax schemes in Sections 24b and 24c is in any case compatible with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(41)</p></td><td><p>With regard to the tax reduction in Section 24b, the Danish authorities are of the opinion that points 151 to 159 of the Environmental Guidelines have been complied with, insofar as the tax is an environmental tax a reduction of which is necessary and proportionate in all scenarios (i.e. regardless of whether the reference system for the analysis is constituted by the tax scheme in Section 24a or by the tax scheme in Section 24b, in which case the ceiling of 25 000 m<span>3</span> can be considered to favour holders of an extraction permit for more than 25 000 m<span>3</span>.</p></td></tr></tbody></table>
Environmental tax (point 151 of the Environmental Guidelines)
<table><col/><col/><tbody><tr><td><p>(42)</p></td><td><p>To show that the tax has the characteristics of an environmental tax, the Danish authorities refer to the tax scheme's overall objective, namely protecting drinking water. They stress that the Danish measure goes further than the obligations under the Water Framework Directive and might not have an equivalent in any other Member State. They add that the scheme was set up in such a way that the largest contributors (owners of water utilities) could pass the tax on to users on the basis of their consumption, thereby giving them an incentive to consume less. By introducing tax reductions and exemptions for those who extract their own water, the Danish authorities believe that they have been able to tax more effectively the largest consumers of drinking water.</p></td></tr></tbody></table>
Necessity of the aid (point 158 of the Environmental Guidelines)
<table><col/><col/><tbody><tr><td><p>(43)</p></td><td><p>Regarding the criterion in point 158(a) of the Environmental Guidelines (according to which the choice of beneficiaries must be based on clear and objective criteria, and the aid must be granted in principle in the same way for all competitors in the same sector/relevant market if they are in a similar factual situation), the Danish authorities dispute the Commission's argument that they should have made a distinction between economic operators outside the agricultural sector with water extraction permits and economic operators within the agricultural sector. The aim of the tax scheme is not to distinguish between enterprises within or outside certain sectors; but for the tax in Section 24b to apply to all owners of non-public water supply systems with permits to extract more than 6 000 m<span>3</span> of groundwater per year, regardless of their economic sector. If the ceiling of 25 000 m<span>3</span> is considered to favour holders of extraction permits for more than 25 000 m<span>3</span>, the criterion of objectivity and clarity in the selection of beneficiaries is clearly met, given that the tax reduction is applied in the same way for all enterprises in the same sector that are in the same factual situation (holders of an extraction permit for more than 25 000 m<span>3</span> of water).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(44)</p></td><td><p>With reference to the criterion of objectivity and clarity prior to the selection of beneficiaries, the Danish authorities query why the Commission is looking at enterprises in other Member States that do not have the same advantage as the Danish enterprises receiving a reduction or exemption, given that those foreign enterprises are not subject to the Danish tax scheme. They refer to the Commission's decision in case C-30/2009 <a>(<span>17</span>)</a>, in which the Commission found the criteria to be objective and clear.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(45)</p></td><td><p>Regarding the criterion in point 158(b) of the Environmental Guidelines (which provides that the environmental tax without reduction must lead to a substantial increase in production costs for each sector or category of individual beneficiaries), the Danish authorities quote tax administration figures showing that enterprises in the primary sector paid a total of DKK 26 million in tax per year under Section 24b in the period 2009-2010; they argue that these enterprises would have paid approximately DKK 138 million per year if they had been subject to the same tax as owners of public water utilities, i.e. 430 % more for the sector as a whole. The Danish authorities provide a numerical example of production costs, which shows that the additional costs per hectare amount to approximately DKK 347, i.e. an increase in production costs of between 4,3 % and 7,7 % depending on the crop. This calculation is based on a hypothetical agricultural holding of 100 hectares with an extraction permit for 1 200 m<span>3</span> per hectare and that pays a tax of DKK 0,31 per hectare, which, assuming the full tax is paid, would result in a total tax of DKK 37 200 (100 × 1 200 × 0,31), i.e. additional costs of DKK 34 700, or DKK 347 per hectare, as the holding would have to pay DKK 2 500 with a ceiling of 25 000 m<span>3</span> (see Section 24b). They are of the opinion that an increase in production costs of up to 8 % is substantial (here they refer to Commission Decision on State aid N 327/2008 <a>(<span>18</span>)</a>, in which an increase in production costs of 3 % was considered substantial) and gives reason to conclude that the criterion in point 158(b) of the Environmental Guidelines has been met. Moreover, the Danish authorities are of the opinion that the same logic can be followed in the context of the 25 000 m<span>3</span> ceiling. Without this ceiling, the tax would have resulted in an increase in production costs of between 1,25 % and 2,20 %. While it is true that this is a smaller increase than the one discussed in the Decision in case N 327/2008, it must be seen in light of the fact that it is impossible to pass it on to consumers (see the following recital).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(46)</p></td><td><p>Finally, as regards point 158(c) of the Environmental Guidelines (according to which the aid is considered necessary if the substantial increase in production costs cannot be passed on to customers without leading to important sales reductions), the Danish authorities are of the opinion that regardless of which reference scenario is used as a basis (see recital 41), the primary producers cannot pass the increase in production costs on to the consumers but must cover the loss themselves: firstly, because water used for irrigation in soil needing a great deal of water will be used for widely varying types of crops without improving their quality compared to crops not grown in soil needing irrigation; and secondly, because the relevant products are also imported into Denmark in high volumes and the prices are therefore set on the global market, in which Danish farmers have a very small market share due to the size of their holdings, and as such it is difficult for them to pass on the additional costs via the sales price. According to the Danish authorities, the farmers would have been forced to extract less water if they had had to pay the full tax, resulting in a smaller crop yield and lost income. Together with the fallout from the financial crisis, which made farmers even more vulnerable to increasing production costs, this would have distorted competition between farmers with a high need for irrigation and those with a lower or no need for irrigation.</p></td></tr></tbody></table>
Proportionality of the aid (section 159 RFG)
<table><col/><col/><tbody><tr><td><p>(47)</p></td><td><p>The Danish authorities refer to point 159 of the Environmental Guidelines, which contains three conditions, at least one of which must be met in order to comply with the proportionality requirement. They rely particularly on point 159(b), given that it is not possible to carry out an<span>ex post</span> inquiry into whether the conditions in sub-points (a) and (c) have been met. According to point 159(b), aid beneficiaries have to pay at least 20 % of the national tax, unless a lower rate can be justified in view of a limited distortion of competition.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(48)</p></td><td><p>The Danish authorities argue that since the tax in Section 24b constitutes one third of the tax in Section 24a and enterprises were exempted from paying tax on volumes exceeding the ceiling of 25 000 m<span>3</span>, enterprises with an extraction permit for at least 41 666 m<span>3</span> paid at least 20 % of the tax in Section 24a. However, they also take the view that the water supply companies cannot be considered undertakings under the State aid rules, and that agricultural holdings do not compete either with food processing enterprises or with owners of public water utilities. A comparisons can only be made between enterprises with a permit for water extraction and enterprises that, lacking such a permit, must connect to public utilities. The former were taxed on the basis of the volume they were permitted to extract, while the latter were taxed on the basis of their actual consumption, which makes it difficult to check whether 20 % of the tax was paid. However, if the utilisation rate of permits held by agricultural holdings (34 %) and by processing enterprises (48 %) are looked at together, along with the average volume for which they were issued (respectively 37 000 m<span>3</span> and 243 000 m<span>3</span>) and the utilisation rate for public utilities (80 %), it emerges that a primary producer (based on actual consumption) has on average paid approximately 45 % of the tax paid by enterprises without an extraction permit, while the figure for processing enterprises is 6 %. If the tax scheme in Section 24b is used as a reference scenario, and a comparison is made between holders of an extraction permit for at least 25 000 m<span>3</span> of water and holders of an extraction permit for more than 25 000 m<span>3</span>, it emerges that 97,5 % of beneficiaries have paid at least 20 % of the normal tax. The Danish authorities acknowledge that the criterion of 20 % applies to individual enterprises, but are still of the opinion that the Commission ought to take the average into account in its assessment of the proportionality requirement and to consider that prior to 2009 there was no tax on water extraction. According to the Danish authorities, if the tax scheme had had no ceiling it would have created a much greater distortion of competition in the agricultural sector, given that the enterprises that had received a permit for extracting large volumes before the tax was introduced would have paid the full tax for that volume, regardless of their actual consumption. Finally, agricultural holdings in the other Member States are not subject to the same tax as the Danish enterprises, and it is therefore difficult to determine how the latter could have gained a competitive advantage.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(49)</p></td><td><p>The Danish authorities state as their general conclusion that the tax is proportionate, even if not all enterprises paid at least 20 % of the tax.</p></td></tr></tbody></table>
(b) Processing of farm products
<table><col/><col/><tbody><tr><td><p>(50)</p></td><td><p>The Danish authorities acknowledge that they cannot prove that the criterion of necessity in point 158 of the Environmental Guidelines was met in all cases where food processing enterprises with extraction permits received aid as a result of the tax reduction in Section 24b. However, they are able to prove that by virtue of the tax reduction, the five enterprises with the largest extraction permits received average annual aid with a grant equivalent of between DKK 245 417 (approximately EUR 32 700) and DKK 456 217 (approximately EUR 60 000) as compared to the enterprises that were connected to a public water utility. They stress, however, that these figures do not give a realistic picture of the beneficiaries' advantage, and that they ought to be considered against the processing enterprises' actual water consumption (the permit utilisation rate was 48 %). By considering them in this way, the grant equivalent is between DKK 143 337 (approximately EUR 19 100) and DKK 267 369 (approximately EUR 35 650) per year, and it is even lower if the tax in Section 24b is applied as a reference scenario.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(51)</p></td><td><p>The Danish authorities point out that all these figures are under the<span>de minimis</span> threshold of EUR 200 000 for aid for the processing of agricultural products. They acknowledge that there may be enterprises that exceed the threshold if all other<span>de minimis</span> aid granted over three financial years is taken into account, but they are of the opinion that in that case the Commission ought to consider the aid as compatible with the internal market on the basis of the Temporary Crisis Framework. This framework makes it possible to grant aid of up to EUR 500 000 to enterprises that process agricultural products, but the Danish authorities have not applied it. According to the Danish authorities, an enterprise that has already received EUR 200 000 in<span>de minimis</span> aid can still receive EUR 300 000 within the context of the Temporary Crisis Framework.</p></td></tr></tbody></table>
Exemption
<table><col/><col/><tbody><tr><td><p>(52)</p></td><td><p>The Danish authorities state that the tax exemption in Section 24c is a derogation from the provisions of Section 24b, which can be considered to constitute the reference system. However, if the Commission considers that Section 24c is a derogation from Section 24a, the exemption does not in any case constitute State aid under Article 107(1) TFEU, and if the Commission considers that the exemption constitutes State aid, it should be considered compatible with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(53)</p></td><td><p>The Danish authorities argue that enterprises entitled to extract at least 6 000 m<span>3</span> did not receive more than EUR 250 in aid if the exemption is considered a derogation from the provisions of Section 24b, or more than EUR 750 in aid if it is considered a derogation from the provisions of Section 24a (the tax in Section 24b is only one third of the tax in Section 24a). They also point out that the measure is to be assessed on the basis of the applicable<span>de minimis</span> rules, and that the compatibility of any unlawful aid is to be assessed on the basis of the provisions that were applicable at the time the aid was granted. In this context, they again refer to the Temporary Crisis Framework and stress that the Commission cannot refuse to apply those guidelines in this case in view of the fact that the aid was not granted within the context of an approved aid scheme, and that the Danish authorities had not collected statements from beneficiaries of other<span>de minimis</span> aid as they would have been required to do before applying the relevant measure. Should the Commission maintain that these formal conditions must be fulfilled, the principles for assessing unlawful aid would become meaningless, since the defining characteristic of non-notified State aid is precisely that the formal conditions for the aid's lawfulness have not been fulfilled. In that case, non-notified aid would never be able to be declared compatible with the internal market, nor would aid exempted from the reporting obligation as a result of a block exemption regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(54)</p></td><td><p>Therefore the Danish authorities are of the opinion that the exemption ought to be declared compatible with the internal market — provided that the aid thresholds under the Temporary Crisis Framework (EUR 500 000 for food processing enterprises and EUR 15 000 for primary producers, including<span>de minimis</span> aid) are not exceeded — and that the Commission de facto ought to raise the<span>de minimis</span> ceiling when assessing the exemption's compatibility. Considering that the aid amounted to between EUR 250 and EUR 750, the aid thresholds under the Temporary Crisis Framework could not possibly have been exceeded in the period 2009-2011, not even for food processing enterprises and primary producers that had already received the maximum<span>de minimis</span> aid for the same period. The Danish authorities acknowledge that the formal conditions for granting<span>de minimis</span> aid or compatible aid under the Temporary Crisis Framework were not fulfilled, but because Denmark did not apply the Framework at that time, and given that the aid amounts did not exceed EUR 750, there is no risk of exceeding the ceilings in the case of subsequent application of the Framework.</p></td></tr></tbody></table>
Recovery
<table><col/><col/><tbody><tr><td><p>(55)</p></td><td><p>The Danish authorities argue that even if the Commission were not to accept the arguments claiming that the tax scheme did not involve unlawful and incompatible State aid, it ought not to require recovery of the aid from the beneficiaries, because the aid has a minimal effect on competition, recovery would not restore a normal situation, the beneficiaries had legitimate expectations and it is utterly impossible to carry out a recovery that ensures equal treatment of all enterprises.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(56)</p></td><td><p>As far as the first argument is concerned, the Danish authorities state that all enterprises that were in the same factual and legal situation were treated equally, and therefore the risk of distorting competition is minimal and purely theoretical. Moreover, the tax ceiling for holders of extraction permits has contributed to maintaining a level playing field in e.g. the primary production sector, inasmuch as it prevented a disproportionate increase in production costs for those producers that had a greater need for irrigation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(57)</p></td><td><p>With regard to the second argument, the Danish authorities stress that a recovery would not restore the competitive situation prior to 2009, given that the primary producers did not enjoy a competitive advantage as compared to their domestic competitors or competitors in other Member States, but only compared to enterprises in other sectors that are supplied with water from a public utility. Recovery would have the biggest impact on those with the greatest need for irrigation due to random weather conditions and soil conditions, and it would therefore not be the aid's potential effects on competition but rather purely external factors that would determine the size of the amount recovered. Moreover, recovery would have resulted in distortion of competition to the benefit of those able to extract surface water (free of tax) instead of groundwater for the same production, which would be in contravention of the provisions of Article 14(2) of Council Regulation (EC) No 659/1999 <a>(<span>19</span>)</a>. Finally, a recovery would cause irreparable and disproportionate harm in relation to the measure's limited effect on competition.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(58)</p></td><td><p>With regard to the beneficiaries' legitimate expectations, the Danish authorities stress that the vast majority of the potential beneficiaries could not possibly have anticipated that the scheme could give them an advantage according to State aid rules, in particular because there are no comparable taxes in other Member States. Moreover, no Danish or foreign enterprises have ever submitted a complaint about the tax scheme. Furthermore, given that water extraction permits are normally issued for a period of 10 to 15 years, most beneficiaries had not had a chance to take the tax into account when they applied for a permit, and a recovery on the basis of the permit's size would not take such unpredictable circumstances into account.</p></td></tr></tbody></table>
Infeasible to carry out an effective recovery that treats all enterprises equally
<table><col/><col/><tbody><tr><td><p>(59)</p></td><td><p>Finally, the Danish authorities argue that it would be difficult to carry out an effective recovery, seeing that it is not possible to calculate the grant equivalent for every single beneficiary. This is because it is impossible to determine their actual consumption during the period 2009-2011<span>ex post</span>. Moreover, in Denmark there is no common reference framework for calculating the grant equivalent for all enterprises, and the tax that the enterprises using public utilities have paid indirectly varies depending on the utilisation rate of the individual utility, meaning that enterprises in the same category may have been charged different taxes. An effective equalisation would require recalculating the tax on water extraction for all enterprises on the basis of their actual consumption in the period 2009-2011 and on the basis of an arbitrary but uniform rate, with the result that any excess tax would have to be repaid and that enterprises that had not paid enough would have to pay arrears. However, this is not a feasible model, seeing that in most cases it is impossible to determine the exact consumption for enterprises with private extraction.</p></td></tr></tbody></table>
V. COMMENTS FROM THE INTERESTED PARTY
<table><col/><col/><tbody><tr><td><p>(60)</p></td><td><p>The interested party is of the opinion that this tax scheme does not constitute State aid to those enterprises, given that the tax reductions or exemptions are not selective and do not affect competition. Even if the Commission were to consider that the scheme constitutes State aid, it is in compliance with the provisions of the Environmental Guidelines. Furthermore, if the State aid should be declared unlawful and incompatible, recovering it would be in contravention of the general principles of law. The farmers could not have anticipated that they received unlawful State aid, and a recovery would be disproportionate, seeing that most producers do not use the entire volume they are permitted to extract. Moreover, no enterprise or organisation in Denmark or abroad has submitted a complaint stating that the tax differentiation would distort competition.</p></td></tr></tbody></table>
VI. THE DANISH AUTHORITIES' ANSWER TO THE INTERESTED PARTY'S COMMENTS
<table><col/><col/><tbody><tr><td><p>(61)</p></td><td><p>The Danish authorities stated, by email dated 2 July 2012, that the interested party agreed with them and stressed that the fact that no other enterprise or organisation had sent comments showed that the scheme did not affect competition on the internal market.</p></td></tr></tbody></table>
VII. ASSESSMENT
VII.1. Existence of State aid
<table><col/><col/><tbody><tr><td><p>(62)</p></td><td><p>Under Article 107(1) TFEU, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods is, in so far as it affects trade between Member States, incompatible with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(63)</p></td><td><p>In the context of the examination procedure, the Commission found, on the basis of the available information, that the relevant measure could constitute State aid, given that it was granted by the State (which forwent revenue by conceding a reduction of or exemption from the tax), favoured certain undertakings (primarily agricultural holdings with permits for private extraction that were granted a relief from their financial burden, including in particular those that had the advantage of an exemption rather than a reduction), had the potential to affect trade <a>(<span>20</span>)</a> and threatened to distort competition <a>(<span>21</span>)</a>. The Commission also stated that there was no guarantee that the measure could be considered compatible with a<span>de minimis</span> aid scheme (see recital 21). The information submitted by the Danish authorities still does not enable the Commission to conclude that the relevant measure could be considered compatible with a<span>de minimis</span> aid scheme. The Danish authorities themselves have stated that for the agricultural product processing sector, the provisions relating to<span>de minimis</span> aid might not have not been complied with (see recital 51). Regarding the sector for primary production, the Danish authorities have not provided any evidence that the aid granted in the form of reductions or exemptions could not possibly have resulted in the relevant ceilings being exceeded over three financial years. In light of this the Commission cannot conclude that the measure can be considered compatible with a<span>de minimis</span> aid scheme. Therefore it should be definitively established whether the relevant measure constitutes State aid on the basis of the other applicable State aid rules.</p></td></tr></tbody></table>
Existence of a selective advantage
<table><col/><col/><tbody><tr><td><p>(64)</p></td><td><p>To be considered State aid, a measure must be selective and confer an advantage by favouring certain undertakings or the production of certain goods.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(65)</p></td><td><p>In the context of tax measures, the selectivity is constituted by a derogation from a reference system. In the case at hand, the Danish Consolidating Act constitutes special tax treatment (a tax reduction or exemption) for holdings with extraction permits for volumes above or below specific levels.</p></td></tr></tbody></table>
Prima facie selectivity in the case of tax reduction by one third for holders of an extraction permit (Sections 24a and 24b)
<table><col/><col/><tbody><tr><td><p>(66)</p></td><td><p>It follows from recital 64 that in order to be considered State aid, a measure must be selective and favour certain undertakings or the production of certain goods.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(67)</p></td><td><p>Point 128 of the Commission Notice on the notion of State aid as referred to in Article 107(1) of the Treaty on the Functioning of the European Union <a>(<span>22</span>)</a>, which replaces the Commission Notice on the application of the State aid rules to measures relating to direct business taxation, establishes the principles following from the case-law of the Court of Justice which state that in order to determine whether a measure constitutes State aid or not under Article 107(1) TFEU, it is necessary to determine the common scheme (the reference system), that afterwards it should be examined whether the measure concerned constitutes a derogation from that scheme by distinguishing among different economic operators which are in a comparable factual and legal situation in light of the scheme's intrinsic objective, and finally that it should be determined whether the derogation is justified by the common scheme's nature and overall structure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(68)</p></td><td><p>Furthermore, it follows from the case-law of the Court of Justice <a>(<span>23</span>)</a> that ‘As regards the assessment of the condition of selectivity, which is a constituent factor in the concept of State aid, it is clear from settled case-law that Article 87(1) EC requires assessment of whether, under a particular statutory scheme, a State measure is such as to ‘favour certain undertakings or the production of certain goods’ in comparison with other undertakings which are in a legal and factual situation that is comparable in the light of the objective pursued by the measure in question’ <a>(<span>24</span>)</a>. In this case, therefore, it must be determined whether the enterprises with extraction permits (primarily active in the agricultural sector) that had the advantage of a tax reduction under Section 24b were in a factual or legal situation comparable to that of enterprises that were connected to a public utility and paid an indirect tax passed on to them by the owners of the public utility which, according to Section 24a, were required to pay the full tax under Section 24. In the context of the examination procedure the Danish authorities referred specifically to the factual and legal situation by invoking a judgment of the Court of Justice (see recital 24 and the footnote on page 11) that was not mentioned in footnote 23 but which still refers to the same principles as those in the recital named. Moreover, the Danish authorities argue that the various rates and the tax base (tax on the volume actually consumed which is collected indirectly from the economic operators as regards Section 24a and collected as direct tax on the volume for which a permit was issued, regardless of actual consumption, as regards Section 24b and adjusted by Section 24c), mean that the economic operators that are indirectly taxed under Section 24a are not in a comparable factual and legal situation to those that are directly taxable under Section 24b. This would imply that there are two distinct tax schemes (one under Section 24a and another under Sections 24b and 24c), and that the relevant reference system for determining whether they entail State aid should be the tax scheme under Section 24b.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(69)</p></td><td><p>The Commission notes that the objective of the tax was to collect sufficient revenue for surveys in preparation of management planning for areas that are particularly important to the drinking water supply in Denmark. All enterprises that consume water ought therefore in principle to be subject to the same payment obligation. It is therefore the introduction as such of the tax in Section 24 that, in combination with the obligation under Section 24a for enterprises connected to a public utility to pay the full tax, should form the primary reference point for determining whether the scenarios under Sections 24b and 24c entail State aid, regardless of what conclusions are drawn relating to the necessity of applying further reference points for examining any State aid associated with a given scenario.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(70)</p></td><td><p>Regarding Section 24b, any selectivity needs to be assessed at two levels: firstly in the context of payment of a third of the tax under Section 24b, and secondly in the context of the tax reduction that follows from the ceiling set on a volume of 25 000 m<span>3</span> together with the exemption for permits for a maximum of 6 000 m<span>3</span>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(71)</p></td><td><p>As already mentioned, in order to qualify as State aid a measure must be selective and favour certain undertakings or the production of certain goods (see recital 64). As the Danish authorities have stated (see recital 24), it also needs to be considered whether, in light of the measure's objective, the relevant measure entails discrimination between enterprises that are in a comparable factual and legal situation based on the case-law of the Court of Justice <a>(<span>25</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(72)</p></td><td><p>In that context the Commission particularly points out that according to the information from the Danish authorities, the scheme in Section 24a constitutes taxation of effective consumption, whereas the tax in Section 24b is based on the volume permitted to be extracted (however, the volume of water permitted to be extracted is seldom entirely consumed — see the information in the seventh paragraph of recital 27). Likewise, the last paragraph of recital 27 and the second and third paragraphs of recital 28 state that the differences in location (inside or outside the area supplied by a public utility) can necessitate different supply methods, and that the water quality varies depending on the scenario, given that the water that is taxed in the first scenario (Section 24a) is drinking water, whereas the enterprises in the second scenario, which have to pay tax on groundwater with an eye to funding the protection of drinking water (Section 24b), are located side by side with many holdings that are not subject to the tax because they extract surface water and must pay the costs themselves for checking water quality and maintaining water extraction systems, costs which are included in the invoices for the enterprises in the first scenario.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(73)</p></td><td><p>A measure's selective character should, however, be assessed in light of the objective to be achieved (see recital 68 and footnote 24), which in the present case is to carry out surveys in preparation of management planning for areas that are particularly important to the drinking water supply. It can therefore be determined that, in consideration of the established objective, all enterprises ought to be subject to the same taxation in order for the measure not to be considered as selective (see recital 69). The Commission can therefore only conclude that reducing the tax by two thirds under Section 24b is selective.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(74)</p></td><td><p>The Danish authorities' other arguments do not call this conclusion into question: specifically, the argument in recital 26 relating to the difference in the number of owners of public water utilities and owners of private water supply systems is not sufficient in and of itself to justify the differences in the legal and factual situation covered by the two tax systems, given that in both cases it is the consumers who pay the tax, either indirectly in the first case because it is passed on in the price, or indirectly [<span>sic</span>] in the other case. The argument that owners of public water utilities are not undertakings because they do not exercise an economic activity (see the third and fourth paragraphs of recital 27) is not applicable either, given that the Danish authorities themselves stress that an economic activity is defined as offering goods or services, and that water extraction and supply are indeed constituted by offering a service, i.e. they constitute an economic activity. The Danish authorities argue, therefore, that it is not the differences in the factual and legal situation between owners of public water extraction systems and owners of private extraction systems that need to be considered, but rather the differences between enterprises that are connected to a public utility and enterprises active in the same sector that own their own extraction system.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(75)</p></td><td><p>It should therefore be examined whether the measure, despite the selectivity that follows from its application to specific enterprises, confers an economic advantage on those enterprises. Regarding this, the Commission notes that the enterprises that pay only one third of the tax are taxed on theoretical consumption as indicated in the extraction permit, whereas the enterprises that pay the full tax are taxed on the basis of actual water consumption. It also points out that according to the Danish authorities, the owners of private systems have only consumed one third (34 % — see recital 34) of the water volumes that are covered by the extraction permit. In consideration of this fact, the Commission finds that the reduction by two thirds of the tax serves to compensate for the effects of the difference between taxation of actual consumption and taxation on the basis of the volume listed in the extraction permit. Without this reduction, moreover, the amount collected would have far exceeded the funding needs in connection with surveys of and management planning for areas that are particularly important to the drinking water supply. In consideration of this, the Commission concludes that the reduction by two thirds of the tax under Section 24b does not constitute an economic advantage for the enterprises concerned and therefore does not constitute State aid under Article 107(1) TFEU.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(76)</p></td><td><p>It must therefore be determined whether the scenario under Section 24b contains an element of aid in the context of the ceiling for the reduced tax set at a volume of 25 000 m<span>3</span>, and in the context of the exemption for permits for a maximum of 6 000 m<span>3</span>.</p></td></tr></tbody></table>
Tax ceiling set at 25 000 m 3
<table><col/><col/><tbody><tr><td><p>(77)</p></td><td><p>Regarding the existence of State aid in the context of the tax ceiling set at 25 000 m<span>3</span>, the Danish authorities cannot invoke the differences in the enterprises' legal and factual situation, given that enterprises with a permit for extracting more than 25 000 m<span>2</span>, which have the advantage of the ceiling, are subject to the same reference system as enterprises with a permit for extracting a maximum of 25 000 m<span>3</span> (payment of one third of the tax in Section 24) which are located in the same area. Furthermore, the Danish authorities' argument, that the analysis of the degree to which there is an advantage must take as its basis the enterprises that pay taxes on a volume of no more than 25 000 m<span>3</span>, rather than those that hold an extraction permit for more than 25 000 m<span>3</span> but which exclusively pay tax above 25 000 m<span>3</span>, cannot be accepted, because recital 18 clearly states that, according to Section 24b, everyone pays one third of the tax in Section 24 as a norm. Moreover, setting a ceiling at 25 000 m<span>3</span> constitutes a<span>lex specialis</span>, which de facto derogates from the principle of paying one third of the tax (inasmuch as the higher the volume of water permitted to be extracted, the lower the tax will be in relative terms). This derogation therefore directly gives rise to selectivity in the scheme, and it confers on enterprises with an extraction permit for more than 25 000 m<span>3</span> an advantage compared to enterprises with an extraction permit for a maximum of 25 000 m<span>3</span> even if all the enterprises subject to Section 24b are in the same factual and legal situation, given that they all have permits to use a private water extraction system and are subject to the same tax before the ceiling is applied.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(78)</p></td><td><p>Therefore, more careful consideration should be given to the Danish authorities' argument that the ceiling is justified by the tax scheme's inherent logic. Currently the relevant case-law is included in the Commission Notice on the notion of State aid as referred to in Article 107(1) of the Treaty on the Functioning of the European Union, but at the time that the aid was granted, the relevant provisions were found in the Commission Notice on the application of the State aid rules to measures relating to direct business taxation (hereinafter referred to as the ‘former Notice’).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(79)</p></td><td><p>According to point 23 of the former Notice, the differential nature of some measures does not necessarily mean that they must be considered to be State aid. This is explained in more detail in point 24, which states that the progressive nature of an income tax scale or profit tax scale is justified by the redistributive purpose of the tax. The Danish authorities state that establishing the ceiling at 25 000 m<span>3</span> follows this logic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(80)</p></td><td><p>The Commission does not agree with this view. Introducing a tax ceiling for the largest volumes certainly does not bring about a higher tax rate for those holding permits to extract the largest volumes of water. On the contrary, due to the ceiling they can pay an amount that is lower (even significantly lower) than what they would have paid without the ceiling. The redistributive purpose is more or less turned on its head, even if it is interpreted<span>mutatis mutandis</span>, because it is ultimately those holding extraction permits for more than 6 000 m<span>3</span> and less than 25 000 m<span>3</span> that pay the most proportionately. Therefore, in this case there is no progressive tax scale.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(81)</p></td><td><p>Nor can the Commission accept the Danish authorities' reference to point 27 in the Notice on the application of the State aid rules to measures relating to direct business taxation (according to which specific provisions that do not contain discretionary elements may be justified by the nature and general scheme of the system where, for example, they take account of specific accounting requirements or of the importance of land in assets which are specific to certain sectors, and therefore they do not constitute State aid); for the same reason it cannot accept the reference to State aid case N 472/2002 (see the last paragraph of recital 34). Firstly, the absence of a discretionary element does not automatically mean that there is no selectivity. Furthermore, the Commission points out that the objective of the land tax ceiling, which case N 472/2002 concerned, was to limit the consequences of the general increase in land values in Denmark, which would affect the tax level for all economic operators in the agricultural sector, while in the present case only some of the economic operators in the agricultural sector (those that hold extraction permits for more than 25 000 m<span>3</span> of water) have benefited from the measure. In the light of the above information, the Commission does not consider the conditions in points 24 and 27 of the former Notice to have been sufficiently met. Therefore the Commission concludes that the tax ceiling in Section 24b is not justified as a consequence of the system's nature or inherent logic, and that it is therefore selective.</p></td></tr></tbody></table>
Tax exemptions for permits for a maximum of 6 000 m 3
<table><col/><col/><tbody><tr><td><p>(82)</p></td><td><p>As regards the full tax exemption for holders of an extraction permit for a maximum of 6 000 m<span>3</span> per year, the Danish authorities themselves acknowledge that the measure is selective in the sense that it confers an advantage on certain enterprises. The Danish authorities emphasise, however, the insignificant size of the amount that would have to be paid in the absence of this exemption (see recital 35) and therefore they justify the exemption on the grounds of the scheme's administrative management. The Commission notes that the unpaid amounts are very modest, and also acknowledges that collecting insignificant amounts, such as the amounts in this case, would have resulted in a significant administrative burden with disproportionately high costs (administrative measures would have to be taken in connection with approximately 75 000 permits in order to collect individual amounts of approximately EUR 40 per year (see recitals 19 and 35). The very objective of a tax scheme, however, is to give a State the opportunity to create revenue, and not to squander resources only to end up not collecting any or even registering a loss. At the same time, the absence of a reporting obligation for smaller permits would have made it necessary to carry out full administrative checks, which, again, would have resulted in significant costs. On that basis, the Commission can conclude that the full tax exemption on extraction permits for a maximum of 6 000 m<span>3</span> is justified by the Danish tax system's nature and inherent logic, and that it therefore does not entail selectivity nor does it constitute State aid under Article 107(1) TFEU.</p></td></tr></tbody></table>
State resources, imputability to the State and effect on trade and competition between Member States in the context of the tax ceiling set at 25 000 m 3
<table><col/><col/><tbody><tr><td><p>(83)</p></td><td><p>The other characteristics of State aid referred to in the opening decision are still present in the context of the tax ceiling set at 25 000 m<span>3</span>. The aid is funded with State resources, given that the State forgoes revenue by establishing a tax ceiling which favours certain undertakings (those with extraction permits for more than 25 000 m<span>3</span>) and which can affect trade in consideration of their large number (see footnote 20) and distort competition (see footnote 21), in particular because beneficiaries were able to use the unpaid amounts for other purposes related to their economic activity.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(84)</p></td><td><p>These observations, and in particular the case-law listed in footnote 21, therefore undermine the substance of the Danish authorities' comments (see recital 39).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(85)</p></td><td><p>Finally, the Commission cannot agree with the Danish authorities' argument that enterprises in the other Member States are not subject to the same taxes as Danish enterprises and that it is therefore difficult to determine how the latter could have gained a competitive advantage (see recital 48). According to the case-law of the Court of Justice, ‘it should be observed that, in the application of Article 92(1) <a>(<span>26</span>)</a>, the point of departure must necessarily be the competitive position existing within the common market <a>(<span>27</span>)</a> before the adoption of the measure in issue’ <a>(<span>28</span>)</a>. Therefore it is the situation as it was prior to the tax, and thus also before the ceiling was introduced, that needs to be considered. In that context it can be determined that the introduction as such of the tax and of the ceiling (which de facto corresponds to a reduction of the tax and did not exist before the tax was introduced) favoured certain beneficiaries which were exempted from paying an amount that they have instead been able to use to fund their activities in competition with other economic operators on the market. According to established case-law, the Treaty contains detailed rules for removing distortions that typically result from discrepancies among the Member States' tax systems. Changing a specific cost factor within an economic sector in a Member State risks upsetting the balance (in this case in particular, by favouring certain undertakings over others). The Court of Justice has stated that the fact that a Member State seeks to approximate, by unilateral measures, the conditions of competition in a particular sector of the economy to those prevailing in other Member States cannot deprive the measures in question of their character as aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(86)</p></td><td><p>Given that it has been shown that the tax ceiling constitutes State aid, it needs to be examined whether that aid can be declared compatible with the internal market.</p></td></tr></tbody></table>
VII.2 Internal market compatibility of the aid comprised by the tax ceiling set at 25 000 m 3
<table><col/><col/><tbody><tr><td><p>(87)</p></td><td><p>According to Article 107(2) and (3) TFEU, certain measures can be exceptionally considered to be compatible with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(88)</p></td><td><p>The only derogation that can be invoked in this case is Article 107(3)(c), which specifies that aid to facilitate the development of certain economic activities or of certain economic areas may be considered to be compatible, where such aid does not adversely affect trading conditions to an extent contrary to the common interest.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(89)</p></td><td><p>In order to apply this derogation, the non-notified aid, which in this case concerns environmental aid in the agricultural sector, must be examined on the basis of the rules that applied at the time the aid was granted <a>(<span>29</span>)</a>, in this case on the basis of the Community guidelines for State aid in the agriculture and forestry sector 2007 to 2013 <a>(<span>30</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(90)</p></td><td><p>According to point 62 of these guidelines, the Commission must examine aid measures that do not fall under the guidelines on the basis of the Community guidelines on State aid for environmental protection <a>(<span>31</span>)</a> (the Environmental Guidelines).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(91)</p></td><td><p>Aid in the form of reductions of or exemptions from environmental tax, such as those under discussion in this case, are subject to the provisions of points 151, 154 and 155 to 159 of the Environmental Guidelines. Environmental taxes are defined in paragraph 70(14) of the 2008 Environmental Guidelines as ‘a tax whose specific tax base has a clear negative effect on the environment or which seeks to tax certain activities, goods or services so that the environmental costs may be included in their price and/or so that producers and consumers are oriented towards activities which better respect the environment.’ The tax in this case is in agreement with this definition, seeing that the consumption of water resources can harm the environment if that consumption is not correctly managed (which, incidentally, is the reason why the revenue from the tax is to be used to survey water resources). Furthermore, the tax ceiling is considered as resulting in a reduction of the amount that normally ought to have been paid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(92)</p></td><td><p>According to point 151 of the Environmental Guidelines, aid in the form of reductions of or exemptions from environmental taxes will be considered compatible with the internal market provided that the aid contributes at least indirectly to an improvement in the level of environmental protection and that it does not undermine the general objective pursued by the tax.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(93)</p></td><td><p>The Commission can accept the Danish authorities' argument in recital 42 that the objective of the general tax scheme was to improve the level of environmental protection by taxing the largest consumers of drinking water more effectively, thereby giving them an incentive to reduce their consumption. However, it is still of the opinion that the ceiling laid down in Section 24b (which is the relevant section of the scheme, as it contains the aid element to be examined with regard to compatibility with the internal market) risked undermining the general objective of the tax (collecting sufficient revenue to fund surveys of the water resources — see recital 69), given that the tax burden is no longer imposed on the biggest consumers, but rather exempts those who hold the largest extraction permits from paying a significant part of the tax. However, given that the provisions of Section 24b constitute only one element of the tax mechanism and without the ceiling the amount collected would, according to the information provided by the Danish authorities (see the third paragraph of recital 34), have been twice as large as the amount that the tax in Section 24b was intended to generate to fund management planning, the Commission finds that even though the ceiling does contain an element of State aid as shown above, it does not undermine the general objective of the tax, and the provisions of point 151 of the Environmental Guidelines are therefore complied with.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(94)</p></td><td><p>According to point 154, aid in the form of reductions of or exemptions from environmental taxes other than those referred to in Council Directive 2003/96/EC <a>(<span>32</span>)</a> is considered to be compatible with the internal market for a period of 10 years provided that the conditions set out in points 155 to 159 are fulfilled.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(95)</p></td><td><p>As stated in the opening decision, the criterion of the 10-year period is not relevant in this case. The tax was introduced in 2009 and was intended to be collected until 2017, but it was repealed on 31 December 2011.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(96)</p></td><td><p>According to point 155 of the Environmental Guidelines, when analysing tax schemes which include elements of State aid in the form of reductions of or exemptions from such tax, the Commission is to analyse in particular the necessity and proportionality of the aid and its effects at the level of the economic sectors concerned.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(97)</p></td><td><p>Point 156 specifies that for this purpose the Commission is to rely on information provided by Member States. Information should include, on the one hand, the respective sector(s) or categories of beneficiaries covered by the exemptions or reductions and, on the other hand, the situation of the main beneficiaries in each sector concerned and how the taxation may contribute to environmental protection. The exempted sectors should be properly described and a list of the largest beneficiaries for each sector should be provided. For each sector, information should be provided as to the best performing techniques within the EEA regarding the reduction of the environmental harm targeted by the tax.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(98)</p></td><td><p>The Commission notes that most of these provisions are not relevant with respect to the ceiling in this case. The Danish authorities have sent information about the enterprises benefiting from the ceiling on the permitted extraction volumes. It follows from this information that the average volume for which a permit was issued in the primary production sector was approximately 35 600 m<span>3</span> in 2009, 36 300 m<span>3</span> in 2010 and 39 000 m<span>3</span> in 2011. In the agricultural product processing sector the average volumes were approximately 262 000 m<span>3</span> in 2009, 250 000 m<span>3</span> in 2010 and 217 000 m<span>3</span> in 2011. The Danish authorities have also submitted a list of some of the processing enterprises with the largest extraction permits, but nevertheless it cannot automatically be stated that these enterprises can be presumed to have benefited the most from the ceiling, given that the ceiling does not concern the volume that is consumed but the volume that,<span>purely theoretically</span>, can be extracted, which means that an enterprise which has only consumed small volumes over the course of the year is in fact not likely to gain a large advantage from the ceiling if it is taxed on the volume it is permitted to extract. The examination of the best performing techniques within the EEA for reducing environmental harm is likewise irrelevant, because the EEA agreement does not apply to the agricultural sector. Also, this case is not about introducing technologies or reducing pollution, but rather involves surveys of water resources with an eye to better management and water extraction.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(99)</p></td><td><p>The only criterion in point 156 that is relevant is the way in which the tax contributes to environmental protection.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(100)</p></td><td><p>The Commission notes in that context that, generally speaking, the tax can contribute to environmental protection by contributing to funding surveys of water resources with an eye to managing them better.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(101)</p></td><td><p>Moreover, aid in the form of reductions of or exemptions from environmental taxes must be necessary and proportional — see point 157 of the Environmental Guidelines</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(102)</p></td><td><p>Point 158 specifies that the Commission considers the aid to be necessary if the following cumulative conditions are met:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the choice of beneficiaries must be based on objective and transparent criteria, and the aid must be granted in principle in the same way for all competitors in the same sector/relevant market if they are in a similar factual situation;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the environmental tax without reduction must lead to a substantial increase in production costs for each sector or category of individual beneficiaries;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the substantial increase in production costs cannot be passed on to customers without leading to important sales reductions. In this respect, Member States may provide estimations of, inter alia, the product price elasticity of the sector concerned in the relevant geographic market as well as estimates of lost sales and/or reduced profits for the companies in the sector/category concerned.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(103)</p></td><td><p>Point 159 specifies that the Commission considers the aid to be proportional if one the following conditions is met:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the scheme lays down criteria ensuring that each individual beneficiary pays a proportion of the national tax level which is broadly equivalent to the environmental performance of each individual beneficiary compared to the performance related to the best performing technique within the EEA. Under the aid scheme any undertaking reaching the best performing technique can benefit, at most, from a reduction corresponding to the increase in production costs from the tax, using the best performing technique, and which cannot be passed on to customers. Any undertaking having a worse environmental performance is to benefit from a lower reduction, proportionate to its environmental performance;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>aid beneficiaries pay at least 20 % of the national tax, unless a lower rate can be justified in view of a limited distortion of competition;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the reductions or exemptions are conditional on the conclusion of agreements between the Member State and the recipient undertakings or associations of undertakings whereby the undertakings or associations of undertakings commit themselves to achieve environmental protection objectives which have the same effect as if point (a) or (b) or the Community minimum tax level were applied. Such agreements or commitments may relate, among other things, to a reduction in energy consumption, a reduction in emissions or any other environmental measure and must satisfy the following conditions:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>the substance of the agreements must be negotiated by each Member State and must specify in particular the targets and fix a time schedule for reaching the targets;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>Member States must ensure independent and timely monitoring of the commitments concluded in these agreements;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>these agreements must be revised periodically in the light of technological and other developments and stipulate effective penalty arrangements applicable if the commitments are not met.</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(104)</p></td><td><p>As regards point 158(a) of the Environmental Guidelines, in answer to the Danish authorities' question of why it is relevant to look at enterprises in other Member States which do not have the same advantage as the Danish enterprises that pay a lower tax or are exempted from it, the Commission points out that establishing a ceiling on a tax on an agricultural production factor (water) allows the beneficiaries to avoid paying an amount that they can then use for producing products which are also produced in other Member States, which can result in distortion of competition. This saving allows them to reduce production costs, which ultimately can affect the substantial trade in agricultural products in the EU and globally. The decision in Case C 30/2009, which the Danish authorities refer to (see recital 44), follows the same logic, as can be seen from paragraph 35, where it is stressed that the tax exemption for the product (cement) distorts or threatens to distort competition on the relevant markets where the product concerned competes with other products and can affect trade between Member States because cement is traded both within the EU and globally. These considerations, which concern identifying State aid rather than assessing its compatibility, still allow the Commission scope for establishing that the choice of beneficiaries is based on an objective and transparent criterion, specifically the possession of an extraction permit for more than 25 000 m<span>3</span> of water, given that it applies to all enterprises that hold such a permit and are therefore in a comparable factual situation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(105)</p></td><td><p>As regards point 158(b) of the Environmental Guidelines, the Commission can accept the Danish authorities' argument that the increase in production costs as a result of paying the full tax (approximately 4-4,7 % — see recital 45) in the primary sector can be considered substantial in light of what has been defined in a previous case as a substantial increase. However, this does not apply to the ceiling of 25 000 m<span>3</span>, given that the Danish authorities themselves admit that the production costs would only have increased by 1,25-2,20 % without the ceiling, which is much less than what was considered substantial in case N 327/08, to which reference is made. The argument that the condition of a substantial increase in production costs must be seen in relation to the condition of a reduction in sales, because this increase is passed on to consumers, cannot be accepted. Point 158 of the Environmental Guidelines clearly states that all conditions (the choice of beneficiaries on the basis of objective and transparent criteria, a substantial increase in production costs without the tax, and sales reductions because the increase is passed on to customers) must be met, and the fact that the increase cannot be passed on to consumers (see Denmark's argument in recitals 45 and 102) does not in any way help determine whether an increase in production costs can be seen as substantial.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(106)</p></td><td><p>As regards point 158(c) of the Environmental Guidelines, the Commission notes that the Danish authorities have not submitted the information the Guidelines refers to. However, this information could have made it possible, much more so than the Danish authorities' arguments, to determine whether passing the production costs on to consumers would in actual fact have resulted in a sales reduction, even if the increase is not substantial (see above). The argument that farmers would have been forced to extract less water if they had had to pay the full tax (see recital 46) cannot be accepted, because the tax is calculated on the basis of theoretical consumption (the volume in the permit) and not on the basis of the holding's actual consumption. The Danish authorities themselves point out that the holdings do not set the prices, and it is therefore not a valid argument to claim that because the<span>primary producers</span> do not have the option of passing on the increases in production costs, the condition has been met that a substantial increase in production costs cannot be passed on to consumers without resulting in a substantial sales reduction.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(107)</p></td><td><p>It is therefore clear that as regards primary production, the Danish authorities cannot demonstrate that all the conditions in point 158 of the Environmental Guidelines have been met, which is a condition for considering the aid as necessary. As regards the agricultural product processing sector, the Commission has already stated that reducing the tax by two thirds does not constitute State aid, but has yet to establish whether the tax ceiling meets the relevant conditions in the Environmental Guidelines. Here it must be stressed that recitals 90-100 equally apply to enterprises that process agricultural products. Furthermore, the Danish authorities themselves acknowledge that it is not possible to document that the condition of necessity under point 158 has been met in each individual case (see recital 50), and that their figures (on the grant equivalent of the aid) do not change this conclusion as the figures do not help determine whether the environmental tax without the reduction (i.e. without the ceiling) would lead to a substantial increase in production costs in the agricultural product processing sector.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(108)</p></td><td><p>As regards point 159(a) of the Environmental Guidelines, the Commission finds that the condition of comparing the best performing technique within the EEA is not relevant in this case., given that it was already stated in recital 98 that the EEA agreement does not apply to the agricultural sector, and this case is not about introducing technologies or reducing pollution, but rather involves surveys of water resources with an eye to better management and water extraction.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(109)</p></td><td><p>With regard to point 159(b), the Commission notes that the Danish authorities themselves acknowledge that some enterprises may have paid less than 20 % of the tax. The Danish authorities' argument that the Commission ought to take the average into account is unacceptable. From the wording of point 159(b) it is clear that the sole exception to the condition that at least 20 % of the tax must be paid is if the aid causes only limited distortion of competition, and applying an average is in no way sufficient to demonstrate that this is the case.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(110)</p></td><td><p>Finally, as regards point 159(c), the Danish authorities have not provided any information documenting that agreements regarding environmental protection objectives have been concluded.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(111)</p></td><td><p>In light of the considerations in recitals 89 to 109, the Commission cannot conclude that all relevant conditions in the Environmental Guidelines have been met, and the doubts it expressed in the opening decision have therefore not been dispelled.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(112)</p></td><td><p>With regard to the Danish authorities' reference to the Temporary Crisis Framework, the Commission found it necessary, in the original version that applied from 17 December 2008, to temporarily authorise limited aid falling under Article 87(1) (because it exceeded the<span>de minimis</span> ceiling) and to declare it compatible with the internal market under Article 107(3)(c) TFEU, provided that<span>all the following conditions</span> were met:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the aid does not exceed a cash grant of EUR 500 000 per undertaking; all figures used must be gross, that is, before any deduction of tax or other charge; where aid is awarded in a form other than a grant, the aid's grant equivalent is the basis for the aid amount;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the aid is granted in the form of a scheme;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the aid is granted to firms which were not in difficulty on 1 July 2008 (whereby ‘firm in difficulty’ for large companies is a firm as defined in point 2.1 of the Community guidelines on State aid for rescuing and restructuring firms in difficulty <a>(<span>33</span>)</a>, and for SMEs it is a firm as defined in Article 1(7) of Commission Regulation (EC) No 800/2008 <a>(<span>34</span>)</a>; it may be granted to firms that were not in difficulty at that date but entered in difficulty thereafter as a result of the global financial and economic crisis;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the aid scheme does not apply to firms active in the fisheries sector;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the aid is not export aid or aid favouring domestic over imported products;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>the aid is granted no later than 31 December 2010;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>prior to granting the aid, the Member State obtains a declaration from the undertaking concerned, in written or electronic form, about any other<span>de minimis</span> aid and aid pursuant to this measure received during the current fiscal year and checks that the aid will not raise the total amount of aid received by the undertaking during the period from 1 January 2008 to 31 December 2010, to a level above the ceiling of EUR 500 000;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>the aid scheme does not apply to undertakings active in the primary production of agricultural products as defined in Article 2(2) of Commission Regulation (EC) No 1857/2006 <a>(<span>35</span>)</a>; it may apply to undertakings active in the processing and marketing of agricultural products as defined in Article 2(3) and (4) of that Regulation unless the amount of the aid is fixed on the basis of the price or quantity of such products purchased from primary producers or put on the market by the undertakings concerned, or the aid is conditional on being partly or entirely passed on to primary producers.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(113)</p></td><td><p>A further condition was attached to these conditions, stating that the temporary aid measures could not be cumulated with<span>de minimis</span> aid granted for the same eligible costs. If an enterprise had already received<span>de minimis</span> aid prior to the entry into force of the Temporary Crisis Framework, the total of the aid under the Framework and the<span>de minimis</span> aid could not exceed EUR 500 000 in the period from 1 January 2008 to 31 December 2010.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(114)</p></td><td><p>On 28 October 2009 the Temporary Crisis Framework was expanded to include primary agricultural production <a>(<span>36</span>)</a>. Before the aid was granted, the Member State was to obtain a declaration from the undertaking concerned, in written or electronic form, about any other<span>de minimis</span> aid and aid pursuant to the relevant measure received during the current fiscal year and check that the aid would not raise the total amount of aid the undertaking received during the period from 1 January 2008 to 31 December 2010 to a level above the ceiling of EUR 15 000. Aid to enterprises active in the primary production of agricultural products could not be set on the basis of the price or volume of products put on the market. The temporary aid measures could not be cumulated with the<span>de minimis</span> aid granted for the same eligible costs. If an enterprise had already received<span>de minimis</span> aid for primary production prior to the entry into force of the Temporary Crisis Framework, the combined amount of the aid under the Framework for primary production and the<span>de minimis</span> aid could not exceed EUR 15 000 in the period from 1 January 2008 to 31 December 2010.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(115)</p></td><td><p>The Temporary Crisis Framework, which also covers primary production, was extended until 31 December 2011. In order to be eligible for aid, beneficiaries had to not only meet the conditions in recitals 112 (with the exception of the condition in (h)), 113 and 114, but also have submitted a complete application no later than 31 December 2010 under a national aid scheme approved by the Commission under the Temporary Crisis Framework (no later than 31 March 2011 as regards enterprises active in primary agricultural production). Any national aid scheme under which aid was granted after 31 December 2010 had to be notified by the Member State and approved by the Commission under Article 108(3) TFEU.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(116)</p></td><td><p>Based on the information which the Danish authorities have submitted in the context of the examination procedure, the Commission cannot conclude that all the conditions in the Temporary Crisis Framework have been met, for the following reasons:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the Temporary Crisis Framework did not apply to primary agricultural production between 17 December 2008 and 28 October 2009. Therefore it cannot form the basis for the compatibility of the tax exemption for the sector;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the information from the Danish authorities still does not make it possible to determine whether the criterion for firms in difficulty has been met;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>nothing in this information suggests that the criterion in Article 107 has been met, which requires statements to have been collected on<span>de minimis</span> aid already received or aid received under the Temporary Crisis Framework;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>as there are no statements, it is impossible to check whether the ceiling laid down in the Temporary Crisis Framework has been complied with in cases where<span>de minimis</span> aid has also been granted, regardless of the grant equivalent of the exemption, not least because the check on compliance with the<span>de minimis</span> ceiling also needs to be viewed with caution (see recital 63);</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>in order to receive aid within the context of the Temporary Crisis Framework in 2011, beneficiaries had to have submitted, no later than 31 December 2010 (or 31 March 2011 for the primary agricultural production sector), a complete application under a national aid scheme notified to and approved by the Commission. The Danish authorities themselves acknowledge that at that time they had not made use of the options available under the Temporary Crisis Framework.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(117)</p></td><td><p>The non-notified aid pointed out by the Danish authorities (see recital 53) is therefore not the only condition in the Temporary Crisis Framework which has not been met.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(118)</p></td><td><p>In light of the above, a tax ceiling set at a volume of 25 000 m<span>3</span> cannot be considered as eligible for a derogation from the Treaty's provisions (which in any case should have been a derogation under Article 107(3)(b) and not under Article 107(3)(c), on the basis of the Temporary Crisis Framework).</p></td></tr></tbody></table>
The Danish authorities' other arguments
<table><col/><col/><tbody><tr><td><p>(119)</p></td><td><p>The question of the beneficiaries' legitimate expectations (see recital 58) does not affect the assessment of the ceiling's compatibility with the internal market. The Danish authorities must obtain the Commission's approval before they introduce an aid scheme. The fact that there is no corresponding tax in the other Member States (see recital 58) does not mean that those affected by the ceiling did not receive an advantage. This ceiling meant that, in absolute terms, they had at their disposal extra resources to carry out their business on a competitive market. The fact that no complaints about the scheme have been submitted does not in any way mean that the ceiling does not constitute State aid that is incompatible with the internal market.</p></td></tr></tbody></table>
VIII. CONCLUSION
<table><col/><col/><tbody><tr><td><p>(120)</p></td><td><p>The Commission finds that reducing the tax by two thirds (see Section 24b) does not constitute State aid under Article 107(1) TFEU, given that the beneficiaries do not receive an advantage in relation to those paying the full tax under the provisions of Section 24a, and that the full exemption under Section 24c does not constitute State aid under Article 107(1) TFEU on grounds relating to the need for good administrative management of the scheme (the amounts are too insignificant to be recovered).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(121)</p></td><td><p>The Commission finds, however, that the tax ceiling set at a volume of 25 000 m<span>3</span> (see Section 24b) constitutes State aid under Article 107(1) TFEU and that Denmark has illegally applied this ceiling in contravention of Article 108(3) TFEU. The analysis shows that the aid resulting from the ceiling cannot be declared compatible with the internal market, because the Danish authorities have been unable to demonstrate either the necessity and proportionality of a tax ceiling set at 25 000 m<span>3</span> or the fulfilment of all conditions in the Temporary Crisis Framework. As the doubts expressed in the opening decision have not been dispelled, the Commission finds the aid is incompatible with the internal market.</p></td></tr></tbody></table>
IX. RECOVERY
<table><col/><col/><tbody><tr><td><p>(122)</p></td><td><p>The contested measure has been implemented without having been notified in advance to the Commission in accordance with Article 108(3) TFEU. It therefore constitutes unlawful aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(123)</p></td><td><p>Under Article 16(1) of Regulation (EU) 2015/1589, where negative decisions are taken in cases of unlawful aid, the Commission is to decide that the Member State concerned must take all necessary measures to recover the aid from the beneficiaries (in this case, all beneficiaries of the tax ceiling set at 25 000 m<span>3</span>).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(124)</p></td><td><p>The Danish authorities have presented a series of arguments against carrying out a recovery (see recitals 55 to 59). The Commission cannot accept these arguments.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(125)</p></td><td><p>The question is not whether the distortion of competition is minimal (see recital 55) but whether it exists. Once this has been established, the distortion must be eliminated in such a way that the competitive situation will be restored to how it was before the aid was granted. The Court of Justice has upheld the principle that the objective of the recovery is specifically to restore the situation that existed on the market before the aid was granted. It has also declared that recovery is the logical consequence of aid having been found to be unlawful <a>(<span>37</span>)</a>, and that recovering the aid is therefore not disproportionate in relation to the Treaty's provisions concerning State aid <a>(<span>38</span>)</a>, contrary to the Danish authorities' claim. The argument that no advantage was gained in relation to competitors (see recital 57) is without substance in light of the conclusion concerning the existence of an advantage (recital 64) and the fact that beneficiaries were able to use the unpaid amounts for other purposes (recitals 85 and 119). Finally, the Danish authorities wrongly claim that recovery will create a distortion of competition in relation to enterprises that extract surface water. The tax only applies to the extraction of groundwater, and therefore it does not concern the extraction of surface water.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(126)</p></td><td><p>As regards the question of the beneficiaries' legitimate expectations in recital 58, the Commission has already rejected the Danish authorities' argument that the vast majority of the potential beneficiaries could not possibly have anticipated that the scheme could give them an advantage according to State aid rules because there are no comparable taxes in other Member States (see recital 119). Regarding the principle of legitimate expectations referred to by the Danish authorities, which is closely linked to the aid's lawfulness, the Commission points out that according to established case-law, in principle beneficiaries may only entertain a legitimate expectation that the aid is lawful if it has been granted under the procedure laid down in Article 88 TEU (currently Article 108 TFEU), and a diligent economic operator should normally be able to determine whether that procedure has been followed. If aid is granted without prior notification to the Commission, ‘... so that it is unlawful under Article 88(3) TEC, the recipient of the aid cannot have at that time a legitimate expectation that its grant is lawful’ <a>(<span>39</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(127)</p></td><td><p>Denmark must therefore take all necessary measures to recover the incompatible aid from the beneficiaries, regardless of its comments. This case concerns the difference between the amount that ought to have been paid in tax on the basis of the volume for which a permit was granted and the amount that was paid on a volume of 25 000 m<span>3</span>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(128)</p></td><td><p>In accordance with paragraph 42 of the Notice from the Commission titled ‘Towards an effective implementation of Commission decisions ordering Member States to recover unlawful and incompatible State aid’ <a>(<span>40</span>)</a>, Denmark has four months from the decision's entry into force to implement it. Interest is to be paid on the amounts to be recovered (see Commission Regulation (EC) No 794/2004 <a>(<span>41</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(129)</p></td><td><p>This Decision is to be implemented immediately, except for aid that, at the time it was granted, met all the conditions in the applicable<span>de minimis</span> regulation (see Article 2 of Council Regulation (EC) No 994/98 <a>(<span>42</span>)</a>),</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
The reduction by two thirds of the tax that was introduced by Section 24 of Consolidating Act No 935 of 24 September 2009 (see Section 24b) does not constitute State aid under Article 107(1) of the Treaty on the Functioning of the European Union.
Article 2
The ceiling on the calculation base for the tax, set at 25 000 m 3 of water (see Section 24b of Consolidating Act No 935 of 24 September 2009), constitutes State aid under Article 107(1) of the Treaty on the Functioning of the European Union.
Article 3
The aid that follows from the tax exemption under Section 24c of Consolidating Act No 935 of 24 September 2009 for extraction permits for a maximum volume of 6 000 m 3 does not constitute State aid under Article 107(1) of the Treaty on the Functioning of the European Union.
Article 4
The aid that follows from the ceiling on the calculation base for the tax, set at 25 000 m 3 of water (see Section 24b of Consolidating Act No 935 of 24 September 2009), was introduced illegally by Denmark in contravention of Article 108(3) of the Treaty on the Functioning of the European Union and constitutes aid that is incompatible with the internal market.
Article 5
The aid that follows from the ceiling on the calculation base for the tax, set at 25 000 m 3 of water (see Section 24b of Consolidating Act No 935 of 24 September 2009) does not constitute State aid if, at the time it was granted, it met the conditions of an ordinance adopted under Article 2 of Regulation (EC) No 994/98 which applied at the time the aid was granted.
Article 6
1. Denmark shall recover the aid referred to in Article 4 from the beneficiaries.
2. The sums to be recovered shall bear interest from the date on which they were put at the disposal of the beneficiaries until their actual recovery.
3. The interest shall be calculated on a compound basis in accordance with Chapter V of Regulation (EC) No 794/2004.
Article 7
Recovery of the aid referred to in Article 4 shall be immediate and effective.
Denmark shall ensure that this Decision is implemented within four months following the date of its notification.
Article 8
1. Within two months following notification of this Decision, Denmark shall submit the following information:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the list of beneficiaries that have received the aid referred to in Article 4 and the total amount of aid received by each of them;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the total amount (capital and interest) to be recovered from each beneficiary that received aid which cannot be covered by the<span>de minimis</span> rule;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>a detailed description of the measures already taken and planned to comply with this Decision;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>documents demonstrating that the beneficiary has been ordered to repay the aid.</p></td></tr></tbody></table>
2. Denmark shall keep the Commission informed of the progress of the national measures taken to implement this Decision until recovery of the aid referred to in Article 4 has been completed. At the Commission's request, it shall immediately submit information on the measures already adopted and planned for the purpose of complying with this Decision. It shall also provide detailed information concerning the amounts of aid and interest already recovered from the beneficiaries.
Article 9
This Decision is addressed to the Kingdom of Denmark.
Done at Brussels, 16 October 2017.
For the Commission
Phil HOGAN
Member of the Commission
<note>
( 1 ) With effect from 1 December 2009, Articles 87 and 88 of the EC Treaty have become Articles 107 and 108, respectively, of the Treaty on the Functioning of the European Union (‘TFEU’). The two sets of provisions are, in substance, identical. For the purposes of this Decision, references to Articles 107 and 108 of the TFEU should be understood as references to Articles 87 and 88, respectively, of the EC Treaty where appropriate. The TFEU also introduced certain changes in terminology, such as the replacement of ‘Community’ by ‘Union’, ‘common market’ by ‘internal market’ and ‘Court of First Instance’ by ‘General Court’. The terminology of the TFEU will be used throughout this Decision.
( 2 ) The Commission's conclusion in this case was that the tax scheme did not constitute State aid.
( 3 ) Letter SG-Greffe (2012) D/5011.
( 4 ) OJ C 114, 19.4.2012, p. 4 .
( 5 ) ‘Public water utilities’ refers to public or private systems that supply drinking water to at least ten properties.
( 6 ) Commission Regulation (EC) No 1535/2007 of 20 December 2007 on the application of Articles 87 and 88 of the EC Treaty to de minimis aid in the sector of agricultural production ( OJ L 337, 21.12.2007, p. 35 ).
( 7 ) Commission Regulation (EC) No 1998/2006 of 15 December 2006 on the application of Articles 87 and 88 of the Treaty to de minimis aid ( OJ L 379, 28.12.2006, p. 5 ).
( 8 ) OJ C 82, 1.4.2008, p. 1 .
( 9 ) OJ C 319, 27.12.2006, p. 1 .
( 10 ) OJ C 16, 22.1.2009, p. 1 . In 2009 this framework was extended to apply to primary agricultural production as well ( OJ C 261, 31.10.2009, p. 2 ) and then extended until the end of 2011 for all the sectors where it is applicable ( OJ C 6, 11.1.2011, p. 5 ).
( 11 ) Judgment of the Court (Third Chamber) of 22 December 2008, British Aggregates v Commission , C-487/06 P, ECLI:EU:C:2008:757, paragraph 82.
( 12 ) Judgment of the Court (Fifth Chamber) of 8 November 2001, Adria-Wien Pipeline GmbH and Wietersdorfer & Peggauer Zementwerke GmbH v Finanzlandesdirektion für Kärnten , C-143/99, ECLI:EU:C:2001:598, paragraph 42; and Judgment of the Court (Third Chamber) of 8 September 2011, European Commission v Kingdom of the Netherlands , C-279/08, paragraph 62, ECLI:EU:C:2011:551.
( 13 ) The maximum volume of surface water that can be extracted annually is approximately 188 million m 3 , of which 13 million m 3 can be used for primary production (approximately 500 holdings), which is predominantly used for irrigation. The largest permit in terms of irrigation was for 270 000 m 3 per year in the period 2009-2011 and the largest in terms of livestock farming was for 511 000 m 2 per year.
( 14 ) Decision C(2003) 777 final COM amended (see Decision C(2003) 1224 final).
( 15 ) OJ C 384, 10.12.1998, p. 3 .
( 16 ) Judgment of the Court (Sixth Chamber) of 24 October 1996, Federal Republic of Germany, Hanseatische Industrie-Beteiligungen GmbH and Bremer Vulkan Verbund AG v Commission of the European Communities , joined cases C-329/93, C-62/95 and C-63/95, ECLI:EU:C:1996:394.
( 17 ) OJ C 105, 24.4.2010, p. 3 .
( 18 ) C(2009) 8093 final.
( 19 ) Council Regulation (EC) No 659/1999 of 22 March 1999 laying down detailed rules for the application of Article 108 of the treaty on the functioning of the European Union ( OJ L 83, 27.3.1999, p. 1 ). This Regulation was repealed by Council Regulation (EU) 2015/1589 of 13 July 2015 laying down detailed rules for the application of Article 108 of the Treaty on the Functioning of the European Union ( OJ L 248, 24.9.2015, p. 9 ).
( 20 ) The statistics on trade in the EU show that Danish imports of agricultural products in 2011 accounted for EUR 6,886 billion, while exports accounted for EUR 9,223 billion. In 2013 the figures were EUR 7,811 billion and EUR 9,408 billion, respectively. For beverages the figures were EUR 271,9 million and EUR 547,3 million, respectively.
( 21 ) According to the case-law of the Court of Justice, the mere fact that an enterprise's competitive position is improved by gaining an advantage which it could not have gained under normal market conditions and which other competing enterprises do not have is sufficient to bring about a distortion of competition (Case 730/79, Philip Morris Holland BV v Commission of the European Communities , ECLI:EU:C:1980:209).
( 22 ) OJ C 262, 19.7.2016, p. 1 .
( 23 ) See Judgment of the Court (Fifth Chamber) of 8 November 2001, Adria-Wien Pipeline GmbH and Wietersdorfer & Peggauer Zementwerke GmbH v Finanzlandesdirektion für Kärnten , C-143/99, ECLI:EU:C:2001:598 (footnote 13), paragraph 41; Judgment of the Court (Fifth Chamber) of 29 April 2004, GIL Insurance Ltd and Others v Commissioners of Customs and Excise , C-308/01, ECLI:EU:C:2004:252, paragraph 68; Judgment of the Court (Second Chamber) of 3 March 2005, Wolfgang Heiser v Finanzamt Innsbruck , C-172/03, ECLI:EU:C:2005:130, paragraph 40; and Judgment of the Court (Grand Chamber) of 6 September 2006, Portuguese Republic v Commission , C-88/03, ECLI:EU:C:2006:511, paragraph 54.
( 24 ) See in this context the Judgment of the Court (Grand Chamber) of 6 September 2006, Portuguese Republic v Commission , C-88/03, ECLI:EU:C:2006:511 (footnote 26).
( 25 ) See footnote 23.
( 26 ) Currently Article 107(1) TFEU.
( 27 ) Currently the internal market.
( 28 ) Judgement of the Court of Justice of 2 July 1974, Italy v Commission , C-173/73, ECLI:EU:C:1974:71, paragraph 17.
( 29 ) See point 733 of the Guidelines for State aid in the agricultural and forestry sectors and in rural areas 2014 to 2020 ( OJ C 204, 1.7.2014, p. 1 ).
( 30 ) OJ C 319, 27.12.2006, p. 1 . The guidelines have since been extended until 30 June 2014 by the Commission communication of 20 November 2013 ( OJ C 339, 20.11.2013, p. 1 ).
( 31 ) OJ C 82, 1.4.2008, p. 1 .
( 32 ) Council Directive 2003/96/EC of 27 October 2003 restructuring the Community framework for the taxation of energy products and electricity ( OJ L 283, 31.10.2003, p. 51 ).
( 33 ) OJ C 244, 1.10.2004, p. 2 .
( 34 ) Commission Regulation (EC) No 800/2008 of 6 August 2008 declaring certain categories of aid compatible with the common market in application of Articles 87 and 88 of the Treaty (General block exemption Regulation) ( OJ L 214, 9.8.2008, p. 3 ).
( 35 ) Commission Regulation (EC) No 1857/2006 of 15 December 2006 on the application of Articles 87 and 88 of the Treaty to State aid to small and medium-sized enterprises active in the production of agricultural products and amending Regulation (EC) No 70/2001 ( OJ L 358, 16.12.2006, p. 3 ).
( 36 ) The maximum aid amount was set at EUR 15 000 per enterprise.
( 37 ) Judgment of the Court of 10 June 1993, Commission v Hellenic Republic , C-183/91, ECLI:EU:C:1993:233, paragraph 16.
( 38 ) Judgment of the Court of 4 April 1995, Commission v Italian Republic , C-348/93, ECLI:EU:C:1995:95, paragraph 27.
( 39 ) Judgment of the General Court (First Chamber, Extended Composition) of 22 April 2016, Ireland and Aughinish Alumina Ltd v Commission , Joined Cases T-50/06 RENV II and T-69/06 RENV II, ECLI:EU:T:2016:227, paragraph 230 [ sic ].
( 40 ) OJ C 272, 15.11.2007, p. 4 .
( 41 ) Commission Regulation (EC) No 794/2004 of 21 April 2004 implementing Council Regulation (EU) 2015/1589 laying down detailed rules for the application of Article 108 of the Treaty on the Functioning of the European Union ( OJ L 140, 30.4.2004, p. 1 ).
( 42 ) Council Regulation (EC) No 994/98 of 7 May 1998 on the application of Articles on the application of Articles 107 and 108 of the Treaty on the Functioning of the European Union to certain categories of horizontal State aid ( OJ L 142, 14.5.1998, p. 1 ).
</note> | ENG | 32018D0884 |
<table><col/><col/><col/><col/><tbody><tr><td><p>10.7.2015   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 183/1</p></td></tr></tbody></table>
COMMISSION DECISION (EU) 2015/1091
of 9 July 2014
on the measures SA.34191 (2012/C) (ex 2012/NN) (ex 2012/CP) implemented by Latvia for A/S Air Baltic Corporation (airBaltic)
(notified under document C(2014) 4552)
(Only the English text is authentic)
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union, and in particular the first subparagraph of Article 108(2) thereof,
Having regard to the Agreement on the European Economic Area, and in particular Article 62(1)(a) thereof,
Having regards to the decision by which the Commission decided to initiate the procedure laid down in Article 108(2) of the Treaty on the Functioning of the European Union, in respect of the aid SA.34191 (2012/C) (ex 2012/NN) (ex 2012/CP) ( 1 ) ,
Having called on interested parties to submit their comments pursuant to the provisions cited above and having regard to their comments,
Whereas:
1. PROCEDURE
1.1. THE PRE-NOTIFICATION — SA.33799 (2011/PN)
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>By SANI notification No 6332 of 18 October 2011, registered on 20 October 2011, Latvia pre-notified to the Commission a LVL 16 million (EUR 22,65 million)<a> (<span>2</span>)</a> loan in favour of A/S Air Baltic Corporation (‘airBaltic’ or ‘the company’). The Latvian authorities were of the view that the loan did not constitute state aid but nonetheless pre-notified it for reasons of legal certainty and transparency. This pre-notification was registered with reference number SA.33799 (2011/PN).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>A meeting with the Latvian authorities and their advisers took place on 27 October 2011, after which the Latvian authorities submitted supplementary information by letter of 7 November 2011. The Commission requested additional information by e-mails of 16 November 2011, 17 November 2011, 1 December 2011, and 9 December 2011, to which the Latvian authorities respectively replied by e-mails of 16 November 2011, 22 November 2011, 7 December 2011, and 13 December 2011.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>On 4 January 2012, Latvia submitted additional information and explained that the LVL 16 million loan — referred to in paragraph 1.1 above — had been provided to the company already on 21 October 2011 without prior Commission authorisation. In addition, on 13 December 2011, the Latvian State decided to increase the capital of the company and on 14 December 2011 it granted a second loan to airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In view of the fact that the measure had been granted to the company and of a complaint received on 9 January 2012 (see section 1.2 below), the Latvian authorities withdrew their pre-notification by e-mail of 21 February 2012. State aid case SA.33799 (2011/PN) was administratively closed on 27 February 2012.</p></td></tr></tbody></table>
1.2. THE COMPLAINTS — SA.34191 (2012/C) (ex 2012/NN) (ex 2012/CP)
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>On 9 January 2012, the Commission received a complaint lodged by the private company SIA Baltijas aviācijas sistēmas (‘BAS’ or ‘the complainant’), former shareholder of airBaltic, in relation to a number of measures allegedly provided to airBaltic by the Latvian State.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>By letter of 23 January 2012, the Commission sent the complaint for comments to Latvia, who replied on 13 March 2012. By letter of 14 May 2012, the Commission requested additional information from Latvia, provided on 16 July 2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>By letter of 18 July 2012, registered on 20 July 2012, the Commission received a new complaint from Mrs Inga Piterniece, former member of the board of BAS, regarding an additional measure allegedly granted by the Latvian State to airBaltic. By e-mail of 24 July 2012, the Commission sent the new complaint for comments to Latvia, who replied on 22 August and 4 September 2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Meetings with the Latvian authorities, their advisers and representatives of airBaltic took place on 5 July and 17 August 2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>By letter dated 20 November 2012, the Commission informed Latvia that it had decided to initiate the procedure laid down in Article 108(2) of the Treaty on the Functioning of the European Union (‘TFEU’) in respect of the aid (‘the opening decision’). Latvia submitted comments on the opening decision by letter dated 23 January 2013. The Commission requested information to Latvia by letter of 6 March 2013, replied to on 8 April 2013. In addition, a meeting with the Latvian authorities took place on 25 June 2013, after which Latvia submitted additional information on 14 August, 18 September, 9 and 25 October 2013. Additional meetings with the Latvian authorities and their legal representatives took place on 22 October and 22 November 2013, as well as on 10 January 2014. Latvia submitted additional information on 7 and 8 November, 2, 13 and 20 December 2013, and on 28 and 31 January, 28 February, 24 and 26 March, 9 April and 16 May 2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>The Commission decision to initiate the procedure was published in the<span>Official Journal of the European Union</span><a> (<span>3</span>)</a> on 8 March 2013. The Commission invited interested parties to submit their comments on the measures.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The Commission received observations from Ryanair and airBaltic, as well as three individuals on behalf of creditors of airBaltic (FLS, AB Jet and Eurobalt Junipro). The Commission forwarded these observations to Latvia, which was given the opportunity to react; Latvia's comments were received by letter dated 27 May 2013.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>By letter dated 4 July 2014, Latvia agreed to waive its rights deriving from Article 342 TFEU in conjunction with Article 3 of the EC Regulation (EC) No 1/1958 and to have the present decision adopted and notified in English.</p></td></tr></tbody></table>
2. THE LATVIAN AIR TRANSPORT MARKET
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>The air transport market in Latvia has rapidly expanded since Latvia joined the EU. Between 2003 and 2007, the annual average growth of passengers at Riga International Airport — including point-to-point and transfer passengers — reached 47 %, passing from approximately 700 000 passengers in 2003 to 3,2 million in 2007. The entry of low-cost carriers, especially Ryanair, contributed to the market growth as substantial new demand was created with the opening of new routes.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>The global economic crisis of 2008-2009 severely hit the economic growth of Latvia and as a consequence its air transport market. As a result of the crisis, the number of point-to-point passengers in Latvia decreased from 3,2 million in 2008 to 2,7 million in 2009, although the total number of passengers continued to grow thanks to transfer passengers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(15)</p></td><td><p>As of 2010, overall market growth resumed, reaching an average 12 % annual growth. While the point-to-point passenger market has increased on average 9 % annually, the increase in the transfer passenger market reached 18 % per year. Going forward, it is expected that the Latvian air transport market will continue to grow at an annual growth rate of 7 % between 2012 and 2015.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(16)</p></td><td><p>Riga International Airport is the leader in the Baltic region. In 2011, approximately 5,1 million passengers travelled to/from Riga, compared to 1,9 million passengers travelling to/from Tallinn and 1,7 million passengers travelling to/from Vilnius. In 2011, airBaltic carried 66 % of the passengers flying via Riga, while Ryanair, second largest operator and main competitor of airBaltic, carried 20 %. 15 other companies operated to/from Riga (full-service providers and low-cost carriers) accounting for 14 % of all passengers.<a> (<span>4</span>)</a></p></td></tr></tbody></table>
3. THE BENEFICIARY
<table><col/><col/><tbody><tr><td><p>(17)</p></td><td><p>airBaltic was established in 1995 through a joint venture between Scandinavian Airlines SAS and the Latvian State. In January 2009, SAS sold its entire stake in the company (47,2 %) to BAS.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(18)</p></td><td><p>From information published in the press, it appears that BAS was set up as a private company wholly owned by Mr Bertolt Flick until December 2010, when 50 % of its shares were transferred to the Bahamas-registered Taurus Asset Management Fund Ltd (‘Taurus’).<a> (<span>5</span>)</a></p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(19)</p></td><td><p>As of October 2011, airBaltic's shareholders were the Latvian State — through the Ministry of Transport — with 52,6 % of the shares and BAS with 47,2 %, the rest (0,2 %) being held by the Russian airline Transaero. At the time, the president and CEO of airBaltic was Mr Bertolt Flick. Since 1 November 2011, the CEO of airBaltic is Mr Martin Gauss, former CEO of Malév.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(20)</p></td><td><p>On the basis of the information provided by the Latvian authorities, it appears that BAS had pledged its 47,2 % shareholding in airBaltic as collateral to Latvijas Krājbanka, the Latvian subsidiary of the Lithuanian bank Snoras<a> (<span>6</span>)</a>. On 16 November 2011, Snoras collapsed and was nationalised<a> (<span>7</span>)</a>. On 17 November 2011, the Finance and Capital Markets Commission of Latvia (‘FCMC’) ordered a limitation of the banking operations of Latvijas Krājbanka in excess of EUR 100 000<a> (<span>8</span>)</a>. By order of the FCMC of 21 November 2011, the operations of Latvijas Krājbanka were suspended and a management of trustees was appointed<a> (<span>9</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(21)</p></td><td><p>According to the information provided, it appears that BAS defaulted on some of its financial obligations towards Latvijas Krājbanka. As a result, on 30 November 2011, Latvijas Krājbanka sold all except one of the airBaltic shares previously owned by BAS to the Ministry of Transport at their nominal value, totalling LVL 224 453 (EUR 317 787).<a> (<span>10</span>)</a> As a result, Latvia's shareholding in airBaltic increased to 99,8 %, while BAS retained just one share.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(22)</p></td><td><p>It also appears from the press that the shareholders of BAS had also pledged their shares in BAS as security with Latvijas Krājbanka<a> (<span>11</span>)</a>. On 6 February 2012, in the context of insolvency proceedings relating to BAS,<a> (<span>12</span>)</a> a subsidiary of Latvijas Krājbanka took over BAS' shares from its prior shareholders and appointed a new management.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(23)</p></td><td><p>Finally, it appears that on 8 June 2012 the Latvian State purchased from BAS its sole share in airBaltic for LVL 1. Therefore, as of this date, BAS is no longer shareholder of airBaltic<a> (<span>13</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>In relation to the financial situation of airBaltic, the Latvian authorities have explained that the difficulties of the company started in 2008, due to the global economic recession and the drastic oil price increase. As a result, in 2008 airBaltic had losses of LVL 28 million (EUR 39,64 million). In 2009, the company however turned back to profits of LVL 14 million (EUR 19,82 million).<a> (<span>14</span>)</a> In 2010, airBaltic again made losses of LVL 34,2 million (EUR 48,42 million). In June 2011, the Latvian Minister of Economy said that airBaltic operated with a loss of LVL 18 million (EUR 25,48 million) in the first five months of 2011 and was close to bankruptcy.<a> (<span>15</span>)</a> airBaltic filed for legal protection from its creditors on 21 September 2011.<a> (<span>16</span>)</a> The audited results for 2011 show a loss of LVL 83,5 million (EUR 118,22 million).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(25)</p></td><td><p>On 27 August 2012, Latvia published an invitation for potential investors to express their interest in acquiring 50 % minus one vote of airBaltic's capital,<a> (<span>17</span>)</a> although transactions of a different nature were not excluded. The main criteria for choosing an investor would be the ability to support airBaltic's development, the investor's reputation and experience as well as its financial resources. The process is aimed for conclusion during 2014.</p></td></tr></tbody></table>
4. DESCRIPTION OF THE MEASURES
4.1. THE 3 OCTOBER 2011 AGREEMENT: THE FIRST STATE LOAN AND THE BAS LOAN
<table><col/><col/><tbody><tr><td><p>(26)</p></td><td><p>On the basis of an agreement dated 3 October 2011 (‘the Agreement’), Latvia agreed to provide to airBaltic a loan of LVL 16 million (EUR 22,65 million) (‘the first State loan’,<span>measure 1</span>) alongside another loan of LVL 14 million (EUR 19,82 million) from BAS (‘the BAS loan’). The conditions of both loans were linked and identical, and the initial interest rate was set at [11 — 13]<a> (<span>18</span>)</a> %. However, at the time of granting the loan to airBaltic, BAS waived its right to have the BAS loan collateralised.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(27)</p></td><td><p>The Agreement also stipulated that no later than 15 December 2011, the State would grant an additional loan to airBaltic for an undetermined amount in proportion to its voting rights, on identical conditions to the first State loan. Both State loans were to be capitalised if a number of conditions were met, among which the approval by the board of airBaltic of a business/restructuring plan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(28)</p></td><td><p>Article 7 of the Agreement provided for the conditions of the future capital increase of airBaltic. In particular, Article 7.3 stated that ‘<span>the State loan and BAS loan […] may be added to the sum to be capitalised</span>’. Under Article 7.4, BAS undertook to vote for the capitalisation of the loan and for the capital increase. In case BAS would not fulfil its commitments, Article 7.4 provided the State the right to purchase from BAS its shares in airBaltic for LVL 1.<a> (<span>19</span>)</a></p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(29)</p></td><td><p>Latvia granted the first State loan to airBaltic on 21 October 2011 (see recital 3 above). BAS granted the BAS loan on 1 November 2011.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(30)</p></td><td><p>On 13 December 2011, once Latvia's shareholding in airBaltic had increased to 99,8 % (see recital 21 above), the Latvian Government decided to authorise an interest rate cut for the first State loan from [11 — 13] % to [2 — 4] %. Since the first State loan and the BAS loan were linked (see recital 26 above), the same interest rate cut was applied to the latter.</p></td></tr></tbody></table>
4.2. THE SECOND STATE LOAN OF 13 DECEMBER 2011
<table><col/><col/><tbody><tr><td><p>(31)</p></td><td><p>On 13 December 2011, at the same time as the interest rate cut of the first State loan (see recital 30 above), the Latvian Government decided to provide a convertible loan to airBaltic of LVL 67 million (EUR 94,86 million) at an interest rate of [9 — 11] % divided into two tranches (‘the second State loan’,<span>measure 2</span>)<a> (<span>20</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(32)</p></td><td><p>The first tranche of the second State loan of LVL 41.6 million (EUR 58,89 million) was immediately made available to airBaltic by agreement of 14 December 2011. The second tranche of LVL 25,4 million (EUR 35,96 million) was made available to the company on 14 December 2012, i.e. after the Commission had adopted its opening decision.</p></td></tr></tbody></table>
4.3. AIRBALTIC'S CAPITAL INCREASE AGREED ON 22 DECEMBER 2011
<table><col/><col/><tbody><tr><td><p>(33)</p></td><td><p>During airBaltic's shareholders' meeting of 22 December 2011, the Latvian State and BAS — despite it having only one share in the company at that time — agreed to a capital increase of LVL 110 million (EUR 155,74 million) (‘the capital increase’,<span>measure 3</span>). This was to be achieved through conversion into capital of the first State loan, the first tranche of the second State loan and the BAS loan, together with a cash contribution from BAS of LVL 37,7 million (EUR 53,38 million).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(34)</p></td><td><p>The Latvian State executed its decision to participate in airBaltic's capital increase on 29 December 2011 and proceeded to convert into capital the first State loan and the first tranche of the second State loan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(35)</p></td><td><p>By letter of 4 January 2012, the Ministry of Transport of Latvia requested that BAS participate in the capital increase by converting the BAS loan and injecting the cash. Despite the requests of the Latvian authorities, BAS did not seem inclined to fulfil the agreement reached at the shareholders' meeting. Indeed, by letters dated 6 to 26 January 2012, BAS contested the State's acquisition from Latvijas Krājbanka of the airBaltic shares that BAS previously owned (see recital 21 above) and requested that the State refrain from adopting decisions concerning changes in airBaltic's capital. On 19 January 2012 the FCMC issued a formal prohibition to BAS and airBaltic on including the BAS loan as part of the capital increase</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(36)</p></td><td><p>By 30 January 2012, i.e. the end of the first stage of the subscription implementation period for the capital increase, BAS had neither converted its loan nor injected the cash.</p></td></tr></tbody></table>
4.4. THE COMPLAINT FROM BAS AND SUBSEQUENT EVENTS
<table><col/><col/><tbody><tr><td><p>(37)</p></td><td><p>The complaint filed with the Commission on 9 January 2012 concerned the first and second State loans as well as the capital increase. In addition, BAS complained about two other measures potentially entailing aid to airBaltic, namely the acquisition by the State of 0 %-coupon bonds from airBaltic in April 2010 (<span>measure 4</span>) and the payment of EUR 2,8 million by Latvijas Krājbanka to airBaltic on 21 and 22 November 2011 (<span>measure 5</span>).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(38)</p></td><td><p>Latvia explained that measure 4 entailed the acquisition of LVL 30 million (EUR 42,47 million) of 0 %-coupon bonds from airBaltic in by the majority shareholders of airBaltic at the time, i.e. the Latvian State and BAS. The part corresponding to Latvia was not directly subscribed by the Ministry of Transport — the actual owner of airBaltic's shares — but by the Latvian State Radio and Television Centre (‘LVRTC’), a 100 % State-owned company. The bonds were acquired with a nominal value of LVL 1 each and had no interest, and were purchased by Latvia and BAS in proportion to their shareholding. This would result in the Latvian State acquiring 0 %-interest bonds from airBaltic in an amount of approximately LVL 15,78 million (EUR 22,34 million) and BAS acquiring approximately LVL 14,22 million (EUR 20,13 million). The bonds are to be converted into capital on 1 July 2015, at a rate of one share per bond.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(39)</p></td><td><p>As regards measure 5, the Latvian authorities explained that no payments were made to airBaltic on 21 and 22 November 2011 as alleged by the complainant. However, airBaltic submitted three payment orders to Latvijas Krājbanka prior to the decisions of the FCMC of 17 November 2011 to limit banking operations above EUR 100 000 and to halt all operations of Latvijas Krājbanka on 21 November 2011 (see recital 20 above). These orders were executed by Latvijas Krājbanka days after. In particular, the operations at stake were two payments of USD […] million to IATA Clearing House and of EUR […] million to Riga International Airport executed on 25 November 2011, and a transfer of EUR […] million to an alternative bank account of airBaltic in Swedbank on 30 November 2011.</p></td></tr></tbody></table>
4.4.1. The ‘reShape’ plan of March 2012
<table><col/><col/><tbody><tr><td><p>(40)</p></td><td><p>In March 2012, airBaltic adopted a plan entitled ‘reShape’. It foresees a number of measures, including the purchase of more efficient planes<a> (<span>21</span>)</a> and the closure of certain routes, which would allow the company to break-even in 2014 in the realistic and optimistic scenarios. However, in the pessimistic scenario, airBaltic would have negative EBIT until at least 2016.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(41)</p></td><td><p>The reShape plan foresees that on top of the LVL 83 million (EUR 117.51 million) already committed to the company,<a> (<span>22</span>)</a> additional financing of LVL [45 — 55] million (EUR [64 — 78] million) will be needed […] in the realistic scenario. This amount would go down to LVL [5 — 15] million (EUR [7 — 21] million) in the optimistic scenario but would increase to LVL [135 — 145] million (EUR [192 — 206] million) in the pessimistic one.</p></td></tr></tbody></table>
4.5. THE COMPLAINT OF 18 JULY 2012
<table><col/><col/><tbody><tr><td><p>(42)</p></td><td><p>Apart from Latvia and BAS, a number of other investors were also parties to the Agreement. These investors agreed to grant two syndicated loans to airBaltic for EUR 35 million each at an initial interest rate of [5 — 7] %. Syndicated loan 1 was supposed to be provided by Latvijas Krājbanka and the Lithuanian bank Snoras. Syndicated loan 2 was supposed to be provided by several companies, among others Taurus. These syndicated loans were to be granted in order to novate several claims that those private investors held against airBaltic. In case BAS would not fulfil its commitments under the Agreement, in line with its Article 7.4, the investors who were to grant to airBaltic the syndicated loan 2 — including BAS' shareholder Taurus — agreed to ‘<span>assign and to hand over to the State or its nominated company for the sum of LVL 1 all claims which stem from […] the outstanding [syndicated] loan nr 2</span>’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(43)</p></td><td><p>On 18 July 2012, the Commission received an additional complaint (see recital 7 above) regarding the obligation of the investors under Article 7.4 of the Agreement to assign and to hand over to the State or its nominated company all claims stemming from syndicated loan 2 for just LVL 1 (see recital 28 above). The complainant alleges that by letters of 9 February 2012 and 12 June 2012 the Latvian State had decided that a claim of EUR 5 million towards airBaltic for syndicated loan 2 — the part granted by Taurus, out of a total of EUR 35 million — is to be assigned to airBaltic for a price of LVL 1 (<span>measure 6</span>).</p></td></tr></tbody></table>
5. THE OPENING DECISION
<table><col/><col/><tbody><tr><td><p>(44)</p></td><td><p>On 20 November 2012, the Commission decided to open the formal investigation procedure. In its opening decision, the Commission came to the preliminary view that airBaltic could be considered a firm in difficulty at the time the measures identified were provided. It also expressed doubts as regards the six measures under assessment and came to the preliminary conclusion that all of them entailed state aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(45)</p></td><td><p>The Commission first noted that the first State loan (<span>measure 1</span>) was provided by the State at the same time as the BAS loan — in proportion to their shareholdings — and at identical conditions, which at first sight would seem to suggest that the loans had been granted on<span>pari passu</span> terms. However, the Commission observed that it could not assess the first State loan and the BAS loan in isolation but in the overall context of the provisions of the Agreement. Accordingly, the Commission noted that from the Agreement it did not result that, in addition to the BAS loan, BAS also had to issue a convertible loan to airBaltic alongside the second State loan and that the State had made commitments that were different and economically more significant than those taken by BAS. The Commission also observed that the decision of BAS to invest in airBaltic was taken in a context in which the public authorities had already demonstrated their willingness to financially support the company.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(46)</p></td><td><p>In relation to the interest rate of the first State loan and the cut on the interest rate of [5-15] percentage points occurred in December 2011 (see recital 30 above), the Commission considered it doubtful that the rates applied would be at market level in view of the significant difficulties of airBaltic at the time.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(47)</p></td><td><p>With regard to the second State loan (<span>measure 2</span>) the Commission first observed that it was already foreseen in the Agreement, albeit with an undetermined amount and subject to a number of factors. According to the Commission, the second State loan could not be considered<span>pari passu</span> since from the Agreement it did not follow — contrary to what Latvia argued — that, in addition to the BAS loan, BAS also had to issue a convertible loan to airBaltic. Moreover, the Commission highlighted that when Latvia decided to provide the second State loan to airBaltic, there was no possible concomitance on the side of BAS since it was under no obligation to provide any other loan to airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(48)</p></td><td><p>In relation to the interest rate of the second State loan ([9 — 11] %), the Commission expressed doubts that a private investor would have provided the company with a loan at such an interest rate in view of the difficulties that airBaltic was facing and the fact that the collateral used was the same as that granted in relation to the first State loan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(49)</p></td><td><p>Pertaining to the capital increase agreed on 22 December 2011 (<span>measure 3</span>), the Commission noted that at the time the recapitalisation decision was taken, BAS had lost all except one of its shares in airBaltic (since the State had acquired them from Latvijas Krājbanka). As a result, the State increased its shareholding in the company to 99,8 % (see recital 21 above). Therefore, the conversion made little economic sense for BAS, who — in order to regain its former shareholding — was requested not only to convert into capital the BAS loan but also to inject LVL 37,7 million (EUR 53,38 million) in cash, all this with limited possibilities that the equity would provide any return in the short- to medium-term in view of the difficulties of the company. Moreover, the Commission expressed doubts on the date at which measure 3 was actually granted.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(50)</p></td><td><p>The Commission also noted that BAS and the State had a certain period of time — presumably until 30 January 2012, i.e. the end of the first stage of the subscription implementation period for the capital increase — to inject the capital in airBaltic. The State however did so on 29 or 30 December 2011, while BAS eventually never converted its loan or injected the cash. According to the Commission, before converting the loans, Latvia should have waited until it was reasonably assured that BAS would also do so. On this basis, the Commission was of the view that measure 3 did not appear to be MEIP-conform.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(51)</p></td><td><p>In relation to the acquisition of LVL 30 million (EUR 42,47 million) of 0 %-coupon bonds from airBaltic in April 2010 (<span>measure 4</span>), the Commission highlighted that these bonds, in view of their characteristics, were comparable to a capital injection. Given that profitability was excluded from the outset since no interest was attached to the bonds and that future profitability upon conversion appeared unlikely in view of the difficulties of the company, the situation of the airline industry, and the absence at the time of a plan for bringing the company back to profitability, the Commission raised doubts about the market-conformity of measure 4. In addition, the Commission was not able to exclude that BAS acquired the bonds because of the strong interest shown by Latvia in airBaltic before the bond issuance.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(52)</p></td><td><p>Concerning the EUR 2,8 million payments by Latvijas Krājbanka (<span>measure 5</span>), the Commission could not conclude with certainty whether — at the time these payments occurred — the actions of Latvijas Krājbanka, being a 100 % State-owned bank as, were independent of those of the State. In this respect, the Commission observed that Latvia had provided no evidence that airBaltic submitted the payment and transfer orders before the FCMC decision of 17 November 2011 to limit banking operations per client above EUR 100 000.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(53)</p></td><td><p>Finally, regarding the EUR 5 million claim attributed to airBaltic (<span>measure 6</span>), the Commission explained in its opening decision that by virtue of Article 7.4 of the Agreement, Latvia had decided that a claim of EUR 5 million towards airBaltic for syndicated loan 2 — the part granted by Taurus, of a total of EUR 35 million — was to be assigned to airBaltic for a price of LVL 1. The Commission highlighted that in economic terms this operation was very similar to a debt waiver, by means of which Latvia was freeing airBaltic from its obligation to pay interests and to reimburse part of syndicated loan 2 to the bearer of the claim. In addition, the Commission concluded that measure 6 was not MEIP-conform since airBaltic was not entitled under the Agreement to get the credit in exchange of LVL 1.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(54)</p></td><td><p>In relation to the rest of the claims under syndicated loan 2 totalling LVL 30 million (EUR 42,47 million) (see recital 42 above), the Commission noted that the reasoning above would apply<span>mutatis mutandis</span> to these claims.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(55)</p></td><td><p>The Commission therefore came to the preliminary conclusion that the six measures under assessment entailed unlawful state aid, since they had been granted in breach of the notification and stand-still obligations established in Article 108(3) TFEU.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(56)</p></td><td><p>The Commission also expressed doubts on the<span>compatibility</span> with the internal market of the six measures under assessment, in particular since the Latvian authorities did not provide any possible grounds for compatibility. Of the possible compatibility grounds, the Commission preliminarily considered — in view of the difficulties of airBaltic — that they only applicable criteria were those concerning aid for rescuing and restructuring firms in difficulty under Article 107(3)(c) TFEU on the basis of the Community guidelines on State aid for rescuing and restructuring firms in difficulty<a> (<span>23</span>)</a> (‘the R&R Guidelines’). In this respect, on the basis of the information available at the time, the Commission was of the view that the conditions for rescue aid did not seem to be met, and that the reShape plan did not include any of the necessary elements for it to be considered a restructuring plan in the sense of section 3.2 of the R&R Guidelines.</p></td></tr></tbody></table>
6. COMMENTS ON THE OPENING DECISION
6.1. COMMENTS FROM LATVIA
<table><col/><col/><tbody><tr><td><p>(57)</p></td><td><p>In its comments on the Commission's opening decision, Latvia notes that<span>measures 1, 2, 3 and 6</span> were interdependent and that they derive from the Agreement, thus constituting essentially one and the same financial transaction which must be assessed at the time when the Agreement was entered into, i.e. 3 October 2011. On this basis, Latvia concludes that these measures are concomitant and MEIP-conform, thereby excluding state aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(58)</p></td><td><p>Latvia argues that BAS was the initiator of the Agreement and actually asked the State to participate in the capital increase. Eventually, the State agreed to the investment subject to strict conditions laid down in the Agreement. One of the key elements of the Agreement was an injection by the State and BAS of around LVL 100 million (EUR 141,58 million) in two stages: (i) LVL 30 million (EUR 42,47 million) in the form of the first State loan and the BAS loan, and (ii) approximately LVL 70 million (EUR 99,1 million) to be provided by the State and BAS according to their shareholding. Therefore, according to Latvia, BAS was under a contractual obligation to inject additional capital into airBaltic in proportion to its shareholding. Latvia derives this conclusion from Article 7.2 of the Agreement, which establishes that the State would provide a second loan to airBaltic ‘<span>in proportion to its voting rights</span>’, which in Latvia's view means that BAS had to inject money also in proportion to its shareholding.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(59)</p></td><td><p>Latvia also notes that the Agreement provides for a number of contingency measures aimed at protecting the financial interests of the State in case BAS would fail not fulfil its obligations: (i) the right for the State to acquire the shares from BAS in exchange of LVL 1, (ii) the obligation for the private investors that granted syndicated loan 2 to airBaltic to attribute their claims against airBaltic to the State under certain circumstances, and (iii) the obligation for the investors to compensate airBaltic for certain off-balance sheets liabilities amounting to approximately EUR […] million<a> (<span>24</span>)</a>. The fact that BAS and the investors accepted these contingency measures is, in Latvia's opinion, proof that the investors were confident that BAS would fulfil its obligations. On this basis, Latvia considers that measures 1, 2 and 3 were concomitant and MEIP-rational. In addition, since measure 6 was a corollary of the contingency measures, Latvia claims that this measure does not entail aid either.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(60)</p></td><td><p>In addition, as regards<span>measure 1</span>, Latvia adds that the interest rate was in line with the MEIP and the Reference Rate Communication<a> (<span>25</span>)</a> and argues that the lowering of the interest rate from [11 — 13] % to [2 — 4] % was economically rational for the State in order to reduce the funding costs of airBaltic (which at time it already owned at 99,8 %). Concerning<span>measure 2</span>, Latvia is of the opinion that the interest rate was in line with the MEIP.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(61)</p></td><td><p>Concerning<span>measure 3</span>, the Latvian authorities argue that the conversion into capital of the first State loan and the first tranche of the second State loan was done on the basis of the concomitant decision by BAS to convert the BAS loan and to inject LVL 37,7 million (EUR 53,38 million) in cash, reached at airBaltic's shareholders meeting of 22 December 2011. The Latvian authorities reiterate that measures 1, 2 and 3 should not be assessed in isolation but only in conjunction with the wider transaction they form an inseparable part of. Since this transaction was agreed by BAS and the State in full concomitance, Latvia excludes the presence of aid. Latvia further argues that the fact that BAS did not fulfil its commitment within the maximum deadline (i.e. 30 January 2012) is irrelevant and that the State had no option but to convert the first State loan and the first tranche of the second State loan into capital — it did so on 29 December 2011. Moreover, Latvia explains that the State took all possible steps towards forcing BAS to fulfil its commitment.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(62)</p></td><td><p>In what relates to<span>measure 6</span>, Latvia adds that the attribution of the claims to airBaltic was a corollary of the measures foreseen in Article 7.4 of the Agreement. According to Latvia, this ensures that the entire Agreement is<span>pari passu</span>, since the assignment of the claim to airBaltic guarantee that the private investors make a proportionate contribution to the financial injection into airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(63)</p></td><td><p>Concerning<span>measure 4</span>, Latvia is of the opinion that the issuance of 0 %-coupon bonds was carried out concomitantly by the State and BAS under identical conditions and thereby excludes the presence of state aid. Latvia also explains that the decision to issue bonds was taken at the initiative of BAS. As regards the fact that these bonds offered no profit, Latvia claims that the Commission should take into account the so-called ‘owner effect’ and consider that the State, as shareholder of airBaltic, had different incentives than an outsider investor.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(64)</p></td><td><p>Finally, as regards<span>measure 5</span>, Latvia is of the opinion that no State resources were involved and that in any event the actions of the FCMC would not be imputable to the State.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(65)</p></td><td><p>In view of its opinion that no state aid was present, Latvia did not initially provide arguments on the compatibility of the measures with the internal market. However, during the course of the formal investigation procedure, Latvia provided arguments in this respect and noted that if state aid was present, it would be compatible restructuring aid under the R&R Guidelines.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(66)</p></td><td><p>On this basis, Latvia submitted in December 2013 a restructuring plan according to which the restructuring of airBaltic started in April 2011, when a first version of the plan was submitted to the company's management. This document identified some of the weaknesses of airBaltic and established that EUR [175 — 185] million in capital were needed. This first version of the plan evolved into the reShape plan of March 2012, which according to Latvia was a preliminary step to the restructuring plan submitted in December 2013.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(67)</p></td><td><p>The restructuring plan foresees a 5-year restructuring period from April 2011 to April 2016 and total restructuring costs of LVL [150 — 170] million (EUR [214 — 242] million). The restructuring plan foresees three types of restructuring measures: (i) optimisation of revenues and costs for the existing operations; (ii) network reconfiguration, resulting in adjustment of destinations, frequencies and timing; and (iii) network and fleet optimisation. The restructuring plan includes a total of 26 initiatives addressing revenue and costs, coupled with additional initiatives in the area of network reconfiguration and fleet renewal. As regards the restoration of airBaltic's viability, the plan expects that with these initiatives the company will break-even in 2014 and remain profitable thereafter, with EBIT reaching LVL [1 — 3] million (EUR [1,4 — 4,2] million) in 2014 and LVL [9 — 12] million (EUR [12,8 — 17] million) in 2016. The restructuring plan also includes revised financial forecasts on the basis of realistic, pessimistic and optimistic scenarios, which are subject to a sensitivity analysis in order to assess the risks and their possible impact.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(68)</p></td><td><p>The plan also puts forward a number of compensatory measures: (i) fleet reduction by 27 %; (ii) the surrender of 14 profitable routes; and (iii) the surrender of […] slot pairs in coordinated airports. Between 2011 and 2016, airBaltic will reduce its capacity by [17 — 20] % in terms of ASK<a> (<span>26</span>)</a> ([7 — 10] % when considering profitable routes only). According to Latvia, such capacity reduction would be in line with past cases. In addition, the restructuring plan includes the release of […] slot pairs as the result of the closure of several routes.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(69)</p></td><td><p>The restructuring plan estimates the restructuring costs at LVL [150 — 170] million (EUR [214 — 242] million), which will be used for repayment of third-party loans, to compensate losses resulting from the phase-out and disposal of certain aircraft, redundancy payments the purchase of new aircraft, etc.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(70)</p></td><td><p>In view of total restructuring costs, the proposed own contribution of airBaltic according to the restructuring plan amounts to LVL [100 — 110] million (EUR [141 — 155] million), i.e. [60 — 70] % of the total restructuring costs. According to the restructuring plan, the own contribution would results from several injections from private parties (including a liquidity facility and advance payments), private loans, a lease agreement for new aircraft and a partial write-off of debt with two banks.</p></td></tr></tbody></table>
6.2. COMMENTS FROM INTERESTED PARTIES
<table><col/><col/><tbody><tr><td><p>(71)</p></td><td><p>During the formal investigation procedure, the Commission received comments from Ryanair and airBaltic, as well as three individuals on behalf of creditors of airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(72)</p></td><td><p>Ryanair agrees with the Commission's preliminary findings that the measures under assessment are inconsistent with the market economy investor principle (‘MEIP’) and incompatible with the internal market. Ryanair however argues that the Commission's assessment of the MEIP was not complete in the opening decision, since the Commission should have considered whether a private investor would have opted for liquidating airBaltic upfront instead of providing it with additional capital<a> (<span>27</span>)</a>. Ryanair also argues that the Commission should have assessed in its opening decisions whether the liquidation of airBaltic was more profitable for the State than the provision of additional funds. Although Ryanair considers that it had no sufficient information to comment on the reShape plan, it notes its doubts that airBaltic would return to profitability and considered that the company should have been liquidated.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(73)</p></td><td><p>Ryanair also argues that any aid to airBaltic would harm its market position since Ryanair operates 13 routes from Riga, of which more than half in direct competition with airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(74)</p></td><td><p>airBaltic highlights in its comments that the reasons for the difficulties of the company were due to the conduct of the previous management and the unfortunate decisions of Mr Flick before October 2011, who — according to airBaltic — focused on a commercial strategy based solely on expansion and not on profitability. Also, airBaltic explains that the previous management of the company entered into many disadvantageous contracts and concluded transaction without business rationale, besides setting up an opaque corporate and organisational structure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(75)</p></td><td><p>Also according to airBaltic, when Latvia decided to participate and to execute the Agreement, it acted as a rational private investor. airBaltic notes that Latvia's investment was concomitant to that of BAS and that it had required severe sacrifices from BAS and other private investors. In addition, the Agreement included sufficient safeguards to ensure that Latvia's interest were fully protected against BAS; using these safeguards was — according to airBaltic — more rational for Latvia than to breach its investment commitments, thereby causing the company to go bankrupt, destroying the value of the existing shareholders and exposing itself to damage claims by the private investors. On this basis, airBaltic concludes that the decision of Latvia to enter into the Agreement does not contain elements of state aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(76)</p></td><td><p>As regards the acquisition by the State of 0 %-coupon bonds from airBaltic in April 2010 (measure 4), airBaltic is of the opinion that it was economically rational and a fully concomitant investment of the State and BAS and thereby concludes that it did not entail state aid. In relation to the payment of EUR 2,8 million by Latvijas Krājbanka to airBaltic on 21 and 22 November 2011 (measure 5), airBaltic considers that these were decisions taken in the course of airBaltic's business and that they concern private funds, thereby excluding the presence of State resources.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(77)</p></td><td><p>Finally, airBaltic highlights the role of airBaltic in keeping Latvia connected with the rest of the EU and provides some information on the implementation of the reShape plan by the new management of the company.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(78)</p></td><td><p>As regards the comments provided by three individuals on behalf of creditors of airBaltic, they had a similar structure. The creditors complain in general terms about the measures subject to the opening decision, in particular as regards to measure 6. In addition, they made reference to certain unpaid debts of airBaltic which apparently had their origin in the Agreement and which allegedly had led some of the creditors into insolvency.</p></td></tr></tbody></table>
6.3. OBSERVATIONS FROM LATVIA ON THE COMMENTS OF INTERESTED THIRD PARTIES
<table><col/><col/><tbody><tr><td><p>(79)</p></td><td><p>In its observations on the comments of third parties, Latvia agreed with airBaltic's views that the measures under assessment did not entail state aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(80)</p></td><td><p>In relation to Ryanair's comments, Latvia observes that the case-law highlighted by Ryanair — suggesting that the State should have liquidated airBaltic instead of providing it with funds — is not applicable, since at the time the State was not a major creditor of airBaltic but merely a shareholder. According to Latvia, the private creditor test is not adequate to assess the rationality of the State's investment decisions in this case. In addition, Latvia argues that when it decided to enter into the Agreement it chose to suffer losses in the short-term with a view to return to profitability in the long-term and these investment decisions were taken at the initiative of BAS. Latvia also notes that the losses of airBaltic had been reduced and dismisses the arguments of Ryanair as groundless.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(81)</p></td><td><p>Finally, in what relates to the comments of the individuals on behalf of creditors of airBaltic, Latvia considers that they are unrelated to the measures set out in the opening decision and that they seemed to be aimed at improving the creditors' position in their commercial litigations with airBaltic.</p></td></tr></tbody></table>
7. ASSESSMENT OF THE MEASURES
<table><col/><col/><tbody><tr><td><p>(82)</p></td><td><p>This decision addresses as a preliminary point the issue of whether airBaltic is a firm in difficulty in the meaning of the R&R Guidelines (section 7.1 below). It then analyses whether the measures under examination entail state aid to airBaltic within the meaning of Article 107(1) TFEU (section 7.2 below) and whether any such aid is lawful (section 7.3 below) and compatible with the internal market (section 7.4 below).</p></td></tr></tbody></table>
7.1. DIFFICULTIES OF AIRBALTIC
<table><col/><col/><tbody><tr><td><p>(83)</p></td><td><p>As already indicated in the opening decision, the Latvian authorities themselves explain that the difficulties of airBaltic started in 2008, due to the global economic recession and the drastic oil price increase. As a result, in 2008 airBaltic made losses of LVL 28 million (EUR 39,64 million). In 2009 the company made profits of LVL 6 million (EUR 8,49 million). However, in 2010, airBaltic once again incurred losses, of LVL 34,2 million (EUR 48,42 million), which increased to LVL 84,7 million (EUR 119,2 million) in 2011. The Commission recalls that the Latvian Minister of Economy stated in June 2011 that airBaltic was close to bankruptcy<a> (<span>28</span>)</a>, while the press reported that the company filed for legal protection from its creditors on 21 September 2011<a> (<span>29</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(84)</p></td><td><p>The audited annual accounts of airBaltic show that the company had negative equity during the period 2009-2012, which moreover increased every year. Indeed, airBaltic had negative equity of LVL 19,2 million (EUR 27,18 million) in 2009, which increased to LVL 23,3 million (EUR 32,99 million) in 2010, to LVL 105,6 million (EUR 149,51 million) in 2011 and to LVL 125,1 million (EUR 177,12 million) in 2012.</p><p><span>Table</span></p><p><span>AirBaltic's key financial data 2007 — June 2011 (LVL thousands)</span></p><table><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>2009</p></td><td><p>2010</p></td><td><p>2011</p></td><td><p>2012</p></td></tr><tr><td><p>Net result</p></td><td><p>6 004</p></td><td><p>(34 207)</p></td><td><p>(84 761)</p></td><td><p>(19 117)</p></td></tr><tr><td><p>Operating costs</p></td><td><p>(207 312)</p></td><td><p>(266 930)</p></td><td><p>(306 183)</p></td><td><p>(248 168)</p></td></tr><tr><td><p>Financial expenses</p></td><td><p>(2 592)</p></td><td><p>(3 877)</p></td><td><p>(17 446)</p></td><td><p>(4 582)</p></td></tr><tr><td><p>Shareholders' equity</p></td><td><p>(19 282)</p></td><td><p>(23 359)</p></td><td><p>(105 620)</p></td><td><p>(125 145)</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(85)</p></td><td><p>Point 10(c) of the R&R Guidelines stipulates that a company is regarded as being in difficulty where it ‘<span>fulfils the criteria under its domestic law for being the subject of collective insolvency proceedings</span>’. This appeared to be the case of airBaltic at least as of 21 September 2011 — if not earlier — when it filed for legal protection from its creditors. The Commission however notes that the court allegedly rejected the legal protection a few days later, apparently because of the negotiations between Latvia and BAS that culminated in the Agreement. Irrespective of this, the Commission considers that, in any event, it would appear that airBaltic is a firm in difficulty within the meaning of point 11 of the R&R Guidelines</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(86)</p></td><td><p>In accordance with that provision, a firm may be considered to be in difficulty ‘<span>where the usual signs of a firm being in difficulty are present, such as increasing losses, diminishing turnover, growing stock inventories, excess capacity, declining cash flow, mounting debt, rising interest charges and falling or nil net asset value</span>’. From the table above it emerges clearly that airBaltic has been loss-making since 2008 (with the exception of 2009). However, it appears that airBaltic was able to achieve a profit in 2009 only due to the extraordinary drop in fuel prices. Therefore, as indicated in the opening decision, it appears that the return to profitability in 2009 was a one-off occurrence due to extraordinary circumstances and not a structural trend. The company's debt and financial expenses increased significantly between 2008 and 2009 but in particular between 2009 and 2010, when the cost of financing increased from LVL 3,8 million (EUR 5,38 million) to LVL 17,4 million (EUR 24,64 million)<a> (<span>30</span>)</a>. It also results that the cost-related variables of airBaltic increased at a rate of [5-10] % per year, that is, faster than the revenue-related variables which increased at [2 — 7] % annually. Finally, the Commission reiterates the finding in the opening decision that the losses of airBaltic were of such magnitude that in 2010 its negative equity amounted to approximately LVL 23,3 million (EUR 32,99 million), which increased to approximately LVL 105,6 million (EUR 149,51 million) due the additional losses incurred in 2011. Considering all of the factors mentioned above, it appears that the criteria in point 11 of the R&R Guidelines are met.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(87)</p></td><td><p>The Commission therefore comes to the conclusion that airBaltic was a firm in difficulty within the meaning of the R&R Guidelines at least from 2011.</p></td></tr></tbody></table>
7.2. EXISTENCE OF STATE AID
<table><col/><col/><tbody><tr><td><p>(88)</p></td><td><p>By virtue of Article 107(1) TFEU, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, in so far as it affects trade between Member States, be incompatible with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(89)</p></td><td><p>In order to conclude whether state aid is present, the Commission must assess whether the cumulative criteria laid down in Article 107(1) TFEU (i.e. transfer of State resources, selective advantage, potential distortion of competition and effect on intra-EU trade) are met for each of the six measures being assessed.</p></td></tr></tbody></table>
7.2.1. Measures 1, 2, 3 and 6 as a single transaction
<table><col/><col/><tbody><tr><td><p>(90)</p></td><td><p>Latvia argues that measure 1 must be assessed together with measures 2, 3 and 6 since they were agreed on the same date, i.e. 3 October 2011, at a point in time when Latvia and BAS were both major shareholders of airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(91)</p></td><td><p>The Commission agrees with the Latvian authorities that the first State loan (measure 1) and the BAS loan cannot be assessed in isolation and must therefore be viewed as part of the overall context of the Agreement, on the basis of which both loans were provided. However, the Commission disagrees with the argument of Latvia that the other measures must be assessed together as a single transaction.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(92)</p></td><td><p>The Commission is of the opinion that on 3 October 2011, when the Agreement was entered into, BAS and the State committed with absolute certainty to provide the first State loan (measure 1) and the BAS loan. Those measures may therefore be said to have been granted at that date. However, the exact amounts of the second State loan (measure 2) and of the capital increase (measure 3) cannot be ascertained with certainty from the information in the Agreement. In particular, as regards measure 2, the Agreement merely states that Latvia would provide a loan in proportion to its shareholding but does not quantify it. In this respect, the Commission observes that Article 7.1 of the Agreement states that the foreseeable equity increase (resulting from capitalisation of the first and second State loans and the BAS loan, together with an additional cash contribution from BAS) would not exceed LVL 100 million (EUR 141,58 million). However, the following points should be noted. First, only the first State loan and the BAS loan were quantified in the Agreement, at respectively LVL 16 million and LVL 14 million. The figure of LVL 100 million was merely a forecast, an estimate of what might be required or expected in terms of equity increase by the end of the year; the amount of the equity increase was not clearly determined in the Agreement. Indeed, the actual amount of the equity increase agreed in December 2011 was in fact LVL 110 million (see recital 33 above), i.e. in excess of what had been foreseen in the Agreement. The Commission is of the view that the amounts of Measures 2 and 3 were not determined or ascertainable on 3 October 2011.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(93)</p></td><td><p>Similarly, as regards measure 6, the Commission observes that when the Agreement was entered into on 3 October 2011, the State did not know whether it would need to make use of Article 7.4 of the Agreement and have the claims of private investors assigned to it. In addition, the State was not obliged to assign to airBaltic the claims resulting from syndicated loan 2. The assignment of the claims of private investors to the State was a mere eventuality subject to BAS not fulfilling its obligations under the Agreement, something which was not known and which there was no reason to suspect on 3 October 2011. For this reason, measure 6 cannot be considered as having been granted at the moment the Agreement was signed and cannot therefore be considered as<span>pari passu</span> with the first State loan and the BAS loan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(94)</p></td><td><p>In addition, Latvia argues that most of the claims of the private investors which were supposed to be novated in the two syndicated loans were unsecured, and that had the State let the company go bankrupt, the private investors would have sued the State for damages, which would have been more costly for the State than providing the rest of measures to airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(95)</p></td><td><p>In the Commission's view, the claim that the private investors would have sued the State asking for damages is purely hypothetical and not supported by any evidence. In addition, nothing shows that Latvia actually took into account these considerations when providing support to airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(96)</p></td><td><p>In view of the above, the Commission comes to the conclusion that the argument of concomitance raised by the Latvian authorities does not stand. For this reason, the Commission concludes that measures 1, 2, 3 and 6 cannot be considered as constituting a single transaction decided on 3 October 2011 and will therefore assess them separately.</p></td></tr></tbody></table>
7.2.2. The first State loan (measure 1)
<table><col/><col/><tbody><tr><td><p>(97)</p></td><td><p>The Commission notes that the first State loan was provided directly by Latvia through the State Treasury upon request of the Ministry of Transport. This is expressly stated in the Agreement. It is therefore clear that measure 1 entails State resources and that it is imputable to the State. Latvia does not contest this point.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(98)</p></td><td><p>In order to assess whether measure 1 entailed an undue selective advantage to airBaltic, the Commission first observes that the first State loan and the BAS loan were agreed on 3 October 2011, i.e. the date of signature of the Agreement. At that moment in time, Latvia and BAS were the major shareholders of the company and the loans were provided in proportion to their shareholding (52,6 % and 47,2 % respectively), and with identical and linked conditions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(99)</p></td><td><p>As indicated in recital 45 above, the Commission had observed in the opening decision that BAS' decision to invest in airBaltic may have been influenced by the willingness of the public authorities to financially support the company. However, while it is true that the Latvian Government had expressed its interest in maintaining airBaltic as the national carrier,<a> (<span>31</span>)</a> the Commission observes that the support of the Latvian State was under negotiation and was still undetermined and subject to conditions. On this basis, the Commission cannot exclude that the first State loan and the BAS loan were provided concomitantly, thereby excluding the presence of aid. As the General Court has clarified, ‘<span>simultaneity cannot in itself, even where significant private investments have been made, suffice for a finding that there has been no aid within the meaning of Article [107(1) TFEU] without taking into consideration the other relevant facts and points of law</span>’<a> (<span>32</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(100)</p></td><td><p>The Commission has therefore also assessed whether the agreed interest rate of [11 — 13] % for the first State loan (and the BAS loan) can be considered to be at market level.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(101)</p></td><td><p>During the course of the formal investigation procedure, Latvia submitted evidence regarding the value of the collateral (trademarks and receivables) which was assessed by the independent auditor […] as part of an audit of the company initiated in the summer of 2011. As the receivables (as of 30 September 2011) were part of the relevant financial information, they were also subject to evaluation by […]. As regards the trademarks, their value was based on the price at which airBaltic had bought back the trademarks from BAS. In order to determine the liquidation value of the collateral, Latvia applied a […] % discount rate in accordance with the Latvian Treasury's internal collateral valuation methodology, which the Commission considers to be adequate in view of the nature of the collateral. On this basis, the liquidation value of the collateral was LVL [15 — 25] million (EUR [21,3 — 35,5] million) which was [15 — 25] % higher than the amount of the first State loan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(102)</p></td><td><p>In addition, the Commission observes that in view of the significant collateral on the first State loan, applying an interest rate of [11 — 13] % would be in line with the Reference Rate Communication.<a> (<span>33</span>)</a> The assertion that an interest rate of [11 — 13] % was market confirm is moreover reinforced by the fact that BAS (a private investor) had waived its right to have the BAS loan collateralised (see recital 26 above): the BAS loan was therefore more risky than the State loan but was granted at the same interest rate.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(103)</p></td><td><p>Bearing in mind the level of collateralisation and the interest rate applied, the Commission concludes that measure 1 did not entail a selective advantage to airBaltic and that the presence of state aid can be excluded, without it being necessary to assess further whether the rest of the cumulative conditions of Article 107(1) TFEU would be met<a> (<span>34</span>)</a>.</p></td></tr></tbody></table>
The reduction of the interest rate of the first State loan from [11 — 13] % to [2 — 4] %
<table><col/><col/><tbody><tr><td><p>(104)</p></td><td><p>On 13 December 2011, i.e. once Latvia's shareholding in airBaltic had increased to 99,8 % (see paragraph (21) above), the Latvian Government decided to authorise a cut in the interest rate on the first State loan — and thus also of the BAS loan — of [9 — 11] percentage points corresponding to the risk premium, from [11 — 13] % to [2 — 4] %.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(105)</p></td><td><p>Latvia considers that the reduction of the interest rate was justified because the loan was risk-free, given that the liquidation value of the collateral was estimated to be LVL [15 — 25] million (EUR [21,3 — 35,5] million), i.e. [15 — 25] % higher than the amount of the first State loan (see recital 101 above).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(106)</p></td><td><p>The Commission is not convinced by the arguments of Latvia when it claims that by lowering the interest rate, the State reduced the funding costs of airBaltic (since the interest rate of the BAS loan was also reduced), which at the time was almost exclusively owned by the State at 99,8 %. This was — according to Latvia — a rational decision for the State since the foregone revenues for the State in the form of interest were compensated by the advantage that the State, as a majority shareholder of airBaltic, derived from the company having to pay lower interest.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(107)</p></td><td><p>On the other hand, the Commission recalls that at the time the first State loan and the BAS loan were granted, the Agreement stipulated that the conditions of both were identical and linked, and therefore any change in one of the loans would result in an identical change on the other loan. The reduction of the interest rate is therefore mirrored for both loans and the very significant level of collateralisation of the loan and the fact that the BAS loan was not collateralised remain unchanged. Since BAS had agreed up front to link the conditions of the BAS loan to those of the first State loan, the Commission has no reasons to consider that this would not be a market-conform decision.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(108)</p></td><td><p>On this basis, the Commission concludes that even taking into account the reduction of the interest rate, measure 1 did not entail a selective advantage to airBaltic and the presence of state aid can be excluded.</p></td></tr></tbody></table>
7.2.3. The second State loan (measure 2)
<table><col/><col/><tbody><tr><td><p>(109)</p></td><td><p>The second State loan was provided directly by Latvia through the State Treasury, by means of a decision of the Latvian Government of 13 December 2011 authorising the Ministry of Finance to provide in the State budget for a convertible loan to airBaltic of LVL 67 million (EUR 94,86 million). Therefore, measure 2 entails State resources and is imputable to the State.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(110)</p></td><td><p>The Commission observes that at the time when the second State loan was provided, i.e. 13 December 2011, BAS had lost its entire shareholding in airBaltic, with the exception of one share, and the State now owned 99,8 % of the company. Therefore, the State and BAS were no longer in a comparable position as shareholders.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(111)</p></td><td><p>Latvia argues that pursuant to Article 7.2 of the Agreement, which states that Latvia would provide a loan to airBaltic ‘<span>in proportion to its shareholding</span>’, BAS was obliged to provide funds to airBaltic in an amount corresponding to its number of shares. This was to be done by BAS at the time of the capital injection of December 2011 in the form of cash. The Commission notes, however, that on 13 December 2011 BAS only had one share in airBaltic. It follows that the State should have adopted the position of a prudent market economy investor and assessed whether, given the change in circumstances concerning the shareholdings, BAS had any incentive to inject cash into the company at the time of the capital increase. In fact, the State had foreseen this possibility and included in the Agreement several contingency measures — in particular in Article 7.4 — in case BAS failed to fulfil its commitments. Moreover, as Latvia acknowledges, the second tranche of the second State loan was to be released in the event that BAS failed to provide additional funds.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(112)</p></td><td><p>Article 7.4 of the Agreement gave the State the right to purchase from BAS all its shares in airBaltic for LVL 1. At the time the Agreement was signed, this meant a guarantee for the State that BAS would fulfil its commitments or else would lose all its shares in airBaltic. However, the situation changed radically on 30 November 2011, when Latvijas Krājbanka sold all except one of the airBaltic shares owned by BAS to the Latvian State (see recital 21 above). In this new context, Article 7.4 was deprived of its meaning. Indeed, with only one share, BAS had little incentive to fulfil its obligations: the consequence of not doing so would simply mean losing its only share in airBaltic. A prudent market operator would have carefully considered providing additional funds to airBaltic under those new circumstances and, at the very least, would have asked the other party (i.e. BAS) for assurance that it would indeed commit funds to the company. The Commission notes in addition that it seems unlikely that such assurance would have been given since BAS would have needed to inject a very high amount of money — much more than it could have originally estimated — in order to regain its former shareholding of 47,2 % or any other meaningful level of shares in airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(113)</p></td><td><p>Latvia also indicates that the second State loan was granted at market terms, thereby excluding any undue advantage to airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(114)</p></td><td><p>As regards the collateral, Latvia noted that the second State loan had the same collateral as the first State loan, i.e. receivables and the trademarks of airBaltic. As explained in paragraph (101) above, the liquidation value of the collateral was estimated at LVL [15 — 25] million (EUR [21,3 — 35,5] million).It thus appears that the level of collateralisation available for the second State loan would be low. Moreover, there is no reason to suppose that a private market operator would accept that security already in place on the first State loan would be reduced below at least 100 %.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(115)</p></td><td><p>In order to ascertain the market conformity of the rate applied to the first tranche of the second State loan, the Commission will use as the best available proxy the rate resulting from the application of the Reference Rate Communication. The base rate for Latvia on 13 December 2011 was 2,2 %. To this figure, a margin should be added depending on the rating of the beneficiary and the collateralisation of the loan. As indicated in the preceding paragraph, the level of collateralisation is low. Given the difficulties of airBaltic at the time, it follows from the Reference Rate Communication that a margin of 1 000 basis points should be added to the base rate, resulting in a rate of 12,2 %. It therefore appears that the interest rate of [9 — 11] % on the first tranche of the second State loan cannot be considered to be market conform.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(116)</p></td><td><p>The second tranche of the second State loan was made available to the company on 14 December 2012 at an interest rate of [6 — 8] %. Latvia argues that this interest rate is above the one resulting from the Reference Rate Communication and is therefore MEIP-conform.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(117)</p></td><td><p>According to the Reference Rate Communication, the applicable base rate for Latvia on 14 December 2012 was 1,91 %. The margin to be added to that base rate depends on the rating of the beneficiary and the level of collateralisation. As explained in section 7.1 above, the Commission is of the view that airBaltic was a firm in difficulty since at least 2011. In addition, the second tranche had as collateral the receivables and the trademarks of airBaltic. The arguments about the insufficiency of the collateral would apply<span>mutatis mutandis</span>, and thus a margin of 1 000 basis points should be added. The resulting reference rate would therefore be 11,91 %, well above the [6 — 8] % actually applied.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(118)</p></td><td><p>Bearing all of the above in mind, the Commission considers that a prudent market economy operator would not have provided the second State loan to airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(119)</p></td><td><p>On this basis, the Commission concludes that measure 2 conferred an undue advantage on airBaltic. This advantage was selective in nature given that its sole beneficiary was airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(120)</p></td><td><p>The Commission must also consider whether measure 2 was likely to distort competition and affect trade between Member States, by providing airBaltic with an advantage over competitors not receiving public support. It seems clear that measure 2 was able to affect intra-EU trade and competition as airBaltic competes with other EU airlines, in particular since the entry into force of the third stage of liberalisation of air transport (‘third package’) on 1 January 1993. In addition, for travel of relatively shorter distances within the EU, air travel is in competition with road and rail transport, and therefore road and rail carriers might also be affected.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(121)</p></td><td><p>Measure 2 thus enabled airBaltic to continue operating so that it did not have to face the consequences normally deriving from its difficult financial situation. Based on the considerations set out above, the Commission comes to the conclusion that measure 2 involved state aid for the benefit of airBaltic within the meaning of Article 107(1) TFEU.</p></td></tr></tbody></table>
7.2.4. The capital increase agreed on 22 December 2011 (measure 3)
<table><col/><col/><tbody><tr><td><p>(122)</p></td><td><p>As indicated above, the first State loan and the first tranche of the second State loan entail State resources and are imputable to the State. Their conversion into capital was decided by the Ministry of Transport of Latvia, i.e. 99,8 % shareholder in airBaltic since 30 November 2011. Therefore, measure 3 also entails State resources and is imputable to the State.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(123)</p></td><td><p>The Commission does not share the views of the Latvian authorities that measure 3 does not entail aid. In the first place, the Commission reiterates that the conclusions reached in section 7.2.1 above are applicable to measure 3. In addition, the Commission considers that measure 3 was granted not on 22 December 2011 (i.e. the date of the shareholders' meeting of airBaltic) but on 29 December 2011, date on which the State converted its loans. Indeed, according to the information provided by the Latvian authorities during the formal investigation procedure, according to the applicable rules BAS and the State had until 30 January 2012 to formalise the conversion decided at airBaltic's shareholders meeting.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(124)</p></td><td><p>The Commission also notes that on 29 December 2011, Latvia could have had reasonable doubts as to the willingness of BAS to fulfil its commitments. Indeed, BAS had already given indications that it would not convert its loan: Latvia itself admits that the second tranche of the second State loan, decided on 13 December 2011, was foreseen precisely to account for the eventuality that BAS would not fulfil its commitments. Moreover, since 30 November 2011 the State and BAS were no longer in a comparable position as shareholders since BAS had lost its entire shareholding in airBaltic with the exception of one share and the State owned 99,8 % of the company.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(125)</p></td><td><p>In view of those developments, the State, before actually converting the State loans, should have inferred — or at least had reasons to suspect — from BAS' actions that it did not intend to fulfil its obligations (see recital 35 above). Moreover, since BAS had lost all its shares in airBaltic except one, the remedy provided for in Article 7.4 of the Agreement — i.e. the right for the State to purchase from BAS all its shares in airBaltic for LVL 1 — had been deprived of meaning: the State had lost the means by which it could have forced BAS to abide by what it had agreed to.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(126)</p></td><td><p>Bearing the elements indicated above in mind, the Commission comes to the conclusion that a prudent market economy operator would not have converted its loans into capital before being sure that the other party would convert its loan and inject the cash, and in that context would have carefully assessed the incentives of the other party to fulfil its commitments.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(127)</p></td><td><p>Moreover, the Commission observes that, even if it had respected the agreement reached at the shareholders meeting, BAS would not have regained its former shareholding in airBaltic. In order to reach a 47,2 % stake, BAS would have had to invest much more than the amounts agreed to at that meeting. Therefore, the Commission is of the view that the State, had it acted in accordance with the MEIP, should have carefully considered whether BAS would invest significant amounts of money — the BAS loan and cash amounting to LVL 37,7 million (EUR 53,38 million) — in order to get a minority shareholding in airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(128)</p></td><td><p>As an additional argument, Latvia explains that BAS' obligation to inject the cash and convert the BAS loan was confirmed by the existence of a guarantee by a Russian entrepreneur, Mr Vladimir Antonov, who agreed to make the necessary payments on behalf of BAS.<a> (<span>35</span>)</a> However, it appears from the information available to the Commission that the guarantee was never in fact provided.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(129)</p></td><td><p>Latvia also indicates that the preconditions for the capitalisation of the State loans required by Article 7.2 of the Agreement were met on 13 December 2011, when it was presented with a business plan showing a return to profitability of airBaltic in 2015 and suggests that the decision to convert the State loans into capital was therefore MEIP-conform. The Commission however remains unconvinced of Latvia's arguments, since the plan was not complete and would not have ben relied upon by a rational private operator in order to inject significant amounts of capital into a firm in difficulty.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(130)</p></td><td><p>On the basis of the above, the Commission concludes that Latvia did not act on<span>pari passu</span> terms when converting its loans and therefore increasing airBaltic's capital. The State's behaviour was moreover not in line with the MEIP test. Therefore, airBaltic received an undue advantage resulting from measure 3, which is selective as the company was the sole beneficiary.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(131)</p></td><td><p>The Commission must also consider whether measure 3 was likely to distort competition and affect trade between Member States, by providing airBaltic with an advantage over competitors not receiving public support. The conclusions reached in recital 120 above apply<span>mutatis mutandis</span>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(132)</p></td><td><p>The Commission thus concludes that the conversion into capital of the first State loan and the first tranche of the second State loan entailed State aid to airBaltic within the meaning of Article 107(1) TFEU.</p></td></tr></tbody></table>
7.2.5. The 0 %-coupon bonds (measure 4)
<table><col/><col/><tbody><tr><td><p>(133)</p></td><td><p>As already indicated in the opening decision, it follows from the 30 April 2010 agreement formalising the purchase of the 0 %-coupon bonds that the purchaser LVRTC (see recital 38 above) acted on behalf of the Latvian State. In addition, Latvia has argued that bonds were purchased by the LVRTC for budgetary reasons. It is therefore clear that measure 4 entails State resources and that it is imputable to the State, points which furthermore Latvia does not contest.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(134)</p></td><td><p>In the course of the formal investigation procedure Latvia provided evidence demonstrating that both the State and BAS acquired the bonds in proportion to their shareholding in airBaltic and on the same conditions. In addition, it appears that the State did not provide funding to airBaltic before April 2010, while BAS had actually invested significant amounts in the company before that date. Finally, it emerged from the investigation that the bond issuance agreement was adopted at the initiative of BAS and airBaltic's management, which had already suggested to the State in April and June 2009 a capital increase in the company in proportion to their shareholdings.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(135)</p></td><td><p>As highlighted in the opening decision, the Commission is of the opinion that the purchase of 0 %-coupon bonds was not a typical investment by a prudent market operator. However, the Commission notes that Latvia and BAS were at the time major shareholders of airBaltic and their investment decision should be assessed from this perspective and not from that of a purely external investor. Indeed, it appears rational to conclude that the owners of airBaltic were not looking for short-term profit at the time but were interested in keeping the company afloat.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(136)</p></td><td><p>On the basis of the above, the Commission comes to the conclusion that Latvia acted as a prudent market operator when purchasing 0 %-coupon bonds together with the private investor BAS. The Commission therefore excludes the presence of an undue advantage in relation to measure 4, and assessment of the other cumulative conditions laid down in Article 107(1) TFEU concerning the presence of state aid is superfluous.</p></td></tr></tbody></table>
7.2.6. The EUR 2,8 million payments by Latvijas Krājbanka (measure 5)
<table><col/><col/><tbody><tr><td><p>(137)</p></td><td><p>Measure 5 relates to the payment of EUR 2,8 million by Latvijas Krājbanka to airBaltic on 21 and 22 November 2011. As explained in recital 39 above, airBaltic submitted three payment orders to Latvijas Krājbanka prior to the decisions of the FCMC of 17 November 2011 to limit banking operations above EUR 100,000 and of 21 November 2011 to halt all operations of Latvijas Krājbanka. Latvia considers that no State resources were involved given that the operations concerned three payment orders of airBaltic to IATA Clearing House, Riga International Airport and an alternative bank account of airBaltic in a different bank (see recital 39 above). These were, according to Latvia, mere common banking operations concerning private funds of airBaltic. Latvia also argues that the decisions of the FCMC were not imputable to the State.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(138)</p></td><td><p>Latvia has explained that the transfer of funds had their origin in payment orders submitted by airBaltic before the FCMC ordered the suspension of the activities of Latvijas Krājbanka on 21 November 2011. Latvijas Krājbanka executed the transactions on 25 and 30 November 2011.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(139)</p></td><td><p>Moreover, pursuant to the Law on the FCMC of 1 June 2000, the FCMC takes its decisions without having to take account of any requirement or instruction of any other public authority. In addition, the funding of the FCMC is not dependent upon the State, as the FCMC's activities are financed through payments by parties active on the Latvian financial and capital markets. It also appears from the applicable laws that the State is not involved in the execution of the enforcement powers and rights of the FCMC relating to its supervision of credit institutions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(140)</p></td><td><p>On the basis of the evidence before it, the Commission is of the view that the trustees appointed by the FCMC acted independently of the State, which would exclude imputability of their actions to Latvia.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(141)</p></td><td><p>On the basis of the above, the Commission concludes that measure 5 did not entail state aid within the meaning of Article 107(1) TFEU.</p></td></tr></tbody></table>
7.2.7. The EUR 5 million claim from Taurus attributed to airBaltic (measure 6)
<table><col/><col/><tbody><tr><td><p>(142)</p></td><td><p>The follow-up complaint received on 18 July 2012 refers to the obligation of the investors under Article 7.4 of the Agreement to hand over to the State or its nominated company — under certain circumstances — the outstanding claims stemming from syndicated loan 2 in exchange for LVL 1 (see recital 42 above).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(143)</p></td><td><p>In accordance with Article 7.4 of the Agreement, Taurus assigned to Latvia a EUR 5 million claim it had against airBaltic for LVL 1. Subsequently, Latvia assigned the claim to airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(144)</p></td><td><p>In relation to the remaining claims, amounting to EUR 30 million (EUR 42,47 million), which were supposed to be novated within the framework of syndicated loan 2, the Latvian authorities requested the investors by letter of 9 February 2012 to assign to it their respective claims in exchange for 1 LVL each. Furthermore, Latvia brought an action before the Riga Regional Court in relation to three of the investors in order to enforce Article 7.4 of the Agreement. Latvia has indicated its intention to also attribute these claims to airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(145)</p></td><td><p>Latvia argues that the assignment of the EUR 5 million claim to airBaltic was a contingency measure aimed at protecting the State's financial interests and should be seen as a<span>pari passu</span> measure under the Agreement, and thus exclude State aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(146)</p></td><td><p>The Commission notes that it follows clearly from Article 7.4 of the Agreement that the relevant claims were to be assigned or handed over ‘<span>to the State or its nominated company for the sum of LVL 1</span>’. Therefore, since the decision to attribute the EUR 5 million claim to airBaltic was taken by the State, this decision is imputable to it and entails State resources.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(147)</p></td><td><p>It emerged during the course of the formal investigation procedure that the agreements for the syndicated loans were never signed. However, it appears from the evidence submitted by Latvia that the courts recognised the validity of the Agreement as regards the obligation of the private investors to assign to the State or its nominated company the claims resulting from syndicated loan 2.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(148)</p></td><td><p>In this respect, Latvia indicates that, according to several judgments of the Latvian courts, the owner of the EUR 5 million claim is not entitled to request repayment of this amount but only to claim shares in airBaltic reflecting a EUR 5 million advance payment into the share capital of the company. Since the State already owned 99,8 % of the shares of airBaltic, Latvia argues that the entitlement to additional shares does not represent any meaningful economic value for the State.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(149)</p></td><td><p>The Commission notes that contrary to what Latvia suggests, while the courts may have recognised the right of the State to take over the claims resulting from syndicated loan 2 in line with Article 7.4 of the Agreement, this does not mean that Latvia was obliged to attribute this claim to airBaltic. The Commission notes that a prudent market economy operator would have not assigned the claim to airBaltic for LVL 1. Latvia has not provided evidence as to why the State was better off granting the claim to airBaltic than keeping it or using it for some other purpose. As a result of the assignment, Latvia placed the company in a more favourable position than its competitors.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(150)</p></td><td><p>Furthermore, the Commission does not agree with the arguments of the Latvian authorities and highlights that any additional share in airBaltic would have an additional value to the State, even if small, such that the presence of aid cannot be excluded.<a> (<span>36</span>)</a> In addition, by granting the claim to airBaltic, the State gave up not only to the claim but also any right to interest at a rate of [5 — 7] % thereon.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(151)</p></td><td><p>Finally, Latvia argues that measure 6 should be considered as having been granted, for State aid law purposes, on 3 October 2011, i.e. at the date of signature of the Agreement, together with measures 1, 2 and 3.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(152)</p></td><td><p>The Commission reiterates the conclusions reached in section 7.2.1 above, that is, when the Agreement was entered into on 3 October 2011, the State did not know whether it would need to make use of Article 7.4 of the Agreement. In addition, the State was not obliged to assign to airBaltic the claims affected by the application of that provision.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(153)</p></td><td><p>Finally, the Commission observes that Latvia has not substantiated its claim that the purpose of Article 7.4 of the Agreement was to safeguard the State's investment in airBaltic by preventing any harm to the State in case of default of BAS.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(154)</p></td><td><p>The Commission thus concludes that by providing measure 6, the State did not act as a market economy investor, nor was the operation<span>pari passu</span> with measures 1, 2 and 3. Therefore, the Commission is of the opinion that measure 6 conferred an undue advantage on airBaltic. This advantage was selective in nature given that its sole beneficiary was airBaltic.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(155)</p></td><td><p>For the reasons set out in recital 120 above, measure 6 was likely to distort competition and affect trade between Member States.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(156)</p></td><td><p>On account of the arguments above, the Commission comes to the conclusion that measure 6 involved state aid for the benefit of airBaltic within the meaning of Article 107(1) TFEU.</p></td></tr></tbody></table>
7.2.8. Conclusion on the existence of aid
<table><col/><col/><tbody><tr><td><p>(157)</p></td><td><p>The Commission concludes that measures 1, 4 and 5 did not entail state aid for the reasons set out above.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(158)</p></td><td><p>However, the Commission considers that measures 2, 3 and 6 constituted state aid to airBaltic. In order to determine the amount of aid already disbursed to airBaltic, the Commission observes that measure 3 consisted of the capitalisation of the first State loan of LVL 16 million (EUR 22,65 million) and the first tranche of the second State loan of LVL 41,6 million (EUR 58,89 million). The second tranche of the second State loan of LVL 25,4 million (EUR 35,96 million) made available to airBaltic on 14 December 2012 — i.e. the remaining part of measure 2 which had not been capitalised — should be added to that amount, together with the EUR 5 million attributed to airBaltic as measure 6. The overall total amount of State aid granted to airBaltic is therefore approximately LVL 86,53 million (EUR 122,51 million).</p></td></tr></tbody></table>
7.3. LEGALITY OF THE AID
<table><col/><col/><tbody><tr><td><p>(159)</p></td><td><p>Article 108(3) TFEU states that a Member State shall not put an aid measure into effect before the Commission has adopted a decision authorising this measure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(160)</p></td><td><p>The Commission observes that Latvia granted measures 2, 3 and 6 to airBaltic without notifying them to the Commission for approval. The Commission regrets that Latvia did not comply with the stand-still obligation and therefore violated its obligation according to Article 108(3) TFEU.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(161)</p></td><td><p>As regards the intention of the Latvian authorities to grant to airBaltic EUR 30 million resulting from syndicated loan 2 and linked to measure 6, the Commission recalls the obligation of the Latvian authorities under Article 108(3) TFEU to inform the Commission, in sufficient time to enable it to submit its comments, of any plans to grant aid.</p></td></tr></tbody></table>
7.4. COMPATIBILITY OF THE AID
<table><col/><col/><tbody><tr><td><p>(162)</p></td><td><p>Insofar as measures 2, 3 and 6 constitute state aid within the meaning of Article 107(1) TFEU, their compatibility must be assessed in the light of the exceptions laid down in paragraphs 2 and 3 of that Article. As indicated in the opening decision, in view of the nature of the measures and of the difficulties of airBaltic, the only relevant compatibility criteria appear to be those concerning aid for rescuing and restructuring firms in difficulty under Article 107(3)(c) TFEU on the basis of the R&R Guidelines, and in particular the provisions regarding restructuring aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(163)</p></td><td><p>The Latvian authorities were initially of the view that none of the measures entailed state aid. However, on the basis of the doubts raised by the Commission in its opening decision, Latvia provided compatibility arguments and argued that the measures constitute compatible restructuring aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(164)</p></td><td><p>In particular, Latvia provided an updated restructuring plan in December 2013, complemented by submissions of 28 January, 28 February and 24 March 2014. Latvia notes that the restructuring of airBaltic started on 18 April 2011, when a first plan was submitted to the company's management. This first plan, which was submitted to the Commission, identified some of the weaknesses of airBaltic and established that approximately EUR [175 — 185] million in share capital was needed to allow the company to renew its fleet and allow it to compete effectively with low-cost carriers. Latvia argues that as of April 2011, several actions were taken, including the closure of airBaltic's hub in Vilnius and the cancellation of routes, thereby starting airBaltic's restructuring process. In order to guarantee airBaltic's return to profitability, a comprehensive set of initiatives covering revenues, operations, network, fleet and overall organisation were developed at the later stage (the reShape plan).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(165)</p></td><td><p>This first plan was developed in 2011, and included the principal financial aspects of the restructuring. According to Latvia, this led to entering the Agreement and eventually resulted in the reShape plan of March 2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(166)</p></td><td><p>The arguments of Latvia will be assessed in the following sections.</p></td></tr></tbody></table>
7.4.1. Eligibility
<table><col/><col/><tbody><tr><td><p>(167)</p></td><td><p>According to point 33 of the R&R Guidelines, only firms in difficulty within the meaning of points 9 to 13 of the R&R Guidelines are eligible to receive restructuring aid. The Commission has already concluded that airBaltic was a firm in difficulty from at least 2011 (see recital 87 above).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(168)</p></td><td><p>Point 12 of the R&R Guidelines states that a newly created firm is not eligible for rescue or restructuring aid even if its initial financial position is unsecure. A firm is in principle considered as newly created for the first three years following the start of operations in the relevant field of activity. airBaltic was established in 1995 and cannot be regarded as a newly created firm. Also, airBaltic does not belong to a business group within the meaning of point 13 of the R&R Guidelines.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(169)</p></td><td><p>The Commission therefore concludes that airBaltic is eligible for restructuring aid.</p></td></tr></tbody></table>
7.4.2. The validity of the restructuring plan
<table><col/><col/><tbody><tr><td><p>(170)</p></td><td><p>The Commission notes that the restructuring of airBaltic started in April 2011, when the company's management prepared a first restructuring plan. This plan mainly focused on fleet optimisation and the need to replace the company's aircraft by more efficient planes, which is also a cornerstone of the later ReShape plan. At the same time, the Vilnius hub was closed. Several weeks later, upon review by […], the management of airBaltic included in the plan a headcount reduction of [8 — 12] %.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(171)</p></td><td><p>The 2011 plan was updated in the form of the reShape plan, referred to above and formally adopted during the first quarter of 2012. As noted in recital 164 above, the Latvian authorities submitted a restructuring plan to the Commission in December 2013, updating the reShape plan.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(172)</p></td><td><p>The Commission notes that the April 2011 restructuring plan set out the main needs of airBaltic. Although it was not fully developed, that plan constituted a first basis for determining the restructuring needs of airBaltic and ensuring that it would return to viability. It moreover constituted the basis for the reShape plan, which was under preparation at the time the Agreement was signed (i.e. 3 October 2011) and was finalised in March 2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(173)</p></td><td><p>In its past practice, the Commission has accepted that restructuring plans are defined over time and considered the initial plans as the starting point of the restructuring period. For instance, in the<span>Varvaressos</span> decision<a> (<span>37</span>)</a> the Commission considered that the measures granted to this firm between 2006 and 2009 were to be assessed as part of a restructuring continuum on the basis of a restructuring plan dated 2009 (covering the period 2006-2011). Similar to the airBaltic case, the 2009 restructuring plan of Varvaressos was the evolution of a ‘<span>strategic and business plan</span>’ dating from 2006.</p></td></tr></tbody></table>
7.4.3. Restoration of long-term viability
<table><col/><col/><tbody><tr><td><p>(174)</p></td><td><p>According to point 34 of the R&R Guidelines, the grant of restructuring aid must be conditional on implementation of a restructuring plan which must be endorsed by the Commission in all cases of individual aid. Point 35 explains that the restructuring plan, the duration of which must be as short as possible, must restore the long-term viability of the firm within a reasonable timescale and on the basis of realistic assumptions as to future operating conditions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(175)</p></td><td><p>Pursuant to point 36, the plan must describe the circumstances that led to the company's difficulties and take account of the present state and future market prospects with best-case, worst-case and base-case scenarios.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(176)</p></td><td><p>The plan must provide for a turnaround that will enable the company, after completing its restructuring, to cover all its costs including depreciation and financial charges. The expected return on capital must be high enough to enable the restructured firm to compete in the marketplace on its own merits (point (37).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(177)</p></td><td><p>The Commission observes that the restructuring plan describes the circumstances that led to airBaltic's difficulties, which were mainly caused by the global economic crisis of 2008-2009, which had a significant impact in the Baltic region, affecting also the airline sector.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(178)</p></td><td><p>In addition, the restructuring plan explains that the commercial strategy pursued in the past as well as a number of decisions by airBaltic's former management contributed further to the company's difficulties. In particular, as regards the commercial strategy of airBaltic, the restructuring plan highlights that in the past it had focused solely on expansion and not on profitability, thereby exposing the company to unsustainably high expenditure. The costs were moreover very much increased by reason of the fleet, which included four different types of aircraft, as well as the high costs of aircraft leasing. Routes were opened without adequately assessment of their profitability, and many of them were loss-making.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(179)</p></td><td><p>The restructuring plan covers a 5-year restructuring period starting in April 2011 and assumes a return of airBaltic to long-term viability by April 2016 at the latest, although according to the base-case scenario, airBaltic is expected to return to profitability in 2014. The duration of the restructuring is thus of a maximum of 5 years, in line with previous case practice in the passenger air transport sector<a> (<span>38</span>)</a>. Indeed, the Commission has consistently been of the view that, in the current economic circumstances, it is important to avoid a mere short-term turnaround and instead create a solid base for future growth. In that context, the necessary stabilisation of operational and services performance will take several years.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(180)</p></td><td><p>The restructuring plan emphasises the change in the commercial strategy of airBaltic, which aims at becoming a hybrid airline, targeting higher yield customers through most of the services traditionally offered by network carriers while seeking cost efficiencies typically developed by low-cost carriers. This strategy has already been implemented to a very significant extent by the new management of the company since October 2011. In addition, the restructuring plan envisages three main types of restructuring measures: (i) optimisation of revenues and costs for existing operations; (ii) network reconfiguration, resulting in adjustment of destinations, frequencies and timing in order to optimise RASK and CASK<a> (<span>39</span>)</a> at route level; and (iii) network and fleet optimisation, with the objective to review and define the optimal network and fleet size. In total, 13 initiatives addressing revenues and 13 initiatives addressing costs were developed, while two additional initiatives were developed in the area of network reconfiguration and fleet renewal.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(181)</p></td><td><p>Concerning fleet optimisation, the Commission observes that the diverse and ageing fleet of airBaltic is less fuel efficient and more maintenance intensive than that of competitors, which translates into increasing costs. During 2012 and 2013, airBaltic decided to operate only part of its available aircraft in order to decrease costs. In 2013, in order to partly compensate the loss in capacity resulting from the removal of the Fokker and Boeing 757 fleets, airBaltic added two Q400 Bombardier planes to its fleet. Moreover, with a view to replacing the fleet, the current leasing contracts have been renegotiated at more favourable terms until the new Bombardier CS300 becomes available in […] or […]. By the end of 2014, airBaltic will operate 25 aircraft and it will continue at this level until the end of the restructuring period in 2016. In overall terms, there will be a 27 % reduction of the aircraft fleet during the restructuring period.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(182)</p></td><td><p>As regards the network reconfiguration, the Commission observes that in 2013 the new network delivered an extra LVL [16 — 21] million (EUR [22,7 — 29,8] million) at C1 level<a> (<span>40</span>)</a> compared to the previous year, inter alia, due to the cancellation of unprofitable routes (e.g. […]) and reduction in frequencies ([…] on […], […] and […]).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(183)</p></td><td><p>The revenue initiatives include the introduction of new fare structures or the optimisation of the baggage fee structure. In addition, online check-in will be promoted, while the cabin crew and the sales force will operate on flexible remuneration. As regards the costs initiatives, they include the renegotiation of fuel prices with current suppliers and of the contracts for engine checks and overhauls, leasing optimisation, and reduction of hangar costs and costs relating to crew hotel stays. Also the current agreements with ground-handling providers will be renegotiated.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(184)</p></td><td><p>Most of the restructuring measures described in the preceding paragraphs have already been implemented. As a result of the revenue optimisation initiatives and the initiatives to reduce costs, as well as the fleet renewal and the network reconfiguration, airBaltic finished 2012 with a negative EBIT of LVL 30 million (EUR 42,47 million) as opposed to a budgeted negative EBIT of LVL 38 million (EUR 53,8 million). In 2013, the negative EBIT was reduced to LVL 7,7 million (EUR 10,9 million), also above target. It is expected that the company will break-even in 2014 and will remain profitable thereafter, with EBIT reaching LVL [1 — 3] million (EUR [1,4 — 4,2] million) in 2014 and LVL [9 — 12] million (EUR [12,8 — 17] million) in 2016. The return on equity (ROE) is expected to reach [3 — 6] % by 2014 and [18 — 21] % by 2016.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(185)</p></td><td><p>The restructuring plan includes revised financial forecasts on the basis of realistic, pessimistic and optimistic scenarios based on reliable assumptions. For instance, the realistic scenario assumes a market growth of [6 — 8] %, while it limits the growth of airBaltic to [1 — 3] % in 2014 and to [2 — 4] % in 2015 and 2016, with an inflation rate of [1 — 3] % per year and increasing fuel costs, passing from [950 — 1000] USD/t in 2014 to [1 000 — 1 050] USD/t in 2016. The load factor ranges from [69 — 71] % in 2014 to [71 — 75] % in 2016. In this scenario, the implementation of the initiatives will allow airBaltic to break even in 2014 (with EBIT of LVL [1 — 3] million (EUR [1,4 — 4,2] million)), while the company will remain profitable thereafter, with EBIT of LVL [6 — 9] million (EUR [8,5 — 12,8] million) in 2015 and of LVL [9 — 12] million in 2016 (EUR [12,8 — 17] million).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(186)</p></td><td><p>In all scenarios, airBaltic's EBIT would be positive by 2016, ranging from LV [10 — 15] million (EUR [14,2 — 21,3] million) in the optimistic scenario to LVL [5 — 10] million (EUR [7,1 -14,2] million) in the pessimistic one. The scenarios are also subject to a sensitivity analysis in order to assess the risks and their possible impact by 2016, in particular considering currency risks (appreciation/depreciation of USD against LVL and EUR) and changes to the load factors, fuel market price, yield and number of passengers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(187)</p></td><td><p>The Commission has assessed the restructuring plan and is of the view that it should enable airBaltic to achieve the expected return to long-term viability by April 2016 at the latest. The restructuring plan includes a detailed assessment of the circumstances leading to the difficulties of airBaltic, which are duly addressed as a result of the restructuring measures in the form of revenue and costs initiatives as well as initiatives in the area of network reconfiguration and fleet renewal.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(188)</p></td><td><p>In addition, the Commission considers that the restructuring plan submitted by Latvia duly quantifies the impact of the different restructuring measures, that the assumptions are adequate and appropriate to the context of the passenger air transport sector, and that viability is foreseen at adequate levels under all scenarios during the entire restructuring period. The sensitivity analysis is adequate and shows that the impact on EBIT of the factors taken into consideration would be limited.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(189)</p></td><td><p>Therefore, in view of the significant restructuring measures undertaken and the progress made to date, the Commission considers that the restructuring plan will enable airBaltic to restore its long-term viability within a reasonable timescale.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(190)</p></td><td><p>In addition, the evidence provided by Latvia shows that airBaltic is currently on track to meet most of the objectives fixed in the restructuring plan, which is an additional indicator of the reliability of the plan.</p></td></tr></tbody></table>
7.4.4. Avoidance of undue distortions of competition (compensatory measures)
<table><col/><col/><tbody><tr><td><p>(191)</p></td><td><p>According to point 38 of the R&R Guidelines, compensatory measures must be taken in order to ensure that the adverse effects on trading conditions are reduced to an acceptable level. These measures may comprise divestment of assets, reductions in capacity or market presence or reduction of entry barriers on the markets concerned (point (39).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(192)</p></td><td><p>In this regard, closure of loss-making activities which would at any rate be necessary to restore viability will not be considered as a reduction of capacity or market presence for the purpose of the assessment of the compensatory measures (point (40).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(193)</p></td><td><p>Latvia proposes as compensatory measures for airBaltic the cancellation of profitable routes, which leads to a reduction in capacity, and the surrender of slot pairs at coordinated airports.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(194)</p></td><td><p>In addition to the abandon of unprofitable routes as required for a return to viability, the restructuring plan provides for the surrender of 14 profitable routes<a> (<span>41</span>)</a> in terms of the C1 contribution margin. It is the Commission's practice, to consider routes as profitable if they had a positive C1 contribution margin in the year preceding their surrender<a> (<span>42</span>)</a>. The C1 contribution takes account of flight, passenger and distribution costs (i.e. variable costs) attributable to each individual route. The C1 contribution is the appropriate figure since it takes into account all costs which are directly linked to the route in question. Routes with a positive C1 contribution not only cover the variable costs of a route, but also contribute to the fixed costs of the company.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(195)</p></td><td><p>As regards capacity, the restructuring plan therefore provides that the total capacity of the company was [5 — 5,5] billion ASK in April 2011, while at the end of the restructuring period in April 2016, airBaltic's capacity is expected to be [4 — 4,5] billion ASK, i.e. an [17 — 20] % reduction. The Commission notes in this respect that mainly in the context of the return to long-term viability the fleet will be reduced from 34 aircraft in April 2011 to 25 aircraft by the end of 2014 and will remain at that level until the end of the restructuring period in April 2016 (see recital 181 above). When only profitable routes are considered, the capacity reduction is of [7 — 10] %.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(196)</p></td><td><p>In addition, the Commission observes that airBaltic has cancelled a number of routes operating from the fully coordinated<a> (<span>43</span>)</a> airports of […]. As a result, […] slots pairs in fully coordinated airports have been released in 2011 and 2012, which creates new business opportunities for competing airlines to operate routes to and from these airports and to increase their presence in them.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(197)</p></td><td><p>When assessing whether the compensatory measures are appropriate, the Commission will take account of the market structure and the conditions of competition to ensure that any such measure does not lead to deterioration in the structure of the market (point 39 of the R&R Guidelines). The compensatory measures must be in proportion to the distortive effects of the aid and, in particular, to the size and the relative importance of the firm on its market or markets. The degree of reduction must be established on a case-by-case basis (point 40 of the R&R Guidelines).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(198)</p></td><td><p>The Commission observes that airBaltic is a very small player in the European aviation market, representing 0,5 % of the output of the entire European airline industry.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(199)</p></td><td><p>In addition, the Commission comes to the view that the [7 — 10] % capacity reduction of airBaltic is not insignificant considering the relatively small size of airBaltic compared to the European airline industry's productive capacity and output in terms of passengers. For a relatively small carrier like airBaltic, further fleet and capacity reductions could endanger its return to long-term viability without providing any meaningful market opportunities for competitors. Moreover, although airBaltic is the largest air carrier in Latvia, its market share in Riga will decrease from [65 — 70] % in 2011 to [55 — 60] % in 2016.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(200)</p></td><td><p>Furthermore, the Commission observes that Latvia is an assisted area for regional investment aid purposes under Article 107(3)(a) TFEU<a> (<span>44</span>)</a>. According to point 56 of the R&R Guidelines, ‘<span>the conditions for authorising aid [in assisted areas] may be less stringent as regards the implementation of compensatory measures and the size of the beneficiary's contribution. If needs of regional development justify it, in cases in which a reduction of capacity or market presence appear to be the most appropriate measure to avoid undue distortions of competition, the required reduction will be smaller in assisted areas than in non-assisted areas</span>’.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(201)</p></td><td><p>The Commission has also taken into account the particularities of the present case when assessing the appropriateness of the proposed compensatory measures, bearing in mind Latvia's peripheral geographical situation and its accessibility to the rest of the European Union. In this respect, the Commission notes that the large majority of Latvia's railway system uses Russian gauge which is wider than the Standard gauge used in most of the EU, thereby creating interoperability problems with neighbouring EU countries Sea transport also appears to offer a limited degree of substitutability with air transport, in particular for passenger transport. Finally, the Commission observes that the closest international airports reachable by land transport are those of Vilnius and Tallinn, which are around 300 km away from Riga, thereby not constituting convenient alternatives hubs, in particular for business passengers.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(202)</p></td><td><p>Therefore, the Commission is of the view that the compensatory measures adopted by airBaltic, i.e. the [7 — 10] % capacity reduction and the surrender of slots in coordinated airports, are acceptable in the circumstances of the present case. The compensatory measures proposed by Latvia are therefore sufficient under the R&R Guidelines in order to ensure that the adverse effects on trading conditions resulting from the granting of restructuring aid to airBaltic are reduced to an acceptable level.</p></td></tr></tbody></table>
7.4.5. Aid limited to the minimum (own contribution)
<table><col/><col/><tbody><tr><td><p>(203)</p></td><td><p>According to point 43 of the R&R Guidelines, in order to limit the amount of aid to the strict minimum, a significant contribution to the restructuring costs from the beneficiary's own resources is necessary. This can include the sale of assets that are not essential to the firm's survival, or external financing at market conditions.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(204)</p></td><td><p>The own contribution must be real, i.e. actual, excluding all future profits such as cash flow (point 43 of the R&R Guidelines). Inherently, the own contribution must not include any further state aid. For large firms, the Commission usually considers a contribution of at least 50 % of the restructuring costs to be appropriate. However, in exceptional circumstances and in cases of particular hardship, the Commission may accept a lower contribution (point 44 of the R&R Guidelines).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(205)</p></td><td><p>The restructuring plan estimates the restructuring costs at LVL [150 — 170] million (EUR [214 — 242] million), based on the funds required for repayment of third-party loans (LVL [5 — 15] million (EUR [7,1 — 21,3] million)), compensation of losses resulting from the phase-out and disposal of certain aircraft (LVL [15 — 25] million (EUR [21,3 — 35,5] million)), provision for bad debts that the company would not be able to recover (LVL [5 — 10] million (EUR [7,1 — 15,3] million)), redundancy payments (LVL [1 — 4] million (EUR [1,4 — 5,6] million)), the purchase of new aircraft, in particular […] Bombardier Q400NG and […] Boeing 737-500 (for a total of LVL [50 — 60] million (EUR [71,1 — 85,3] million)), the repurchase of trademarks from BAS (LVL [5 — 15] million (EUR [7,1 — 21,3] million)), unforeseen off balance sheet liabilities resulting from a claim from […] (LVL [5 — 15] million (EUR [7,1 — 21,3] million)), and LVL [45 — 55] million (EUR [64 — 78,2] million) to buffer the expected losses until airBaltic returns to profitability.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(206)</p></td><td><p>In view of total restructuring costs of LVL [150 — 170] million (EUR [214 — 242] million), the proposed own contribution of airBaltic according to the restructuring plan amounts to LVL [100 — 110] million (EUR [141 — 155] million), i.e. [60 — 70] % of the total restructuring costs. The own contribution breaks down as follows:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>Private financial injections of LVL [20 — 30] million (EUR [28,4 — 42,6] million) granted by BAS and the private investors THC and […] in the period April-September 2011. This amount includes LVL […] million (EUR […] million) in the form of a liquidity facility granted by […] in March and May 2011 for the purchase of spare parts from airBaltic; LVL […] million (EUR […] million) and LVL […] million (EUR […] million) of advance payments into the equity of airBaltic respectively made by […] and […]; and LVL [6 — 8] million (EUR [8,5 — 12,3] million) from Transatlantic Holdings deriving from a share purchase agreement.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>Private loans of LVL [20 — 30] million (EUR [28,4 — 42,6] million) granted by BAS after the Agreement, namely the BAS loan (LVL 14 million (EUR 19,82 million)) and a vendor loan of LVL [5 — 15] million (EUR [7,1 — 21,3] million) for the repurchase of trademarks.</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>Lease agreements for new aircraft valued at LVL [45 — 55] million (EUR [64 — 78] million).</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><p>LVL […] million (EUR […] million) from a partial debt write-off resulting from the restructuring of the debt of airBaltic agreed with Latvijas Krājbanka and Snoras in March 2014.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(207)</p></td><td><p>Regarding the private financial injections mentioned in point (i) above, Latvia has demonstrated that BAS made advance payments into the equity of the company of LVL [7 — 9] million (EUR [10 — 13] million) between June and July 2011. The Commission is of the view that these payments constitute an own contribution within the meaning of point 43 of the R&R Guidelines, since BAS was a private market operator and the Commission has no reasons to consider that it was not acting in accordance with market logic. The same conclusion applies to the LVL [6 — 8] million (EUR [8,5 — 12,3] million) provided by Transatlantic Holdings in exchange for […] outstanding unpaid shares in airBaltic, which took place in September 2011.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(208)</p></td><td><p>As regards point (ii) above, the Commission is of the view that the loan of LVL 14 million (EUR 19,82 million) granted by BAS, i.e. the BAS loan, constitutes external financing at market terms which can be accepted as own contribution from a private investor that was shareholder of the company at the time.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(209)</p></td><td><p>As regards the lease agreements for new aircraft in the amount of LVL [45 — 55] million (EUR [64 — 78] million) (point (iii) above), the restructuring plan explains that in March 2013 airBaltic concluded new lease agreements for aircraft with private counterparties as part of its fleet reduction and optimisation programme. The agreements relate to the net-lease of […] Bombardier Dash 8 Q400NG aircraft for a period of 10 years for a total amount of approximately USD […] million (EUR […] million), i.e. a monthly rent of approximately USD […] (EUR […]).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(210)</p></td><td><p>According to the restructuring plan, the lease was granted at market conditions by […]. The monthly rent is intended to cover the amortisation of the purchase price minus residual value at the end of year 10 of the relevant aircraft (plus a certain mark-up to cover […] financing and operating costs as well as a profit margin), thereby effectively equalling the purchase price of the new aircraft.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(211)</p></td><td><p>The Commission notes that lease arrangements as such are a standard form of financing in the airline industry and may be equated to loans provided to a company undergoing restructuring. The fact that there is collateral covering a significant part of the loan does not preclude that the loan be considered as ‘own contribution’. In addition, Latvia has confirmed that the lease arrangements are subject to standard collateralisation (i.e. the ability to seize the plane in case of a default and a cash security deposit). Therefore, the lessor runs a certain degree of creditor risk given that it would suffer considerable losses in the event of a default by airBaltic, i.e. the immediate loss of income from rent, which continues until the aircraft can be re-leased to a new customer, as well as the costs incurred to reconfigure the aircraft for the next operator.<a> (<span>45</span>)</a></p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(212)</p></td><td><p>On the basis of the above, the Commission notes that the lease agreements show that airBaltic was able to obtain external financing at market conditions. Therefore, the lease agreements can be regarded as proof that the market believes in the long term viability of airBaltic, given that the agreements are only secured by the standard type of collateral and the financier still runs a certain degree of risk. This is in line with point 43 of the R&R Guidelines, which states that the own contribution should originate from external financing at market conditions and is a sign that the market believes in the feasibility of the envisaged return to viability. The Commission hence considers the LVL [45 — 55] million (EUR [64 — 78] million) leases as part of the own contribution. This is moreover in line with past practice of the Commission, in, for example, the<span>Czech Airlines</span> case.<a> (<span>46</span>)</a></p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(213)</p></td><td><p>However, the Commission has doubts as regards some of the types of own contribution proposed in the restructuring plan, as explained below.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(214)</p></td><td><p>As regards the advance payment into the equity of airBaltic of LVL […] million (EUR […] million) made by […] in July 2011, it appears from the information submitted by Latvia that this is directly related to measure 6, which, it has been concluded, entails state aid. Therefore, the advance payment into equity of airBaltic made by […] cannot be considered as own contribution, which must necessarily be free of aid.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(215)</p></td><td><p>In relation to the liquidity facility of LVL […] million (EUR […] million) granted by […] between April and June 2011 for the purchase of spare parts, the Latvian authorities have not provided evidence allowing the Commission to have a clear understanding of this measure and its significance in terms of belief in a return to viability of the beneficiary. The Commission is therefore unable to conclude with certainty that this facility is acceptable as own contribution.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(216)</p></td><td><p>As regards the vendor loan of LVL [5 — 15] million (EUR [7,1 — 21,3] million) from BAS to airBaltic for the repurchase of trademarks, Latvia has not provided any evidence that the loan was actually provided.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(217)</p></td><td><p>On the basis of the above, the Commission does not consider acceptable as own contribution the advance payment into the equity of airBaltic of LVL […] million (EUR […] million) made by […] in July 2011, the liquidity facility for LVL […] million (EUR […] million) granted by […] between April and June 2011 for the purchase of spare parts, and the vendor loan of LVL [5 — 15] million (EUR [7,1 — 21,3] million) from BAS to airBaltic for the repurchase of trademarks and the partial debt write-off of LVL […] million (EUR […] million). The Commission also doubts, in particular on the basis of the inconclusive information provided in that respect (unclear nature of the debts at issue, including several claims and the trademarks of airBaltic) whether the LVL […] million (EUR […] million) partial debt write-off by the two banks can count as own contribution.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(218)</p></td><td><p>In any event, the Commission notes that the other measures proposed as own contribution are nevertheless in line with point 43 of the R&R Guidelines and that the level of own contribution is therefore acceptable. They amount to LVL [75 — 85] million (EUR [107 — 120] million), which is equivalent to approximately [48 — 50] % of the restructuring costs. For a large firm like airBaltic, the level of own contribution should normally be 50 %. However, according to point 56 of the R&R Guidelines, the Commission may be less stringent as regards the size of the own contribution in assisted areas, as was the case for Latvia at the time the measures were granted (see recital 200 above).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(219)</p></td><td><p>Therefore, the Commission considers that the requirements of point 43 of the R&R Guidelines have been fulfilled.</p></td></tr></tbody></table>
7.4.6. The ‘one time, last time’ principle
<table><col/><col/><tbody><tr><td><p>(220)</p></td><td><p>Finally, point 72 of the R&R Guidelines, which provides that a company that has received rescue and restructuring aid in the past 10 years is not eligible for rescue or restructuring aid (the ‘one time, last time’ principle), must be respected.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(221)</p></td><td><p>Since measures 1, 4 and 5 do not entail state aid, they are not to be taken into account for the purposes of the ‘one time, last time’ principle. Moreover, the Latvian authorities have confirmed that airBaltic has not benefited from any rescue or restructuring aid in the past 10 years. The Commission therefore considers that the ‘one time, last time’ principle is respected.</p></td></tr></tbody></table>
7.5. CONCLUSION AS REGARDS MEASURES 2, 3 AND 6
<table><col/><col/><tbody><tr><td><p>(222)</p></td><td><p>In view of the above, the Commission finds that Latvia unlawfully implemented measures 2, 3 and 6 in favour of airBaltic, in breach of Article 108(3) of the Treaty on the Functioning of the European Union. However, the Commission considers that the measures and the restructuring plan meet the conditions required by the R&R Guidelines. The Commission therefore considers the aid compatible with the internal market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(223)</p></td><td><p>Finally, the Commission notes that Latvia agreed to have the present decision adopted and notified in English.</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
The first State loan of LVL 16 million which the Republic of Latvia granted to airBaltic in 2011, as well as the acquisition by the State of 0 %-coupon bonds from airBaltic in April 2010 and the payment of EUR 2,8 million by Latvijas Krājbanka to airBaltic in November 2011, do not constitute aid within the meaning of Article 107(1) of the Treaty on the Functioning of the European Union.
Article 2
The second State loan of LVL 67 million and the capital increase of airBaltic, which the Republic of Latvia implemented in 2011, as well as the attribution to airBaltic of a claim of EUR 5 million, which the Republic of Latvia implemented in 2012, constitute aid within the meaning of Article 107(1) of the Treaty on the Functioning of the European Union.
That aid is compatible with the internal market within the meaning of Article 107(3)(c) of the Treaty on the Functioning of the European Union.
Article 3
This Decision is addressed to the Republic of Latvia.
Done at Brussels, 9 July 2014,
For the Commission
Joaquín ALMUNIA
Vice-President
<note>
( 1 ) OJ C 69, 8.3.2013, p. 40 .
( 2 ) Exchange rate of EUR 1 = LVL 0,7063. Average exchange rate for 2011 published by the European Central Bank, available at http://sdw.ecb.europa.eu/reports.do?node=100000233.
( 3 ) Cf . footnote 1.
( 4 ) Source: Riga International Airport Yearbook 2011, available at http://www.riga-airport.com/en/main/about-company/gada-gramata.
( 5 ) See http://bnn-news.com/airbaltic-shareholders-structure-11608. The press reports some links between Taurus and a Russian entrepreneur Mr Vladimir Antonov.
( 6 ) The former main shareholder and chairman of the Lithuanian bank Snoras was Mr Vladimir Antonov.
( 7 ) The Central Bank of Lithuania explained that it needed to nationalise Snoras because of the failure to meet regulatory requirements, failure to provide requested information, and the poor condition of assets. See http://en.rian.ru/ business/20120523/173624459.html and http://www.bloomberg.com/news/2011-12-19/antonov-says-he-invested-50-million-euros-in-latvia-s-airbaltic.html.
( 8 ) See http://www.lkb.lv/en/about_bank/news/archyve?item=2022&page=6.
( 9 ) See http://www.fktk.lv/en/publications/other_publications/2012-02-07_jsc_latvijas_krajbanka_c/.
( 10 ) The Minister of Transport explained that the goal of the acquisition was to protect the depositors of Latvijas Krājbanka. Apparently, BAS' financial problems threatened to prevent the State from investing in airBaltic's capital and thus the Government decided to act in the defence of its interests and take control of airBaltic. See http://www.bloomberg.com/news/2011-12-01/latvia-buys-out-minority-shareholder-in-airbaltic-ministry-says.html and http://www.sam.gov.lv/?cat=8& art_id=2598.
( 11 ) See http://www.baltic-course.com/eng/transport/?doc=54423. The press also reports that BAS allegedly owed LVL 14 million to Latvijas Krājbanka (see for instance http://www.baltic-course.com/eng/transport/?doc=53861).
( 12 ) According to Latvia, as of August 2013, BAS had not been declared bankrupt despite the attempts of several of its creditors.
( 13 ) In addition, it seems that at least since 2010 the main shareholders of airBaltic — the Latvian State and BAS — remained in conflict: the press reports on numerous legal actions between the Latvian State and BAS (see for instance http://atwonline.com/airline-finance-data/news/airbaltic-files-bankruptcy-0921).
( 14 ) See http://centreforaviation.com/analysis/airbaltics-restructuring-plan-is-in-full-swing-but-competition-from-estonian-air-is-rising-74754.
( 15 ) See http://www.eurofound.europa.eu/emcc/erm/factsheets/18371/Air%20Baltic%20Corporation? Template=searchfactsheets&kSel=1 and http://www.baltic-course.com/eng/transport/?doc=42089.
( 16 ) See https://www.airbaltic.com/en/bottom_menu/press-room/press_releases/2011/airbaltic-files-for-legal-protection-airbaltic-to-continue-operations.
( 17 ) The Latvian Ministry of Transport placed an advertisement in the European and British editions of the Financial Times on 27 August 2012 inviting non-binding expressions of interest to participate in the sale of shares issued by airBaltic. See http://prudentia.lv/upload_file/27082012-ABC%20ad%20EN.pdf.
( 18 ) Business secret.
( 19 ) The Latvian State apparently exercised this right on 8 June 2012 (see recital 23 above).
( 20 ) Contrary to what is stated in recital 80 of the opening decision, during the formal investigation procedure the Commission observed that BAS was not obliged under the Agreement to provide a convertible loan on pari passu terms alongside the second State loan.
( 21 ) On 10 July 2012 airBaltic signed a letter of intent with Bombardier to acquire 10 CS300 aircraft and take purchase rights on a further 10 CS300 jetliners. Based on the list price of the CS300 airliner, a firm-order contract will be valued at approximately USD 764 million (EUR 621,74 million), and could increase to USD 1,57 billion (EUR 1,28 billion) should the purchase rights be converted to firm orders. See http://www.airbaltic.com/public/49780.html. Exchange rate of EUR 1 = USD 1,2288 — average exchange rate for July 2012 published by the European Central Bank, available at http://sdw.ecb.europa.eu/reports.do?node=100000233.
( 22 ) The first State loan of LVL 16 million and the second State loan of LVL 67 million (including the second tranche of LVL 25,4 million, which following the reShape plan was provided to the company in the second half of 2012).
( 23 ) OJ C 244, 1.10.2004, p. 2 .
( 24 ) The EUR […] million figure is claimed by Latvia but does not result from the Agreement.
( 25 ) Communication from the Commission on the revision of the method for setting the reference and discount rates ( OJ C 14, 19.1.2008, p. 6 ).
( 26 ) ASK stands for available seat kilometre (seats flown multiplied by the number of kilometres flown). ASK is the most important capacity indicator of an airline as employed by the air transport industry and by the Commission itself in previous restructuring cases in the air transport sector.
( 27 ) Ryanair referred to Case C-405/11 P, Buczek Automotive , not yet published, at paras 55-57.
( 28 ) See http://www.eurofound.europa.eu/emcc/erm/factsheets/18371/Air%20Baltic%20Corporation?Template=searchfactsheets&kSel=1 and http://www.baltic-course.com/eng/transport/?doc=42089.
( 29 ) See http://atwonline.com/airline-finance-data/news/airbaltic-files-bankruptcy-0921.
( 30 ) Source: airBaltic's annual report for 2011.
( 31 ) See for instance the press release of the Cabinet of Minister of Latvia of 7 September 2011 (http://www.mk.gov.lv/en/aktuali/zinas/2011/09/070911-cm-01/), where the Prime Minister at the time is reported as having stated that ‘ it is essential to maintain airBaltic as the national air operator which creates substantial advantages for Latvia in the area of logistics, tourist attraction and as a significant employer, however, emphasizes the need to choose the solutions which are most favorable to the public interest ’.
( 32 ) Case T-565/08 Corsica Ferries v Commission , judgment of 11 September 2012, not yet reported, at para 122.
( 33 ) See footnote 24. The base rate for Latvia on 3 October 2011 was 2,2 %. To this figure a margin of 400 basis points should be added, considering the difficulties of airBaltic at the time and the significant level of collateralisation of the loan, resulting in a rate of 6,2 %.
( 34 ) The Commission nonetheless observes that the first State loan was capitalised on 29 December 2011 as part of measure 3. The assessment of measure 3 is presented in section 7.2.4 below.
( 35 ) The guarantee letter, dated 3 October 2011, states that the guarantee is void if the State ‘ has used its rights according to […] Clause 7.4 [of the Agreement] and the State has become no less than 99,78 % shareholder of voting shares of [airBaltic] ’. Indeed, Latvia became 99,8 % shareholder of airBaltic on 30 November 2011.
( 36 ) Case C-280/00, Altmark Trans GmbH and Regierungspräsidium Magdeburg v Nahverkehrsgesellschaft Altmark GmbH (Altmark) , [2003] ECR I-7747, para 81.
( 37 ) Commission Decision 2011/414/EU of 14 December 2010 on the State aid C 8/10 (ex N 21/09 and NN 15/10) implemented by Greece in favour of Varvaressos S.A. ( OJ L 184, 14.7.2011, p. 9 ).
( 38 ) See Commission decision in case SA.30908 — CSA — Czech Airlines — Restructuring pla n, at para. 107 and Commission decision in case SA.33015 — Air Malta plc. at para. 93. See as well Commission Decision 2010/137/EC of 28 August 2009 on State aid C 6/09 (ex N 663/08) — Austrian Airlines — Restructuring Plan ( OJ L 59, 9.3.2010, p. 1 ) at para. 296 and Commission Decision 2012/542/EU of 21 March 2012 on the measure SA.31479 (2011/C) (ex 2011/N) which the United Kingdom plans to implement for Royal Mail Group ( OJ L 279, 12.10.2012, p. 40 ), at para. 217.
( 39 ) Respectively revenue per available seat kilometre (RASK) and cost of available seat kilometre (CASK).
( 40 ) See recital 194 below.
( 41 ) Namely the routes between […]. The Commission understands that the closures of these routes are pure compensatory measures since nothing suggests that they were closed as a necessary consequence of the reduction of the fleet.
( 42 ) See Commission decision in case SA.30908 — CSA — Czech Airlines — Restructuring pla n, at para.130 and 131.
( 43 ) Fully coordinated airports are defined in Article 2(g) of Council Regulation (EEC) No 95/93 of 18 January 1993 on common rules for the allocation of slots at Community airports ( OJ L 14, 22.1.1993, p. 1 ). According to Article 3(4) of Regulation (EEC) No 95/93, these airports experience, at least during certain periods, capacity constraints.
( 44 ) See Commission decision of 13 September 2006 in State aid case N 447/2006 — Latvia — Regional aid map 2007-2013 .
( 45 ) The total costs for transitioning the aircraft from an operator in default to meeting the delivery requirements for a new customer can easily run to up to […] % of the aircraft's book value.
( 46 ) See Czech Airlines decision, para.119 and 145.
</note> | ENG | 32015D1091 |
02012R0918 — EN — 12.02.2015 — 001.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p> COMMISSION DELEGATED REGULATION (EU) No 918/2012</p><p>of 5 July 2012</p><p>supplementing Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps with regard to definitions, the calculation of net short positions, covered sovereign credit default swaps, notification thresholds, liquidity thresholds for suspending restrictions, significant falls in the value of financial instruments and adverse events</p><p><a>(Text with EEA relevance)</a></p><p>(OJ L 274 9.10.2012, p. 1)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a> COMMISSION DELEGATED REGULATION (EU) 2015/97 of 17 October 2014</a></p></td><td><p>  L 16</p></td><td><p>22</p></td><td><p>23.1.2015</p></td></tr></table>
COMMISSION DELEGATED REGULATION (EU) No 918/2012
of 5 July 2012
supplementing Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps with regard to definitions, the calculation of net short positions, covered sovereign credit default swaps, notification thresholds, liquidity thresholds for suspending restrictions, significant falls in the value of financial instruments and adverse events
(Text with EEA relevance)
CHAPTER I
GENERAL
Article 1
Subject matter
This Regulation lays down detailed rules supplementing the following Articles of Regulation (EU) No 236/2012 with regard to:
— Article 2(2) of Regulation (EU) No 236/2012 further specifying the definitions of ownership and short sale,
— Article 3(7) of Regulation (EU) No 236/2012 further specifying cases of and the method for calculating a net short position and the definition of holding,
— Article 4(2) of Regulation (EU) No 236/2012 further specifying uncovered positions in sovereign credit default swaps and the calculation methods for groups and fund management activities,
— Article 7(3) of Regulation (EU) No 236/2012 further specifying the notification threshold for significant short positions in sovereign debt,
— Article 13(4) of Regulation (EU) No 236/2012 further specifying the liquidity threshold for suspending restrictions on short sales of sovereign debt,
— Article 23(7) of Regulation (EU) No 236/2012 further specifying the meaning of significant falls in value of financial instruments other than liquid shares,
— Article 30 of Regulation (EU) No 236/2012 further specifying criteria and factors to be taken into account in determining in which cases the adverse events or developments referred to in Articles 18 to 21 and Article 27 and the threats referred to in point (a) of Article 28(2) of Regulation (EU) No 236/2012 arise.
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
(a) ‘group’ means those legal entities which are controlled undertakings within the meaning of Article 2(1)(f) of Directive 2004/109/EC of the European Parliament and of the Council ( 5 ) and the single natural or legal person that controls such undertaking;
(b) ‘supra-national issuer’ means an issuer within the meaning of Article 2(1)(d)(i), (iv), (v) and (vi) of Regulation (EU) No 236/2012.
CHAPTER II
SUPPLEMENTARY SPECIFICATION OF DEFINITIONS PURSUANT TO ARTICLE 2(2) AND ARTICLE 3(7)(a)
Article 3
Specification of the term ‘ownership’ and defining a short sale
1. For the purposes of defining a short sale, the determination, where applicable, of whether a natural or legal person is considered to own a financial instrument when there are legal or beneficial ownerships thereof shall be made in accordance with the law applicable to the relevant short sale of that share or debt instrument. Where natural or legal persons are the beneficial owners of a share or debt instrument, that share or debt instrument shall be deemed to be owned by the ultimate beneficial owner, including where the share or debt instrument is held by a nominee. For the purposes of this Article, the beneficial owner shall be the investor who assumes the economic risk of acquiring a financial instrument.
2. For the purposes of points (i), (ii) and (iii) of Article 2(1)(b) of Regulation (EU) No 236/2012, and a ‘short sale’ within the meaning of Article 2(1)(b) of Regulation (EU) No 236/2012, does not include:
(a) the sale of financial instruments that have been transferred under a securities lending or repo agreement, provided that the securities will either be returned or the transferor recalls the securities so that settlement can be effected when it is due;
(b) the sale of a financial instrument by a natural or legal person who has purchased the financial instrument prior to the sale but has not taken delivery of that financial instrument at the time of the sale provided that the financial instrument will be delivered at such time that the settlement may be effected when due;
(c) the sale of a financial instrument by a natural or legal person who has exercised an option or a similar claim on that financial instrument, provided that the financial instrument will be delivered at such a time that the settlement may be effected when due.
Article 4
Holding
A natural or legal person is considered to hold a share or debt instrument for the purposes of Article 3(2)(a) of Regulation (EU) No 236/2012 in the following circumstances:
(a) the natural or legal person owns the share or debt instrument in accordance with Article 3(1);
(b) an enforceable claim to be transferred ownership of the share or debt instrument to the natural or legal person in accordance with the law applicable to the relevant sale.
CHAPTER III
NET SHORT POSITIONS PURSUANT TO ARTICLE 3(7)(b)
Article 5
Net short positions in shares — long positions
1. The holding of a share through a long position in a basket of shares shall, in relation to that share, also be taken into account to the extent that that share is represented in that basket.
2. Any exposure through a financial instrument other than the share which confers a financial advantage in the event of an increase in the price of the share as set out in Article 3(2)(b) of Regulation (EU) No 236/2012 means any exposure to share capital through any one or more of the instruments listed in Annex I, Part 1.
The exposure referred to in the first subparagraph depends on the value of the share in respect of which a net short position has to be calculated, and which confers a financial advantage in the event of an increase in the price or value of the share.
Article 6
Net short positions in shares — short positions
1. A short sale of a share through the short sale of a basket of shares shall, in relation to that share, also be taken into account to the extent that that share is represented in the basket.
2. For the purposes of Article 3(1)(a) and 3(3) of Regulation (EU) No 236/2012 where a position in a financial instrument, including those listed in Annex I, Part 1, confers a financial advantage in the event of a decrease in the price or value of the share, this position shall be taken into account in calculating the short position.
Article 7
Net short positions in shares — general
The following criteria shall be taken into account for the purposes of net short positions referred to in Articles 5 and 6:
(a) it is irrelevant whether a cash settlement or physical delivery of underlying assets has been agreed;
(b) short positions on financial instruments that give rise to a claim to unissued shares, and subscription rights, convertible bonds and other comparable instruments shall not be considered as short positions when calculating a net short position.
Article 8
Net short position in sovereign debt — long positions
1. For the purposes of this Article and Annex II, pricing shall mean the yield, or where there is no yield for one of the relevant assets or liabilities or the yield is an inappropriate comparator between the relevant assets or liabilities, it shall mean the price. The holding of a sovereign debt instrument through a long position in a basket of sovereign debt instruments of different sovereign issuers shall in relation to that sovereign debt, also be taken into account to the extent that that sovereign debt is represented in that basket.
2. For the purpose of Article 3(2)(b) of Regulation (EU) No 236/2012, any exposure through an instrument other than the sovereign debt which confers a financial advantage in the event of an increase in the price of the sovereign debt means any exposure through any one or more of the instruments listed in Annex I, Part 2 provided always that their value depends on the value of the sovereign debt in respect of which a net short position has to be calculated, and which confers a financial advantage in the event of an increase in the price or value of the sovereign debt.
3. Provided always that they are highly correlated in accordance with Article 3(5) of Regulation (EU) No 236/2012 and with paragraphs 4 and 5, all net holdings of sovereign debt of a sovereign issuer which is highly correlated with the pricing of the sovereign debt in any short position shall be included in the calculation of the long position. Sovereign debt instruments from issuers located outside the Union shall not be included.
4. For assets with a liquid market price, a high correlation between the pricing of a debt instrument of another sovereign issuer and the pricing of the debt of the given sovereign issuer shall be measured on a historical basis using daily accumulated weighted data for the 12-month period preceding the position in the sovereign debt. For assets for which there is no liquid market or where the price history is less than 12 months, an appropriate proxy of similar duration shall be used.
5. For the purposes of Article 3(5) of Regulation (EU) No 236/2012, a debt instrument and a issued sovereign debt shall be considered to be highly correlated where the Pearson’s correlation coefficient is at least 80 % between the pricing of the debt instrument of another sovereign issuer and the pricing of the given sovereign debt for the relevant period.
6. If the position subsequently ceases to be highly correlated based on a rolling 12-month time-frame, then the sovereign debt of the previously highly correlated sovereign issuer shall no longer be taken into account when calculating a long position. However, positions shall not be deemed to cease to be highly correlated where there is a temporary fall in the level of correlation of the sovereign debt for no more than three months below the level set out in paragraph 4, provided that the correlation coefficient is at least of 60 % throughout this three-month period.
7. In calculating net short positions, it shall be irrelevant whether a cash settlement or physical delivery of underlying assets has been agreed.
Article 9
Net short positions in sovereign debt — short positions
1. A short sale of sovereign debt through the sale of a basket of sovereign debt shall in relation to that sovereign debt also be taken into account to the extent that that sovereign debt is represented in the basket.
2. For the purposes of Article 3(1)(a) and 3(3) of Regulation (EU) No 236/2012 where a position in an instrument, including those listed in Article 8(2), confers a financial advantage in the event of a decrease in the price or value of the sovereign debt, this position shall be taken into account in calculating the short position.
3. Any sovereign credit default swap referenced to a sovereign issuer shall be included in the calculation of net short positions in that sovereign debt. Sales of sovereign credit default swaps shall be considered to be long positions and purchases of sovereign credit default swaps shall be considered to be short positions.
4. If a sovereign credit default swap position is hedging a risk other than the referenced sovereign debt, the value of the hedged risk cannot be treated as a long position for the purposes of calculating whether a natural or legal person has a net short position in the issued sovereign debt of a sovereign issuer.
5. In calculating net short positions, it is irrelevant whether cash settlement or physical delivery of underlying assets has been agreed.
Article 10
Method of calculation of net short positions in relation to shares
1. For the purposes of calculating the net short position in shares pursuant to Article 3(4) of Regulation (EU) No 236/2012, the delta-adjusted model for shares set out in Annex II shall be used.
2. Any calculations by a natural or legal person of a long and short position in relation to the same shares shall use the same methods.
3. The calculation of net short positions shall take into account transactions in all financial instruments, whether on or outside a trading venue, that confer a financial advantage in the event of a change in price or value of the share.
Article 11
Calculation of net short positions for sovereign debt
1. For the purposes of Article 3(5) of Regulation (EU) No 236/2012, net short positions in sovereign debt shall be calculated by taking into account transactions in all financial instruments that confer a financial advantage in the event of a change in the price or yield of the sovereign debt. The delta-adjusted model for sovereign debt set out in Annex II shall be used.
2. In accordance with Article 3(6) of Regulation (EU) No 236/2012 positions shall be calculated for every sovereign issuer in which a natural or legal person holds a short position.
CHAPTER IV
NET SHORT POSITIONS IN FUNDS OR GROUPS PURSUANT TO ARTICLE 3(7)(c)
Article 12
Method of calculating positions for management activities related to several funds or managed portfolios
1. The calculation of the net short position in a particular issuer shall be made in accordance with Article 3(7)(a) and (b) of Regulation (EU) No 236/2012 for each individual fund, irrespective of its legal form and for each managed portfolio.
2. For the purposes of Article 12 and Article 13, the following definitions shall apply:
(a) ‘investment strategy’ means a strategy that is pursued by a management entity, regarding a particular issuer, that aims to have either a net short or a net long position taken through transactions in various financial instruments issued by or that relate to that issuer;
(b) ‘management activities’ means management of funds irrespective of their legal form and portfolio management in accordance with mandates given by clients on a discretionary client-by-client basis where such portfolios include one or more financial instruments;
(c) ‘management entity’ means a legal person or entity, including a division, unit or department that manages, on a discretionary basis, funds or portfolios pursuant to a mandate.
3. The management entity shall aggregate the net short positions of the funds and portfolios under its management for which the same investment strategy is pursued in relation to a particular issuer.
4. When applying the method described above, the management entity shall:
(a) take into account the positions of the funds and portfolios the management of which has been delegated by a third party;
(b) exclude the positions of the funds and portfolios the management of which it has delegated to a third party.
The management entity shall report, and disclose where required, the net short position that results from paragraphs 3 and 4 when it reaches or exceeds a relevant notification or disclosure threshold in accordance with Articles 5 to 11 of Regulation (EU) No 236/2012.
5. Where a single legal entity is performing management activities together with other non-management activities, it shall apply the method described set out in paragraphs 1 to 3 to its management activities only and report, and disclose the resulting net short positions.
6. For its non-management activities that give rise to the holding of short positions by the entity for its own account, that single legal entity shall perform the calculation of the net short position in a particular issuer in accordance with Article 3(7)(a) and (b) of Regulation (EU) No 236/2012 and report, and disclose the resulting net short positions.
Article 13
Method of calculating positions for legal entities within a group that have long or short positions in relation to a particular issuer
1. The calculation of the net short position shall be made in accordance with Article 3(7)(a) and (b) of Regulation (EU) No 236/2012 for each legal entity constituting the group. The relevant legal entity, or on its behalf, the group it belongs to, shall report, and disclose, the net short position in a particular issuer when it reaches or exceeds a notification or disclosure threshold. Where one or more of the legal entities constituting the group are management entities, they shall apply the method described in Article 12(1) to 12(4) for fund and portfolio management activities.
2. The net short and long positions of all the legal entities constituting the group shall be aggregated and netted, with the exception of the positions of the management entities that perform management activities. The group shall report, and disclose where relevant, the net short position in a particular issuer when it reaches or exceeds a relevant notification or disclosure threshold.
3. When a net short position reaches or crosses the notification threshold in accordance with Articles 5 and 7 or the disclosure threshold in accordance with Article 6 of Regulation (EU) No 236/2012, a legal entity within the group shall report and disclose in accordance with Articles 5 to 11 of Regulation (EU) No 236/2012 the net short position in a particular issuer calculated according to paragraph 1 provided that no net short position at group level calculated according to paragraph 2 reaches or crosses a notification or disclosure threshold. A legal entity designated for this purpose shall report, and disclose where relevant, the net short position at group level in a particular issuer calculated according to paragraph 2 when:
(i) no notification or disclosure threshold is reached or crossed by any legal entity within the group;
(ii) a notification or disclosure threshold is reached or crossed simultaneously both by the group itself and any legal entity within that group.
CHAPTER V
COVERED SOVEREIGN CREDIT DEFAULT SWAPS PURSUANT TO ARTICLE 4(2)
Article 14
Cases which are not uncovered sovereign credit default swap positions
1. In the following cases a sovereign credit default swap position shall not be considered an uncovered position in accordance with Article 4(1) of Regulation (EU) No 236/2012.
(a) In respect of hedges for the purpose of Article 4(1)(b) of Regulation (EU) No 236/2012, the sovereign credit default swap shall not be considered an uncovered position in accordance with Article 4(1) of Regulation (EU) No 236/2012 and shall serve to hedge against the risk of decline in the value of assets or liabilities correlated with the risk of the decline of the value of the sovereign debt which the credit default swap references and where those assets or liabilities refer to public or private sector entities in the same Member State.
(b) A sovereign credit default swap position, in which assets or liabilities refer to public or private sector entities in the same Member State as the reference sovereign for the credit default swap, shall not be considered an uncovered position in accordance with Article 4(1) of Regulation (EU) No 236/2012 where it:
(i) references a Member State, including any ministry, agency or special purpose vehicle of the Member State, or in the case of a Member State that is a federal state, one of the members making up the federation;
(ii) is used to hedge any assets or liabilities meeting the correlation test set out in Article 18.
(c) A sovereign credit default swap position, where the assets or liabilities refer to a sovereign issuer in which the reference sovereign for the credit default swap is a guarantor or shareholder, shall not be considered an uncovered position in accordance with Article 4(1) of Regulation (EU) No 236/2012 where it:
(i) references a Member State;
(ii) is used to hedge any assets or liabilities meeting the correlation test set out in Article 18.
2. For the purposes of point (a) of paragraph 1, a correlation shall exist between the value of the asset or liability being hedged and the value of the referenced sovereign debt as set out in Article 18.
Article 15
Cases which are not uncovered sovereign credit default swap positions where the obligor is established or the asset or liability is located in more than one Member State
1. Where the obligor of, or counterparty to, an asset or liability is established in more than one Member State a sovereign credit default swap position shall not be considered an uncovered position in the following cases, in accordance with Article 4(1) of Regulation (EU) No 236/2012, and provided that the correlation test in Article 18 of this Regulation is met in each case:
(a) where there is a parent company in one Member State and a subsidiary in another Member State and a loan has been made to the subsidiary. Where there is either explicit or implicit credit support to the subsidiary by the parent, it shall be permissible to purchase sovereign credit default swaps in the Member State of the parent rather than the subsidiary;
(b) where there is a parent holding company which own or controls a subsidiary operating company in a different Member States. If the parent company is the issuer of the bond but the assets and revenues that are hedged are owned by the subsidiary, it shall be permissible to buy sovereign credit default swaps referenced to the Member State of the subsidiary;
(c) to hedge an exposure to a company in one Member State which has invested in the sovereign debt of a second Member State to the extent that that company would be significantly impacted in the event of a significant fall in the value of the sovereign debt of the second Member State, provided that the company is established in both Member States. Where the correlation between this risk and the debt of the second Member State is greater than the correlation between this risk and the debt of the Member State in which the company is established it shall be permissible to buy sovereign credit default swaps referenced to the second Member State.
2. A sovereign credit default swap position shall not be considered an uncovered position in the following cases, in accordance with Article 4(1) of Regulation (EU) No 236/2012, and provided that the correlation test in Article 18 of this Regulation is met in each case:
(a) where the obligor of, or counterparty to, an asset or liability being hedged is a company which has operations across the Union or where the exposure being hedged relates to the Union or the Member States which have the euro as their currency, it shall be permissible to hedge it with an appropriate European or euro area index of sovereign bond credit default swaps;
(b) where the counterparty to an asset or liability being hedged is a supra-national issuer, it shall be permissible to hedge the counterparty risk with an appropriately chosen basket of sovereign credit default swaps referencing that entity’s guarantors or shareholders.
Article 16
Justification of uncovered sovereign credit default swap positions
Any natural or legal person entering into a sovereign credit default swap position shall, on the request of the competent authority:
(a) justify to that competent authority which of the cases set out in Article 15 were fulfilled at the time the position was entered into;
(b) demonstrate to that competent authority compliance with the correlation test in Article 18 and the proportionality requirements in Article 19 in respect of that sovereign credit default swap position at any time that they hold that sovereign credit default swap.
Article 17
Hedged assets and liabilities
The following are cases where assets and liabilities may be hedged through a sovereign credit default swap position, provided the conditions set out in Articles 15 and 18 and in Regulation (EU) No 236/2012 are met:
(a) a long position in the sovereign debt of the relevant issuer;
(b) any position or portfolio used in the context of hedging exposures to the sovereign issuer referenced in the credit default swaps;
(c) any assets or liabilities which refer to public sector entities in the Member State whose sovereign debt is referenced in the credit default swap. This includes exposures to central, regional and local administration, public sector entities or any exposure guaranteed by the referred entity and may include financial contracts, a portfolio of assets or financial obligations, interest rate or currency swap transactions where the sovereign credit default swap is used as a counterparty risk management tool for hedging exposure on financial or foreign trade contracts;
(d) exposures to private sector entities established in the Member State which is referenced in the sovereign credit default swap. The exposures in question include but are not limited to loans, counterparty credit risk (including potential exposure when regulatory capital is required for such exposure), receivables and guarantees. The assets and liabilities include but are not limited to financial contracts, a portfolio of assets or financial obligations, interest rate or currency swap transactions where the sovereign credit default swap is used as a counterparty risk management tool for hedging exposure on financial contracts or trade finance exposures;
(e) any indirect exposures to any of the above entities obtained through exposure to indices, funds or special purpose vehicles.
Article 18
Correlation tests
1. The correlation test referred to in this Chapter shall be met in either of the following cases:
(a) the quantitative correlation test shall be met by showing a Pearson’s correlation coefficient of at least 70 % between the price of the assets or liabilities and the price of the sovereign debt calculated on a historical basis using data for at least a period of 12 months of trading days immediately preceding the date when the sovereign credit default swap position is taken out;
(b) the qualitative correlation shall be met by showing meaningful correlation, which means a correlation that is based on appropriate data and is not evidence of a merely temporary dependence. The correlation shall be calculated on a historical basis using data for the 12 months of trading days before the sovereign credit default swap position is taken out, weighted to the most recent time. A different time-frame shall be used if it is demonstrated that the conditions prevailing in that period were similar to those at the time that the sovereign credit default swap position is to be taken out or which would occur in the period of the exposure being hedged. For assets for which there is not a liquid market price or where there is not a sufficiently long price history, an appropriate proxy shall be used.
2. The correlation test in paragraph 1 shall be deemed to have been met if it can be demonstrated that:
(a) the exposure being hedged relates to an enterprise which is owned by the sovereign issuer or where the sovereign issuer owns a majority of its voting share capital or whose debts are guaranteed by the sovereign issuer;
(b) the exposure being hedged relates to a regional, local or municipal government of the Member State;
(c) the exposure being hedged relates to an enterprise whose cash flows are significantly dependent on contracts from a sovereign issuer or a project which is funded or significantly funded or underwritten by a sovereign issuer, such as an infrastructure project.
3. The relevant party shall justify that the correlation test was met at the time that the sovereign credit default swap position was entered into upon request by the relevant competent authority.
Article 19
Proportionality
1. In determining whether the size of the sovereign credit default swap position is proportionate to the size of the exposures hedged, where a perfect hedge is not possible, an exact match is not required and limited over-provision shall be permitted in accordance with paragraph 2. The relevant party shall justify upon request to the competent authority why an exact match was not possible.
2. Where justified by the nature of the assets and liabilities being hedged and their relationship to the value of the obligations of the sovereign which are within the scope of the credit default swap, a greater value of sovereign credit default swap shall be held to hedge a given value of exposures. However, this shall only be permitted where it is demonstrated that a larger value of sovereign credit default swap is necessary to match a relevant measure of risk associated with the reference portfolio, taking into account as the following factors:
(a) the size of the nominal position;
(b) the sensitivity ratio of the exposures to the obligations of the sovereign which are within the scope of the credit default swap;
(c) whether the hedging strategy involved is dynamic or static.
3. It is the responsibility of the position holder to ensure that its sovereign credit default swap position remains proportionate at all times and that the duration of the sovereign credit default swap position is aligned as closely as practicable given prevailing market conventions and liquidity with the duration of the exposures being hedged or the period during which the person intends to hold the exposure. If the exposures being hedged by the credit default swap position are liquidated or redeemed, they must either be replaced by equivalent exposures or the credit default swap position must be reduced or otherwise disposed of.
4. Provided that a sovereign credit default swap position was covered at the time it was entered into, it shall not be treated as becoming uncovered where the sole reason for the position becoming uncovered is a fluctuation in the market value of the hedged exposures or the value of the sovereign credit default swap.
5. In all circumstances, where parties accept a sovereign credit default swap position as a consequence of their obligations as members of a central counterparty which clears sovereign credit default swap transactions and as a result of the operation of the rules of that central counterparty, such a position shall be treated as involuntary and not as a position that the party has entered into and so shall not be considered uncovered pursuant to Article 4(1) of Regulation (EU) No 236/2012.
Article 20
Method of calculation of an uncovered sovereign credit default swap position
1. The calculation of a natural or legal person’s sovereign credit default swap position shall be its net position.
2. When calculating the value of the eligible risks hedged or to be hedged by a sovereign credit default swap position a distinction shall be made between static and dynamic hedging strategies. For static hedging, such as direct exposures to sovereign or public sector bodies in the sovereign, the metric used shall be the jump to default measure of the loss if the entity to which the position holder is exposed defaults. The resulting value shall then be compared against the net notional value of the credit default swap position.
3. When calculating the value of market value adjusted risks for which a dynamic hedging strategy is required, the calculations must be undertaken on a risk-adjusted rather than notional basis, taking into account the extent to which an exposure might increase or decrease during its duration and the relative volatilities of the assets and liabilities being hedged and of the referenced sovereign debt. A beta adjustment shall be used if the asset or liability for which the credit default swap position is being used as a hedge is different from the reference asset of the credit default swap.
4. Indirect exposures to risks, such as through indices, funds, special purpose vehicles, and to credit default swap positions shall be taken into account in proportion to the extent the reference asset, liability or credit default swap is represented in the index, fund or other mechanism.
5. The value of the eligible portfolio of assets or liabilities to be hedged shall be deducted from the value of the net credit default swaps position held. If the resulting number is positive the position shall be considered to be an uncovered credit default swaps position in accordance with Article 4(1) of Regulation (EU) No 236/2012.
CHAPTER VI
NOTIFICATION THRESHOLDS FOR NET SHORT POSITIONS IN SOVEREIGN DEBT PURSUANT TO ARTICLE 7(3)
Article 21
Notification thresholds for net short positions relating to the issued sovereign debt
1. The relevant measure for the threshold that triggers notification to the relevant competent authority of net short positions in the issued sovereign debt of a sovereign issuer shall be a percentage of the total amount of outstanding issued sovereign debt for each sovereign issuer.
2. The reporting threshold shall be a monetary amount. This monetary amount shall be fixed by applying the percentage threshold to the outstanding sovereign debt of the sovereign issuer and rounding up to the nearest million euro.
3. The monetary amount implied by the percentage threshold shall be revised and updated quarterly in order to reflect changes in the total amount of outstanding issued sovereign debt of each sovereign issuer.
4. The monetary amount implied by the percentage threshold and the total amount of outstanding issued sovereign debt shall be calculated in accordance with the method of calculation for net short positions in sovereign debt.
5. The initial amounts and additional incremental levels for sovereign issuers shall be determined on the basis of the following factors:
(a) the thresholds shall not require notifications of net short positions of minimal value in any sovereign issuers;
(b) the total amount of outstanding sovereign debt for a sovereign issuer and average size of positions held by market participants relating to the sovereign debt of that sovereign issuer;
(c) the liquidity of the sovereign debt market of each sovereign issuer, including, where appropriate, the liquidity of the futures market for that sovereign debt.
6. Taking into account the factors in paragraph 5, the relevant notification thresholds for the initial amount to be considered for each sovereign issuer is a percentage that equals 0,1 % or 0,5 % of the total amount of outstanding issued sovereign debt. The relevant percentage to be applied for each issuer shall be determined in application of the criteria described in paragraph 5, so that each sovereign issuer is assigned one of the two percentage thresholds used to calculate the monetary amounts that will be relevant for notification.
7. The two initial threshold categories at the date of entry into force of this Regulation shall be:
(a) an initial threshold of 0,1 % applicable where the total amount of the outstanding issued sovereign debt is between 0 and 500 billion euro;
(b) a threshold of 0,5 % applicable where the total amount of the outstanding issued sovereign debt is above 500 billion euro or where there is a liquid futures market for the particular sovereign debt.
8. The additional incremental levels shall be set at 50 % of the initial thresholds and shall be:
(a) each 0,05 % above the initial notification threshold of 0,1 % starting at 0,15 %;
(b) each 0,25 % above the initial threshold of 0,5 % starting at 0,75 %.
9. The sovereign issuer shall move to the appropriate threshold group where there has been a change in the sovereign debt market of the sovereign issuer and, applying the factors specified in paragraph 5, that change has subsisted for at least one calendar year.
CHAPTER VII
PARAMETERS AND METHODS FOR CALCULATING LIQUIDITY THRESHOLD FOR SUSPENDING RESTRICTIONS ON SHORT SALES OF SOVEREIGN DEBT PURSUANT TO ARTICLE 13(4)
Article 22
Methods for calculating and determining the threshold of liquidity for suspending restrictions on short sales in sovereign debt
1. The measure of liquidity of the issued sovereign debt to be used by each competent authority is the turnover, defined as the total nominal value of debt instruments traded, in relation to a basket of benchmarks with different maturities.
2. The temporary suspension of restrictions on uncovered short sales in sovereign debt may be triggered when the turnover of a month falls below the fifth percentile of the monthly volume traded in the previous 12 months.
3. To perform these calculations each competent authority shall use the representative data readily available, from one or more trading venues, from over the counter (OTC) trading or from both, and inform ESMA of the data used thereafter.
4. Before the competent authorities exercise the power to lift the restrictions on short selling related to sovereign debt, they shall ensure that the significant drop in liquidity is not the result of seasonal effects on liquidity.
CHAPTER VIII
SIGNIFICANT FALL IN VALUE FOR FINANCIAL INSTRUMENTS OTHER THAN LIQUID SHARES PURSUANT TO ARTICLE 23
Article 23
Significant fall in value for financial instruments other than liquid shares
1. In respect of a share other than a liquid share, a significant fall in value during a single trading day compared to the closing price of the previous trading day means:
(a) a decrease in the price of the share of 10 % or more where the share is included in the main national equity index and is the underlying financial instrument for a derivative contract admitted to trading on a trading venue;
(b) a decrease in the price of the share of 20 % or more where the share price is EUR 0,50 or higher, or the equivalent in the local currency;
(c) a decrease in the price of the share of 40 % or more in all other cases.
2. An increase of 7 % or more in the yield across the yield curve during a single trading day for the relevant sovereign issuer shall be considered a significant fall in value for a sovereign bond.
3. An increase of 10 % or more in the yield of a corporate bond during a single trading day shall be considered a significant fall in value for a corporate bond.
4. A decrease of 1,5 % or more in the price of a money-market instrument during a single trading day shall be considered a significant fall in value for a money-market instrument.
5. A decrease of 10 % or more in the price of an exchange-traded fund during a single trading day shall be considered a significant fall in value for an exchange-traded fund, including exchange-traded funds that are UCITS. A leveraged exchange-traded fund shall be adjusted by the relevant leverage ratio to reflect a 10 % fall in the price of an equivalent unleveraged direct exchange-traded fund. A reverse exchange-traded fund shall be adjusted by a factor of -1 to reflect a 10 % fall in the price of an equivalent unleveraged direct exchange-traded fund.
6. Where a derivative, including financial contracts for difference, is traded on a trading venue and has as its only underlying financial instrument, a financial instrument for which a significant fall in value is specified in this Article and Article 23(5) of Regulation (EU) No 236/2012, a significant fall in value in that derivative instrument shall be considered to have occurred when there has been a significant fall in that underlying financial instrument.
CHAPTER IX
ADVERSE EVENTS OR DEVELOPMENTS PURSUANT TO ARTICLE 30
Article 24
Criteria and factors to be taken into account in determining when adverse events or developments and threats arise
1. For the purposes of Articles 18 to 21 of Regulation (EU) No 236/2012 adverse events or developments that may constitute a serious threat to the financial stability or market confidence in the Member State concerned or in one or more other Member States pursuant to Article 30 of Regulation (EU) No 236/2012 include any act, result, fact, or event that is or could reasonably be expected to lead to the following:
(a) serious financial, monetary or budgetary problems which may lead to financial instability concerning a Member State or a bank and other financial institutions deemed important to the global financial system such as insurance companies, market infrastructure providers and asset management companies operating within the Union when this may threaten the orderly functioning and integrity of financial markets or the stability of the financial system in the Union;
(b) a rating action or a default by any Member State or banks and other financial institutions deemed important to the global financial system such as insurance companies, market infrastructure providers and asset management companies operating within the Union that causes or could reasonably be expected to cause severe uncertainty about their solvency;
(c) substantial selling pressures or unusual volatility causing significant downward spirals in any financial instrument related to any banks and other financial institutions deemed important to the global financial system such as insurance companies, market infrastructure providers and asset management companies operating within the Union and sovereign issuers as the case may be;
(d) any relevant damage to the physical structures of important financial issuers, market infrastructures, clearing and settlement systems, and supervisors which may adversely affect markets in particular where such damage results from a natural disaster or terrorist attack;
(e) any relevant disruption in any payment system or settlement process, in particular when it is related to interbank operations, that causes or may cause significant payments or settlement failures or delays within the Union payment systems, especially when these may lead to the propagation of financial or economic stress in a bank and other financial institutions deemed important to the global financial system such as insurance companies, market infrastructure providers and asset management companies or in a Member State.
2. For the purposes of Article 27, ESMA shall take into account the possibility of any spillovers or contagion to other systems or issuers and, especially, the existence of any type of self-fulfilling phenomena when considering the criteria in paragraph 1.
3. For the purposes of Article 28(2)(a), a threat to the orderly functioning and integrity of financial markets or to the stability of the whole or part of the financial system in the Union shall mean:
(a) any threat of serious financial, monetary or budgetary instability concerning a Member State or the financial system within a Member State when this may seriously threaten the orderly functioning and integrity of financial markets or the stability of the whole or part of the financial system in the Union;
(b) the possibility of a default by any Member State or supra-national issuer;
(c) any serious damage to the physical structures of important financial issuers, market infrastructures, clearing and settlement systems, and supervisors which may seriously affect cross-border markets in particular where such damage results from a natural disaster or terrorist attack when this may seriously threaten the orderly functioning and integrity of financial markets or the stability of the whole or part of the financial system in the Union;
(d) any serious disruption in any payment system or settlement process, in particular when it is related to interbank operations, that causes or may cause significant payments or settlement failures or delays within the Union cross-border payment systems, especially when these may lead to the propagation of financial or economic stress in the whole or part of the financial system in the Union.
Article 25
Entry into force
This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Union .
It shall apply from 1 November 2012.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX I
PART 1
Article 5 and 6
— Options,
— Covered warrants,
— Futures,
— Index-related instruments,
— Contracts for difference,
— Shares/units of exchange-traded funds,
— Swaps,
— Spread bets,
— Packaged retail or professional investment products,
— Complex derivatives,
— Certificates linked to shares,
— Global depositary receipts.
PART 2
Article 7
— Options,
— Futures,
— Index-related instruments,
— Contracts for difference,
— Swaps,
— Spread bets,
— Complex derivatives,
— Certificates linked to sovereign debt.
ANNEX II
PART 1
The delta-adjusted model for shares
Article 10
1. Any derivative and cash position shall be accounted for on a delta-adjusted basis, with cash position having delta 1. In order to calculate the delta of a derivative, investors shall take into account the current implied volatility of the derivative and the closing price or last price of the underlying instrument. In order to calculate a net short position including equity or cash investments and derivatives, natural or legal persons shall calculate the individual delta-adjusted position of every derivative that is held in the portfolio, adding or subtracting all cash positions as appropriate.
2. A nominal cash short position may not be offset by an equivalent nominal long position taken in derivatives. Delta-adjusted long positions in derivatives may not compensate identical nominal short positions taken in other financial instruments due to the delta adjustment. Natural or legal persons entering into derivatives contracts giving rise to net short positions that must be notified or published pursuant to Articles 5 to 11 of Regulation (EU) No 236/2012 shall calculate net short position changes in their portfolio arising from changes in the delta.
3. Any transaction that confers a financial advantage in the event of a change in price or value of the share held as part of a basket, index or exchange-traded fund shall be included when calculating the position in each individual share. Positions on these financial instruments shall be calculated taking into account the weight of that share in the underlying basket, index or fund. Natural or legal persons shall perform calculations in these financial instruments in accordance with Article 3(3) of Regulation (EU) No 236/2012.
4. The net short position shall be calculated by netting long and short delta-adjusted positions in a given issuer.
5. For the issued share capital, when issuers have several share classes, the total number of shares issued in each class and shall be taken into account and added up.
6. The calculation of net short positions shall take into account changes in the share capital of the issuer that may trigger or eliminate notification obligations in accordance with Article 5 of Regulation (EU) No 236/2012.
7. New shares issued from a capital increase shall be accounted for in the calculation of the total issued share capital from the day they are admitted to trading on a trading venue.
8. The net short position expressed as a percentage of the company’s issued share capital shall be calculated by dividing the net short position in equivalent shares by the total issued share capital of the company.
PART 2
The delta-adjusted model for sovereign debt
Article 11
1. Any cash positions shall be taken into account using their nominal value duration adjusted. Options and other derivative instruments shall be adjusted by their delta which shall be calculated in accordance with Part 1. Calculations of net short positions containing both cash investments and derivatives shall be the individual delta-adjusted position of every derivative that is held in the portfolio, adding or subtracting all cash positions and cash positions shall have a delta equal to 1.
2. Nominal positions in bonds issued in currencies other than the euro shall be converted to euro using the last reliable updated spot currency price available. The same principle shall apply to other financial instruments.
3. Other derivatives, such as forward bonds, shall be also adjusted in accordance with paragraphs 1, 2 and 3.
4. Any economic interest or position that creates a financial advantage in sovereign debt held as part of a basket, index or exchange-traded fund shall be included when calculating the position in each individual sovereign debt. Positions on these financial instruments shall be calculated taking into account the weight of that sovereign exposure in the underlying basket, index or fund. Investors shall perform calculations in these financial instruments in accordance with Article 3(3) of Regulation (EU) No 236/2012.
5. Calculations for sovereign debt instruments with high correlation shall follow the same methods of calculation of long positions in debt instruments of a sovereign issuer. Long positions in debt instruments of a sovereign issuer the pricing of which is highly correlated to the pricing of the given sovereign debt shall be taken into account for calculation purposes. When these positions no longer meet the test of high correlation then they shall not be taken into account to offset short positions.
6. Nominal long positions of credit default swaps shall be included in the calculation as short positions. In calculating an investor sovereign credit default swaps position its net positions shall be used. Positions intended to be covered or hedged through the purchase of a credit default swap that are not sovereign bonds will not be taken into account as long positions. Credit default swaps shall be considered to have delta 1.
7. The net short position shall be calculated by netting nominal delta-adjusted equivalent long and short positions in the issued sovereign debt of a sovereign issuer.
8. The net short position shall be expressed as a monetary amount in euro.
9. Calculation of positions shall take into account changes in correlations and in the total sovereign debt of a sovereign issuer.
10. Only long positions in debt instruments of a sovereign issuer the pricing of which is highly correlated to the pricing of sovereign debt of a sovereign issuer shall be taken into account to offset short positions in the said sovereign debt. A given long position of a highly correlated debt shall only be used once to offset a short position in cases where the investor maintains several short positions of different sovereign issuers. The same long position cannot be applied several times to net off different short positions taken in highly correlated sovereign debt.
11. Natural or legal persons with multiple allocations of long positions of highly correlated debt across several different sovereign issuers shall have records that show their allocation methods.
<note>
( 1 ) OJ L 86, 24.3.2012, p. 1.
( 2 ) OJ L 302, 17.11.2009, p. 32.
( 3 ) OJ L 331, 15.12.2010, p. 84.
( 4 ) See page 16 of this Official Journal.
( 5 ) OJ L 390, 31.12.2004, p. 38.
</note> | ENG | 02012R0918-20150212 |
<table><col/><col/><col/><col/><tbody><tr><td><p>9.6.2021   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 203/8</p></td></tr></tbody></table>
COUNCIL DECISION (EU) 2021/924
of 3 June 2021
on the position to be adopted on behalf of the European Union within the International Cocoa Council as regards the extension of the International Cocoa Agreement 2010
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular the first subparagraph of Article 207(4), in conjunction with Article 218(9) thereof,
Having regard to the proposal from the European Commission,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>The International Cocoa Agreement 2010 (the ‘Agreement’) was concluded by the Union by Council Decision 2012/189/EU <a>(<span>1</span>)</a> and entered into force on 1 October 2012.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Pursuant to Article 62(1) of the Agreement, the Agreement remains in force until 30 September 2022, unless extended.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Pursuant to Article 7(1) of the Agreement, the International Cocoa Council of the International Cocoa Organization (the ‘ICCO Council’) is to exercise all such powers and perform or arrange for the performance of all such functions as are necessary to carry out the express provisions of the Agreement. Pursuant to Article 62(4) of the Agreement, the ICCO Council may adopt a decision extending the Agreement beyond its current expiry date for two periods not exceeding two cocoa years each, that is until 30 September 2024 for the first period and until 30 September 2026 for the second period.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>The ICCO Council is to adopt a decision on the extension of the Agreement following its 103rd session on 22 and 23 April 2021.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>It is appropriate to establish the position to be adopted on the Union’s behalf in the ICCO Council, as the ICCO Council’s decision as regards the extension of the Agreement will be binding on the Union.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>It is in the interests of the Union that the Agreement be extended and that the Union remain a party to it, considering the importance of the cocoa sector for a number of Member States and for the economy of the Union.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Extending the Agreement for a maximum of four years should give members of the ICCO Council appropriate time to undertake a substantial revision of the Agreement that focuses on its modernisation and simplification,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
The position to be adopted on the Union’s behalf within the International Cocoa Council of the International Cocoa Organization as regards the extension of the International Cocoa Agreement 2010 shall be to vote in favour of its extension for two periods not exceeding two cocoa years each, that is until 30 September 2024 for the first period and until 30 September 2026 for the second period.
Article 2
This Decision shall enter into force on the date of its adoption.
Done at Luxembourg, 3 June 2021.
For the Council
The President
P. N. SANTOS
<note>
( 1 ) Council Decision 2012/189/EU of 26 March 2012 on the conclusion of the International Cocoa Agreement 2010 ( OJ L 102, 12.4.2012, p. 1 ).
</note> | ENG | 32021D0924 |
<table><col/><col/><col/><col/><tbody><tr><td><p>20.10.2015   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 275/4</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2015/1866
of 13 October 2015
laying down detailed rules for the implementation of Regulation (EU) No 511/2014 of the European Parliament and of the Council as regards the register of collections, monitoring user compliance and best practices
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 511/2014 of the European Parliament and of the Council of 16 April 2014 on compliance measures for users from the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization in the Union ( 1 ) , and in particular Article 5(5), Article 7(6) and Article 8(7) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Regulation (EU) No 511/2014 establishes rules governing compliance with access and benefit-sharing for genetic resources and traditional knowledge associated with genetic resources in accordance with the provisions of the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization to the Convention on Biological Diversity (the ‘Nagoya Protocol’). The effective implementation of that Regulation will also contribute to the conservation of biological diversity and the sustainable use of its components, in accordance with the provisions of the Convention on Biological Diversity.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Articles 5 and 8 of Regulation (EU) No 511/2014 provide for voluntary tools, namely registered collections and best practices, to assist users in complying with their due diligence obligation. Identifying and registering collections which effectively apply measures that result in supplying genetic resources and related information only with documentation providing evidence of legal access and ensuring the establishment of mutually agreed terms, where required, is expected to assist users in complying with that obligation. Users which obtain genetic resources from a collection included in the register should be considered to have exercised due diligence as regards the seeking of information. Identifying and recognising as best practices measures that are particularly suitable for achieving compliance with the system of implementation of the Nagoya Protocol, at an affordable cost and with legal certainty, is also expected to assist users in fulfilling the due diligence obligation. The effective implementation of a recognized best practice by users should be considered by the competent authorities in their checks on user compliance. In order to ensure uniform conditions for the implementation of those provisions, detailed rules are required regarding the procedures to be followed in the case of a request for registration of a collection or part thereof and regarding recognition of best practices.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Where an applicant wishing to be included in the register is a member of a network of collections, it is useful that such applicant provides information on any other collections or parts thereof from the same network that were or are the subject of an application in other Member States. In order to facilitate the fair and consistent treatment of applicants in different Member States, when verifying the collections or parts thereof, the competent authorities of the Member States that have been made aware of such applications in relation to different collections or parts thereof within a network should consider exchanging information with the authorities of those Member States in which applications have been made by other members of the network.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Regulation (EU) No 511/2014 applies to genetic resources and to traditional knowledge associated with genetic resources. The material for the utilisation of which a due diligence declaration is required includes: genetic resources, traditional knowledge associated with genetic resources and a combination of both.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>In order to ensure uniform conditions for the implementation of provisions on monitoring user compliance, detailed rules are required regarding the declarations to be made by recipients of funding for research involving the utilisation of genetic resources and traditional knowledge associated with genetic resources, as well as regarding the declarations to be made by users at the stage of final development of a product developed via the utilisation of genetic resources and traditional knowledge associated with genetic resources.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>When monitoring user compliance at the stage of research funding, it is important to ensure that recipients of funding understand their obligations under Regulation (EU) No 511/2014 and that they exercise due diligence. It is equally important to provide information to the Access and Benefit-Sharing Clearing House (‘ABS Clearing House’), and to ensure that such information is useful for the functioning and implementation of the Nagoya Protocol. Where an internationally recognised certificate of compliance is not available, other relevant information should be submitted. In order to balance the objectives of submitting useful information to the ABS Clearing House and of not overburdening the recipients of funding for research, only information which is essential for the identification of genetic resources should be exchanged at this check-point.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The monitoring of user compliance is effective when carried out in the Member State where the utilisation takes place. It is therefore appropriate that the declaration of due diligence is submitted to the competent authority of the Member State where the recipient of funding is established, as this is where the research involving utilisation of genetic resources and traditional knowledge associated with genetic resources typically takes place.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>The unnecessary multiplication of due diligence declarations should be avoided. Therefore, a declaration made by recipients of research funding may cover more than one genetic resource or any traditional knowledge associated with genetic resources. A single declaration may also be made by several users jointly conducting research involving the utilisation of genetic resources and traditional knowledge associated with genetic resources funded by one grant. In this context, a special role should be given to the project co-ordinator, who should be responsible for submitting the declarations on behalf of the users concerned. In the light of Article 12 of Regulation (EU) No 511/2014, the competent authority receiving the declarations submitted by the project co-ordinator should exchange the information with its counterparts in the other Member States concerned.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>In order to monitor user compliance under Article 7(2) of Regulation (EU) No 511/2014, the final stage of utilisation, meaning the stage of final development of a product should be determined. The stage of final development of a product can be identified with legal certainty as having been completed at the time when either market approval or authorisation is sought or a notification required prior to placing for the first time on the Union market is made or, where neither market approval or authorisation nor a notification is required, at the time of placing for the first time on the Union market a product developed via the utilisation of genetic resources and traditional knowledge associated with genetic resources. In some cases, it may not be the user that is requesting market approval or authorisation, making a notification or placing a product for the first time on the Union market. In order to effectively address all activities that utilise genetic resources and traditional knowledge associated with genetic resources within the Union, the due diligence declaration should, in those cases, be made by the user selling or transferring in any other way the result of the utilisation. Effective monitoring of user compliance within the Union should also address cases where the utilisation has ended in the Union and its outcome is sold or transferred in any other way outside the Union without placing a product on the Union market.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>Those different events that give rise to the due diligence declaration by the user at the stage of final development of a product are exclusive of each other, and therefore the declaration should only be made once. As the stage of final development of a product is reached before any of those events occur, the due diligence declaration should be made prior to the first event occurring.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>The information provided in the due diligence declarations is to be submitted by the competent authorities to the ABS Clearing House pursuant to Article 7(3) of Regulation (EU) No 511/2014. Where an internationally recognised certificate of compliance is not available, other relevant information provided in accordance with Article 17(4) of the Nagoya Protocol, as specified in Article 4(3)(b) of Regulation (EU) No 511/2014, should be submitted. In order to ensure efficient operation of the Nagoya Protocol and the ABS Clearing House in particular, only information which will facilitate the monitoring by the competent national authorities referred to in Article 13(2) of the Nagoya Protocol should be exchanged.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>A due diligence declaration is required only for genetic resources or traditional knowledge associated with genetic resources obtained from a Party to the Nagoya Protocol that has established relevant access and benefit-sharing legislation or regulatory requirements pursuant to Article 6(1) and Article 7 of the Nagoya Protocol.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>In the light of the novelty of measures introduced, it is appropriate to review this Regulation. In this context, the reports referred to in Article 16(1) of Regulation (EU) No 511/2014 may prove useful and therefore should be taken into account, where available.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(14)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the ABS Committee,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Subject matter
This Regulation lays down detailed rules concerning the implementation of Articles 5, 7 and 8 of Regulation (EU) No 511/2014 which refer to the register of collections, the monitoring of user compliance, and to best practices.
Article 2
Register of collections
The register established by the Commission in accordance with Article 5 of Regulation (EU) No 511/2014 shall include the following information for each collection or part thereof:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>a registration code assigned by the Commission;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>name given to the collection or part thereof and its contact details;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>name and contact details of the holder;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>category of the collection or part thereof;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>short description of the collection or part thereof;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>link to database, where available;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>institution within competent authority of the Member State that verified the capacity of the collection to comply with Article 5(3) of Regulation (EU) No 511/2014;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>date of inclusion in the register;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>other existing identifier, where available;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(j)</p></td><td><p>where applicable, date of removal from the register.</p></td></tr></tbody></table>
Article 3
Request for inclusion in the register and notification to the Commission
1. A request for inclusion of a collection or a part thereof in the register, referred to in Article 5(2) of Regulation (EU) No 511/2014, shall contain the information specified in Annex I to this Regulation.
Following the inclusion in the register of a collection or a part thereof, the collection holder shall notify the competent authority of any significant changes that influence the collection's capacity to comply with the criteria set out in Article 5(3) of Regulation (EU) No 511/2014 and of any changes to the information previously submitted on the basis of Part A of Annex I to this Regulation.
2. Where an applicant is a member of a network of collections, when applying for inclusion of a collection or a part thereof in the register, the applicant may inform the competent authorities about any other collections or parts thereof from the same network that were or are the subject of an application in other Member States for inclusion in the register.
When verifying the collections or parts thereof, the competent authorities of Member States that have been made aware of such applications, shall consider exchanging information with the competent authorities of those Member States where the other applications from the network have been made.
3. The verification referred to in Article 5(2) of Regulation (EU) No 511/2014 may include the following:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>on-the-spot checks;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>examination of selected documentation and records of a collection or part thereof, which are relevant for demonstrating compliance with Article 5(3) of Regulation (EU) No 511/2014;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>examination of whether selected samples of genetic resources and related information of the collection concerned have been documented in accordance with Article 5(3) of Regulation (EU) 511/2014;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>examination of whether the collection holder has the capacity to consistently supply genetic resources to third persons for their utilisation in accordance with Article 5(3) of Regulation (EU) No 511/2014;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>interviews with relevant persons, such as the collection holder, staff, external verifiers, and users obtaining samples from that collection.</p></td></tr></tbody></table>
4. For the purposes of the notification referred to in Article 5(2) of Regulation (EU) No 511/2014, the competent authority shall provide the Commission with the information submitted by the collection holder on the basis of Part A of Annex I to this Regulation. The competent authority shall notify the Commission of any subsequent changes to that information.
Article 4
Checks on registered collections and remedial actions
1. The verification referred to Article 5(4) of Regulation (EU) No 511/2014 by the competent authorities shall be effective, proportionate and capable of detecting cases of non-compliance with Article 5(3) of that Regulation. It shall be conducted on the basis of a periodically reviewed plan developed using a risk-based approach. The plan should provide for a minimum level of checks and allow for differentiation in the frequency of checks.
2. Where there are substantiated concerns that a collection or part thereof included in the register no longer meets the criteria set out in Article 5(3) of Regulation (EU) No 511/2014, the competent authority shall carry out additional verification.
3. The verification referred to in paragraph 1 and 2 may include the following:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>on-the-spot checks;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>examination of selected documentation and records of a collection or part thereof, which are relevant for demonstrating compliance with Article 5(3) of Regulation (EU) No 511/2014;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>examination of whether selected samples of genetic resources and related information have been documented and supplied to third persons for their utilisation in accordance with Article 5(3) of Regulation (EU) No 511/2014;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>interviews with relevant persons, such as the collection holder, staff, external verifiers, and users obtaining samples from that collection.</p></td></tr></tbody></table>
4. The collection holder and its staff shall provide all assistance necessary to facilitate the verification referred to in paragraphs 1, 2 and 3.
5. Remedial actions or measures referred to in Article 5(4) of Regulation (EU) No 511/2014 shall be effective and proportionate and address shortcomings which, if left unaddressed, would permanently compromise the capacity of a registered collection to comply with Article 5(3) of that Regulation. They may require the collection holder concerned to put in place additional tools or to improve its capacity to apply existing tools. The collection holder shall report to the competent authority on the implementation of the identified remedial actions or measures.
Article 5
Due diligence declaration at the stage of research funding
1. A recipient of funding for research involving the utilisation of genetic resources and traditional knowledge associated with genetic resources shall make the due diligence declaration requested pursuant to Article 7(1) of Regulation (EU) No 511/2014 to the competent authority of the Member State in which the recipient is established. If the recipient is not established in the Union and the research is carried out in the Union, the due diligence declaration shall be made to the competent authority of the Member State in which the research is carried out.
2. The due diligence declaration shall be made by submitting the completed template set out in Annex II. It shall be made after the first instalment of funding has been received and all the genetic resources and traditional knowledge associated with genetic resources that are utilised in the funded research have been obtained, but no later than at the time of the final report, or in absence of such report, at the project end. The time of submission of such declaration may be further specified by the national authorities.
3. Where the same research project is funded from more than one source or involves more than one recipient, the recipient(s) may decide to make only one declaration. That declaration shall be submitted by the project co-ordinator to the competent authority of the Member State in which the project co-ordinator is established. If the project co-coordinator is not established in the Union and the research is carried out in the Union, the due diligence declaration shall be made to the competent authority of one of the Member States in which the research is carried out.
4. Where the competent authority that receives the declaration referred to in paragraphs 2 and 3 is not responsible for its transmission pursuant to Article 7(3) of Regulation (EU) No 511/2014, it shall forward that declaration to the competent authority responsible for such transmission without undue delay.
5. For the purposes of this Article and Annex II, ‘funding for research’ means any financial contribution by means of a grant to carry out research, whether from commercial or non-commercial sources. It does not cover internal budgetary resources of private or public entities
Article 6
Due diligence declaration at the stage of final development of a product
1. For the utilisation of genetic resources and traditional knowledge associated with genetic resources users shall make the due diligence declaration pursuant to Article 7(2) of Regulation (EU) No 511/2014 to the competent authority of the Member State in which the user is established. That declaration shall be made by submitting the completed template set out in Annex III to this Regulation.
2. The due diligence declaration referred to in paragraph 1 shall only be made once, prior to the first of the following events occurring:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>market approval or authorisation is sought for a product developed via the utilisation of genetic resources and traditional knowledge associated with genetic resources;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>a notification required prior to placing for the first time on the Union market is made for a product developed via the utilisation of genetic resources and traditional knowledge associated with genetic resources;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>placing on the Union market for the first time a product developed via the utilisation of genetic resources and traditional knowledge associated with genetic resources for which no market approval, authorisation or notification is required;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the result of the utilisation is sold or transferred in any other way to a natural or legal person within the Union in order for that person to carry out one of the activities referred to in points (a), (b) and (c);</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the utilisation in the Union has ended and its outcome is sold or transferred in any other way to a natural or legal person outside the Union.</p></td></tr></tbody></table>
3. For the purposes of this Article and Annex III, ‘result of the utilisation’ means products, precursors or predecessors to a product, as well as parts of products to be incorporated into a final product, blueprints or designs, based on which manufacturing and production could be carried out without further utilisation of the genetic resource and traditional knowledge associated with genetic resources.
4. For the purposes of this Article and Annex III, ‘placing on the Union market’ means the first making available of a product developed via utilisation of genetic resources and traditional knowledge associated with genetic resources on the Union market, where making available means the supply by any means, for distribution, consumption or use on the Union market in the course of a commercial activity, whether in return for payment or free of charge. Placing on the market does not include pre-commercial trials, including clinical, field or pest resistance trials, nor the making available of unauthorised medicinal products in order to provide treatment options for individual patients or groups of patients.
Article 7
Transmission of information
1. In accordance with Article 7(3) of Regulation (EU) No 511/2014, and unless the information is confidential within the meaning of Article 7(5) of Regulation (EU) No 511/2014, the competent authorities shall transmit to the ABS Clearing House the information received on the basis of Part A of Annexes II and III to this Regulation without undue delay and at the latest one month after the information has been received.
2. Where essential information, such as on the user and utilisation, on the place of access, or on the genetic resource, without which the record could not be published on the ABS Clearing House, is considered confidential, the competent authorities shall consider instead transmitting that essential information directly to the competent national authorities referred to in Article 13(2) of the Nagoya Protocol.
3. In accordance with Article 7(3) of Regulation (EU) No 511/2014, the competent authorities shall transmit to the Commission the information received on the basis of Annexes II and III to this Regulation, unless such information is confidential within the meaning of Article 7(5) of Regulation (EU) No 511/2014.
4. Where the Commission is not provided access to this information on a permanent basis through electronic means, such transmission shall be made once every six months, starting from 9 November 2016.
Article 8
Application for recognition of a best practice
1. An application submitted in accordance with Article 8(1) of Regulation (EU) No 511/2014 shall be made to the Commission by providing the information and supporting documentation specified in Annex IV to this Regulation.
2. An interested party that does not represent users but is involved in the access, collection, transfer or commercialisation of genetic resources or in developing measures and policy related to genetic resources shall provide with its application information, as specified in Annex IV to this Regulation, on its legitimate interest in developing and overseeing a combination of procedures, tools or mechanisms, which, when effectively implemented by a user, enables that user to comply with the obligations provided for in Articles 4 and 7 of Regulation (EU) No 511/2014.
3. The Commission shall send a copy of the application and supporting documentation to the competent authorities of all the Member States.
4. The competent authorities may submit comments to the Commission regarding the application within two months of receiving the documents referred to in paragraph 3.
5. The Commission shall acknowledge receipt of an application and provide the applicant with a reference number within 20 working days from the date of receipt of the application.
The Commission shall provide the applicant with an indicative time limit within which a decision on the application will be taken.
The Commission shall inform the applicant if additional information or documentation is required in order for it to carry out the assessment of the application.
6. The applicant shall submit to the Commission any additional information and documentation requested without undue delay.
7. The Commission shall send a copy of the documents referred to in paragraph 6 to the competent authorities of all the Member States.
8. The competent authorities may submit comments to the Commission regarding the information or documentation referred to in paragraph 6 within two months of receiving the copy of those documents.
9. The Commission shall inform the applicant each time it revises the indicative time limit within which a decision on the application will be taken due to the necessity to obtain additional information or documents for the assessment of the application.
The Commission shall inform the applicant in writing of the status of the assessment of the application at least every six months.
Article 9
Recognition and withdrawal of recognition as best practice
1. Where the Commission decides to grant recognition as best practice under Article 8(2) of Regulation (EU) No 511/2014 or to withdraw the recognition of best practice under Article 8(5) of that Regulation, the Commission shall inform of that decision without undue delay the association of users or the other interested parties, as well as the competent authorities of the Member States.
2. The Commission shall state reasons for its decision to grant recognition as best practice or to withdraw the recognition of best practice and it shall publish that decision in the register established under Article 8(6) of Regulation (EU) No 511/2014.
Article 10
Information on subsequent changes to a recognised best practice
1. Where the Commission is informed, pursuant to Article 8(3) of Regulation (EU) No 511/2014, of any changes or updates made to a recognized best practice, the Commission shall send a copy of that information to the competent authorities of all the Member States.
2. The competent authorities may submit comments to the Commission regarding such changes or updates within two months of receiving the information.
3. The Commission shall assess, taking into consideration the comments referred to in paragraph 2 of this Article, whether the changed or updated combination of procedures, tools or mechanisms still enables users to comply with their obligations provided for in Articles 4 and 7 of Regulation (EU) No 511/2014.
4. The competent authorities shall inform the Commission without undue delay of any information resulting from checks carried out pursuant to Article 9 of Regulation (EU) No 511/2014 indicating non-compliance with Articles 4 and 7 of that Regulation, which may indicate possible deficiencies in the best practice.
Article 11
Deficiency in best practice
1. Where the Commission receives substantiated information regarding repeated or significant cases of non-compliance with Articles 4 and 7 of Regulation (EU) No 511/2014 by a user implementing a best practice, the Commission shall request the association of users or the other interested parties to submit observations regarding the alleged non-compliance and whether those cases indicate possible deficiencies in the best practice.
2. Where the association of users or the other interested parties submit observations, they shall do so within three months.
3. The Commission shall examine those observations and any supporting documentation and send copies thereof to the competent authorities of all the Member States.
4. The competent authorities may submit comments to the Commission regarding those observations and supporting documentation within two months of receiving the copy of those documents.
5. Where the Commission examines possible deficiencies in a best practice and cases of non-compliance with the obligations provided for in Articles 4 and 7 of Regulation (EU) No 511/2014, as referred to in Article 8(4) of that Regulation, the association of users or the other interested parties subject to examination shall co-operate with the Commission and assist it in its actions. Where the association of users or the other interested parties subject to examination fails to do so, the Commission may, without further consideration, withdraw recognition of the best practice.
6. The results of the examination carried out by the Commission shall be conclusive and shall include any remedial actions to be taken by the association of users or the other interested parties. The examination may also result in a decision to withdraw recognition of the best practice.
Article 12
Review
The Commission shall review the functioning and effectiveness of this Regulation, taking into account the experience gathered in its implementation and with a view to its potential revision. Such review should consider the impact of this Regulation on micro, small and medium-sized enterprises, public research institutions and specific sectors, as well as relevant developments at the international level, in particular those related to the ABS Clearing House.
Article 13
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, 13 October 2015.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 150, 20.5.2014, p. 59 .
ANNEX I
Information to be provided with a request for inclusion in the register of collections pursuant to Article 3(1)
PART A
Information to be included in the register
Pursuant to Article 3(1) the information to be provided with a request for inclusion in the register of collections is as follows:
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Information on the holder of the collection (name, type of entity, address, e-mail, telephone number).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Information on whether the application concerns a collection or part of a collection.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>Information on the collection or the relevant part thereof (name; identifier (code/ number), where available; address(es), website, where available; link to the collection's online database of genetic resources, where available).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>A brief description of the collection or the relevant part thereof.</p><p>Where only part of a collection is to be included in the register, details on the relevant part(s) and its(their) distinctive features should be provided.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>Collection category</p><p>The application should provide information on the category to which the collection or part thereof belongs.</p><p><span>Table of categories</span></p><table><col/><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p> </p></td><td><p>Specificities</p></td></tr><tr><td><p>Entire specimens<a> (<span>1</span>)</a></p></td><td><p>Parts</p></td></tr><tr><td><p> </p></td><td><p>Seeds, sexual spores, or embryos</p></td><td><p>Gametes</p><p>♀ ♂</p></td><td><p>Somatic cells</p></td><td><p>Nucleic acids</p></td><td><p>Other parts<a> (<span>2</span>)</a></p></td></tr><tr><td><p>Animal</p></td><td><p>Vertebrate</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>Invertebrate</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>Plants</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>Algae</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>Protista</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>Fungi</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>Bacteria</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>Archaea</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>Viruses</p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td><p>Other groupings<a> (<span>3</span>)</a></p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td><td><p> </p></td></tr><tr><td/></tr></tbody></table></td></tr></tbody></table>
PART B
Evidence of the capacity of the collection or of the relevant part thereof to comply with Article 5(3) of Regulation (EU) No 511/2014
Any of the following documentation may be attached (or linked) to the application as evidence of the capacity of the collection or the relevant part thereof to comply with Article 5(3) of Regulation (EU) No 511/2014:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>codes of conduct, guidelines or standards, whether national or international, developed by associations or organisations, and adhered to by the collection, and information relating to the collection's instruments for the application of those codes of conduct, guidelines or standards;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>relevant principles, guidelines, codes of conduct or manuals of procedures, developed and applied within the collection, and any additional instruments for their application;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>certification of the collection under relevant schemes, whether national or international;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>information about participation of the collection in any international collection networks, and about associated applications for inclusion in the register of collections filed by partner collections in other Member States (optional);</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>any other relevant documentation.</p></td></tr></tbody></table>
( 1 ) When no particular parts of a specimen are concerned, refer to the appropriate cell of ‘entire specimens’.
( 2 ) ‘Other parts’ include asexual reproductive parts, vegetative reproduction structures, such as stem, cutting, tuber, rhizomes.
( 3 ) ‘Other groupings’ include slime molds, etc.
ANNEX II
Template for a due diligence declaration to be submitted at the stage of research funding pursuant to Article 5(2)
PART A
Information to be transmitted to the ABS Clearing House pursuant to Article 7(3) of Regulation (EU) No 511/2014
If the information provided is confidential within the meaning of Article 7(5) of Regulation (EU) No 511/2014, please provide it nonetheless, tick the respective box and provide the justification for confidentiality at the end of this Annex.
If you marked as confidential essential information (such as about the genetic resources or traditional knowledge associated with genetic resources, access place, form of utilisation), without which the record would not be published on the website of the ABS Clearing House, this information will not be shared with the ABS Clearing House, but it may be passed on directly to the competent authorities of the provider country.
At least one declaration is required per grant received, i.e. different recipients under one grant may choose to submit either individual declarations or a joint declaration, through the project coordinator.
I am making this declaration for the utilisation of:
Please tick the appropriate box or boxes:
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>☐ Genetic resources</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>☐ Traditional knowledge associated with genetic resources</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Subject matter of the research or identification code of the grant:</p><p>☐ Confidential</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Recipient or recipients of funding, including contact details:</p><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Name:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Address:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>E-mail:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Telephone:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Website, where available:</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>Information on exercise of due diligence:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>☐ An internationally recognised certificate of compliance (i) was issued for my (entity's) access or (ii) covers the terms of this access to the genetic resource(s) and traditional knowledge associated with genetic resources.</p><p>Where this box is ticked, please indicate the unique identifier of the internationally recognised certificate of compliance:</p><p><span>Please go to point 1 of Part B.</span></p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>Where the box in point (a) has not been ticked, please fill in the following information:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>Place of access:</p><p>☐ Confidential</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>Description of the genetic resources or traditional knowledge associated with genetic resources utilised; or unique identifier(s), where available:</p><p>☐ Confidential</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>Identifier of access permit or its equivalent <a>(<span>1</span>)</a>, where available:</p><p>☐ Confidential</p></td></tr></tbody></table><p><span>Please go to point 2 of Part B.</span></p></td></tr></tbody></table></td></tr></tbody></table>
PART B
Information not to be transmitted to the ABS Clearing House
<table><col/><col/><col/><tbody><tr><td/><td><p>1.</p></td><td><span>I declare that I will keep and transfer to subsequent user(s) a copy of the internationally recognised certificate of compliance as well as information on the content of the mutually agreed terms relevant for subsequent users.</span><p><span>Please go to point 3.</span></p></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>2.</p></td><td><span>I declare that I am in possession of the following information, which I will keep and transfer to subsequent user(s):</span><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>date of access;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>person or entity having granted prior informed consent, where applicable;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>person or entity to whom prior informed consent was granted (where applicable), if not granted directly to me or my entity;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>mutually agreed terms, where applicable;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the source from which I or my entity obtained the genetic resource and traditional knowledge associated with genetic resources;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>presence or absence of rights and obligations relating to access and benefit-sharing, including rights and obligations regarding subsequent applications and commercialisation.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>3.</p></td><td><span>Where the genetic resource(s) was(were) obtained from a registered collection, please provide the registration code of the collection:</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>4.</p></td><td><span>The research grant is funded by the following sources:</span><table><col/><col/><tbody><tr><td><p>Private ☐</p></td><td><p>Public ☐</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>5.</p></td><td><span>Member State(s) in which the research involving utilisation of genetic resources and traditional knowledge associated with genetic resources takes place or has taken place:</span><p><span><span>Confidentiality</span></span></p><p>If you have declared that some information is confidential within the meaning of Article 7(5) of Regulation (EU) No 511/2014, please state the reasons for each piece of information for which you have declared that confidentiality applies:</p><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Date:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Place:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Signature <a>(<span>2</span>)</a>:</p></td></tr></tbody></table></td></tr></tbody></table>
( 1 ) Evidence of the decision to grant prior informed consent or approval for access to genetic resources and traditional knowledge associated with genetic resources.
( 2 ) Signature of the recipient of funding or individual responsible within the research institution.
ANNEX III
Template for a due diligence declaration to be submitted at the stage of final development of a product pursuant to Article 6(1)
PART A
Information to be transmitted to the ABS Clearing House pursuant to Article 7(3) of Regulation (EU) No 511/2014
If the information provided is confidential within the meaning of Article 7(5) of Regulation (EU) No 511/2014, please provide it nonetheless, tick the respective box and provide the justification for confidentiality at the end of this Annex.
If you marked as confidential essential information (such as about the genetic resources or traditional knowledge associated with genetic resources, access place, form of utilisation) without which the record would not be published on the website of the ABS Clearing House, this information will not be shared with the Clearing House but it may be passed on directly to the competent authorities of the provider country.
If the utilisation has involved more than one genetic resource or any traditional knowledge associated with genetic resources, please provide relevant information for each genetic resource or any traditional knowledge utilised.
I declare that I have fulfilled the obligations under Article 4 of Regulation (EU) No 511/2014. I am making this declaration for the utilisation of:
Please tick the appropriate box or boxes:
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>☐ Genetic resources</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p> </p></td><td><p>☐ Traditional knowledge associated with genetic resources</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Name of the product or description of the result of the utilisation <a>(<span>1</span>)</a> or description of the outcome of the utilisation <a>(<span>2</span>)</a>:</p><p>☐ Confidential</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Contact details of the user:</p><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Name:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Address:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>E-mail:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Telephone:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Website, where available:</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>The declaration is made on the occasion of the following event:</p><p><span>Please tick the appropriate box:</span></p><table><col/><col/><tbody><tr><td><p>☐ (a)</p></td><td><p>market approval or authorisation is sought for a product developed via the utilisation of genetic resources and traditional knowledge associated with genetic resources;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (b)</p></td><td><p>a notification required prior to placing for the first time on the Union market is made for a product developed via the utilisation of genetic resources and traditional knowledge associated with genetic resources;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (c)</p></td><td><p>placing for the first time on the Union market a product developed via the utilisation of genetic resources and traditional knowledge associated with genetic resources, for which no market approval, authorisation or notification is required;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (d)</p></td><td><p>the result of the utilisation is sold or transferred in any other way to a natural or legal person within the Union in order for that person to carry out one of the activities referred to in points (a), (b) and (c);</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (e)</p></td><td><p>the utilisation has ended in the Union and its outcome is sold or transferred in any other way to a natural or legal person outside the Union.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>Information on exercise of due diligence:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>☐ An internationally recognised certificate of compliance (i) was issued for my (entity's) access or (ii) covers the terms of this access to the genetic resource(s) and traditional knowledge associated with genetic resources.</p><p>Where this box is ticked, please indicate the unique identifier of the internationally recognised certificate of compliance:</p><p><span>Please go to point 2 of Part B.</span></p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>Where the box in point (a) has not been ticked, please fill in the following information:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>Place of access:</p><p>☐ Confidential</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>Description of the genetic resource or traditional knowledge associated with genetic resources utilised, or unique identifier(s), where available:</p><p>☐ Confidential</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>Date of access:</p><p>☐ Confidential</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><p>Identifier of access permit or its equivalent <a>(<span>3</span>)</a>, where available:</p><p>☐ Confidential</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><p>Person or entity who granted prior informed consent:</p><p>☐ Confidential</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><p>Person or entity to whom the prior informed consent was granted:</p><p>☐ Confidential</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(vii)</p></td><td><p>Is the utilisation of genetic resources and traditional knowledge associated with genetic resources subject to mutually agreed terms?</p><table><col/><col/><tbody><tr><td><p>Yes ☐</p></td><td><p>No ☐</p></td></tr></tbody></table><p>☐ Confidential</p><p><span>Please go to point 1 of Part B.</span></p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
PART B
Information not to be transmitted to the ABS Clearing House
<table><col/><col/><col/><tbody><tr><td/><td><p>1.</p></td><td><span>Information on exercise of due diligence:</span><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>Direct source of the genetic resource and the traditional knowledge associated with genetic resources:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>Are there any restrictions in the mutually agreed terms limiting the possible utilisation of the genetic resource(s) or the traditional knowledge associated with genetic resources, e.g. allowing for non-commercial utilisation only?</p><table><col/><col/><col/><tbody><tr><td><p>Yes ☐</p></td><td><p>No ☐</p></td><td><p>Not applicable ☐</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>Have there been rights and obligations agreed regarding subsequent applications and commercialisation in the mutually agreed terms?</p><table><col/><col/><col/><tbody><tr><td><p>Yes ☐</p></td><td><p>No ☐</p></td><td><p>Not applicable ☐</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>2.</p></td><td><span>If the genetic resource(s) was(were) obtained from a registered collection, please provide the registration code of the collection:</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>3.</p></td><td><span>If you are implementing a best practice recognised under Article 8 of Regulation (EU) No 511/2014, please provide the registration number:</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>4.</p></td><td><span>Which category best describes your product (optional)?</span><table><col/><col/><tbody><tr><td><p>☐ (a)</p></td><td><p>cosmetics</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (b)</p></td><td><p>medicinal products</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (c)</p></td><td><p>food and beverage</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (d)</p></td><td><p>biological control</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (e)</p></td><td><p>plant breeding</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (f)</p></td><td><p>animal breeding</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>☐ (g)</p></td><td><p>other, please specify:</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>5.</p></td><td><span>Member State(s) in which the utilisation of genetic resources and traditional knowledge associated with genetic resources has taken place:</span></td></tr></tbody></table>
<table><col/><col/><col/><tbody><tr><td/><td><p>6.</p></td><td><span>Member State(s) in which the product is to be placed on the market, following the procedure for approval, authorisation or notification referred to in Article 6(2)(a) and (b) of Commission Regulation (EU) 2015/1866 or placed on the market in accordance with Article 6(2)(c) of that Regulation:</span><p><span><span>Confidentiality</span></span></p><p>If you have declared that some information is confidential within the meaning of Article 7(5) of Regulation (EU) No 511/2014, please state the reasons for each piece of information for which you have declared that confidentiality applies:</p><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Date:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Place:</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p> </p></td><td><p>Signature <a>(<span>4</span>)</a>:</p></td></tr></tbody></table></td></tr></tbody></table>
( 1 ) ‘Result of the utilisation of genetic resources and traditional knowledge associated with genetic resources’ means products, precursors or predecessors to a product, as well as parts of products to be incorporated into a final product, blueprints or designs, based on which manufacturing and production could be carried out without further utilisation of the genetic resource and traditional knowledge associated with genetic resources.
( 2 ) Where the utilisation in the Union has ended and its outcome is sold or transferred in any other way to a natural or legal person outside the Union.
( 3 ) Evidence of the decision to grant prior informed consent or approval for access to genetic resources and traditional knowledge associated with genetic resources.
( 4 ) Signature of the person legally responsible for the stage of final development of a product.
ANNEX IV
Information to be provided with an application for recognition of best practice pursuant to Article 8(1)
Pursuant to Article 8(1) the information to be provided with the application for recognition of best practice is as follows:
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Information whether the application is made on behalf of an association of users or other interested parties.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Contact details of the association of users or other interested parties (name, address, e-mail, telephone, and website, where available).</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>If the application is made by an association of users, the following should be provided:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>evidence of being established in accordance with the requirements of the Member State in which the applicant is located;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>description of the organisation and structure of the association.</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>4.</p></td><td><p>If the application is made by other interested parties, the reasons for having legitimate interest in the subject matter of Regulation (EU) No 511/2014 should be explained.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>5.</p></td><td><p>The information provided should describe how the applicant is involved in developing measures and policies related to genetic resources, or how the applicant accesses, collects, transfers or commercialises genetic resources and traditional knowledge associated with genetic resources.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>6.</p></td><td><p>Description of the combination of procedures, tools or mechanisms, developed by the applicant, which, when effectively implemented, enable users to comply with the obligations provided for in Articles 4 and 7 of Regulation (EU) No 511/2014.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>7.</p></td><td><p>Description of how the overseeing of the procedures, tools or mechanisms referred to in point 6 will be carried out.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>8.</p></td><td><p>Information on Member State(s) in which the applicant is located and in which it operates.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>9.</p></td><td><p>Information on Member State(s) where the users implementing the best practice overseen by the association or the other interested party operate.</p></td></tr></tbody></table>
List of supporting documents related to points 5 and 6:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>list of relevant personnel working for organization applying or any sub-contractors, with description of their duties related to the development and overseeing of best practices;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>declaration of absence of conflict of interest, on the part of applicant and any sub-contractors, in developing and overseeing the combination of procedures, tools or mechanisms <a>(<span>1</span>)</a>;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>where tasks related to development of best practices or overseeing such practices or both are sub-contracted, description of those tasks.</p></td></tr></tbody></table>
<note>
( 1 ) Payment of fees or voluntary contributions by users to an association should not be considered as creating a conflict of interest.
</note> | ENG | 32015R1866 |
2014R0639 — EN — 01.01.2016 — 002.001
This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p>COMMISSION DELEGATED REGULATION (EU) No 639/2014</p><p>of 11 March 2014</p><p><a>supplementing Regulation (EU) No 1307/2013 of the European Parliament and of the Council establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy and amending Annex X to that Regulation</a></p><p>(OJ L 181 20.6.2014, p. 1)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a>COMMISSION DELEGATED REGULATION (EU) 2015/1383 of 28 May 2015</a></p></td><td><p>  L 214</p></td><td><p>1</p></td><td><p>13.8.2015</p></td></tr><tr><td><p><a>►M2</a></p></td><td><p><a>COMMISSION DELEGATED REGULATION (EU) 2016/141 of 30 November 2015</a></p></td><td><p>  L 28</p></td><td><p>2</p></td><td><p>4.2.2016</p></td></tr></table>
COMMISSION DELEGATED REGULATION (EU) No 639/2014
of 11 March 2014
supplementing Regulation (EU) No 1307/2013 of the European Parliament and of the Council establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy and amending Annex X to that Regulation
THE EUROPEAN COMMISSION,
Having regard to Regulation (EU) No 1307/2013 of the European Parliament and of the Council of 17 December 2013 establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy and repealing Council Regulation (EC) No 637/2008 and Council Regulation (EC) No 73/2009 ( 1 ), and in particular Articles 4(3), 8(3), 9(5), 35(1), (2) and (3), 36(6), 39(3), 43(12), 44(5), 45(5) and (6), 46(9), 50(11), 52(9), 57(3), 58(5), 59(3), 67(1) and (2) thereof,
Whereas:
<table><col/><col/><tr><td><p>(1)</p></td><td><p>Regulation (EU) No 1307/2013 has repealed and replaced Council Regulation (EC) No 73/2009 (<a><span>2</span></a>). Regulation (EU) No 1307/2013 lays down a new legal framework consisting of a new system of direct support, including a basic payment for farmers and further support schemes. It empowers the Commission to adopt delegated and implementing acts. In order to ensure the smooth functioning of the schemes in the new legal framework, certain rules have to be adopted by means of such acts. In order to reduce administrative burden, these rules should be simple and easy to control. Those acts should replace the rules laid down in Commission Regulations (EC) No 1120/2009 (<a><span>3</span></a>) and (EC) No 1121/2009 (<a><span>4</span></a>).</p></td></tr></table>
<table><col/><col/><tr><td><p>(2)</p></td><td><p>It is necessary to supplement that framework by means of this Regulation in relation to certain general provisions, the basic payment scheme, the single area payment scheme, the payment for farmers observing agricultural practices beneficial for the climate and the environment, the payment for young farmers commencing their agricultural activity, voluntary coupled support, the crop-specific payment for cotton and in relation to the notifications necessary with regard to each support scheme.</p></td></tr></table>
<table><col/><col/><tr><td><p>(3)</p></td><td><p>For the purpose of ensuring the correct application of the adjustments of direct payments with respect to financial discipline, it is necessary to lay down general rules on the sequence for the calculation of such reductions in relation to reductions under Regulation (EU) No 1306/2013 of the European Parliament and of the Council (<a><span>5</span></a>).</p></td></tr></table>
<table><col/><col/><tr><td><p>(4)</p></td><td><p>In line with the case-law of the Court of Justice of the European Union (<a><span>6</span></a>), it is appropriate to clarify that Member States, when adopting measures to implement Union law, should exercise their discretion in compliance with certain principles, including in particular the principle of non-discrimination.</p></td></tr></table>
<table><col/><col/><tr><td><p>(5)</p></td><td><p>Support other than coupled support should respect the requirements to be considered as decoupled income support in the meaning of the ‘Green Box’ of the Agreement on Agriculture concluded during the Uruguay Round of multilateral trade negotiations (<a><span>7</span></a>), and coupled support should respect the requirements to be considered as falling within the ‘Blue Box’ of that Agreement.</p></td></tr></table>
<table><col/><col/><tr><td><p>(6)</p></td><td><p>In accordance with Article 4(1)(c) of Regulation (EU) No 1307/2013, an ‘agricultural activity’ does not require production, rearing or growing of agricultural products. Farmers may instead maintain an agricultural area in a state which makes it suitable for grazing or cultivation without preparatory action going beyond usual agricultural methods and machineries or, on agricultural areas naturally kept in a state suitable for grazing or cultivation, carry out a certain minimum activity. As the latter two activities both require a certain action on the part of the farmer, it is necessary to establish a Union framework within which Member States are to establish the further criteria for those activities.</p></td></tr></table>
<table><col/><col/><tr><td><p>(7)</p></td><td><p>For environmental reasons, the definition of ‘permanent grassland’ in Article 4(1)(h) of Regulation (EU) No 1307/2013 also includes non-herbaceous species such as shrubs and/or trees, which can be grazed, provided that the grasses and other herbaceous forage remain predominant on the relevant land. It is therefore necessary to determine a criterion for establishing in which cases grasses and other herbaceous forage remain predominant.</p></td></tr></table>
<table><col/><col/><tr><td><p>(8)</p></td><td><p>That definition of ‘permanent grassland’ allows Member States to consider as permanent grassland also land which can be grazed and which forms part of established local practices where grasses and other herbaceous forage are traditionally not predominant in grazing areas. For that purpose, it is necessary to lay down criteria on the basis of which such established local practices can be determined.</p></td></tr></table>
<table><col/><col/><tr><td><p>(9)</p></td><td><p>In accordance with the second subparagraph of Article 4(2) of Regulation (EU) No 1307/2013, Member States may consider as permanent grassland land which can be grazed and which forms part of established local practices where grasses and other herbaceous forage are traditionally not predominant in grazing areas. Such permanent grassland may be subject to a reduction coefficient according to Article 32(5) of Regulation (EU) No 1307/2013. In order to ensure the proportionate application of that provision, it is appropriate to provide for a possibility to distinguish between different categories of areas in order to apply different reduction coefficients to such categories.</p></td></tr></table>
<table><col/><col/><tr><td><p>(10)</p></td><td><p>Article 9(1) of Regulation (EU) No 1307/2013 requires that no direct payments are granted to natural or legal persons, or to groups of natural or legal persons, whose agricultural areas are mainly areas naturally kept in a state suitable for grazing or cultivation and who do not carry out on those areas the minimum activity defined by Member States. For this purpose, it is necessary to determine when such areas are to be considered as the main part of a farmer’s agricultural land and to clarify the scope of application of that provision.</p></td></tr></table>
<table><col/><col/><tr><td><p>(11)</p></td><td><p>According to Article 9(2) of Regulation (EU) No 1307/2013, entities falling within the scope of the so-called negative list are to be considered active farmers if they are able to prove that they meet one of the criteria listed in that provision. One of these criteria consists of demonstrating that the annual amount of direct payments is at least 5 % of the total receipts obtained from non-agricultural activities. It is therefore necessary to lay down provisions for establishing whether receipts stem from agricultural or non-agricultural activities.</p></td></tr></table>
<table><col/><col/><tr><td><p>(12)</p></td><td><p>Furthermore, it is necessary to lay down rules on how the annual amount of direct payments is to be determined for the purposes of Article 9(2) and, where appropriate, of Article 9(3), as well as for the purposes of Article 9(4) of Regulation (EU) No 1307/2013, which exempts certain farmers from the application of Article 9(2) and (3) of that Regulation. In order to ensure the equal treatment of farmers in Bulgaria, Croatia and Romania, where direct payments are subject to phasing-in, in those Member States the annual amount of direct payments should be based on the final amounts to be granted at the end of the phasing-in process.</p></td></tr></table>
<table><col/><col/><tr><td><p>(13)</p></td><td><p>In accordance with Article 9(2) and, where applicable, Article 9(3) of Regulation (EU) No 1307/2013 farmers may be excluded from support where their agricultural activities are insignificant or where their principal business or company objects do not consist of exercising an agricultural activity. It is necessary to define certain criteria in this respect, while giving Member States a possibility to establish alternative criteria to target agricultural activities which are only marginal.</p></td></tr></table>
<table><col/><col/><tr><td><p>(14)</p></td><td><p>Regulation (EU) No 1307/2013 provides for several possibilities for the allocation of payment entitlements to farmers. For the sake of legal certainty, it should be provided that, in case of an actual or anticipated inheritance, or revocable anticipated inheritance, mergers or scissions of a holding, the number and value of payment entitlements to be received are established under the same conditions as would have applied for the farmer originally managing the holding. It is further necessary to provide rules on how to establish the number of payment entitlements to be allocated in case of holdings resulting from a scission where those holdings are situated in Member States applying Article 24(4) or (5) of Regulation (EU) No 1307/2013. For the sake of legitimate expectations of farmers, changes of the legal status of a farmer should not have an impact on the number or value of payment entitlements the farmer may receive where such a farmer remains in control over the holding in terms of management, benefits and financial risks.</p></td></tr></table>
<table><col/><col/><tr><td><p>(15)</p></td><td><p>For the sake of legal certainty and in order to ensure the proper management of payment entitlements, it is necessary to clarify that only those eligible hectares which are determined pursuant to point (23)(a) of the second subparagraph of Article 2(1) of Commission Delegated Regulation (EU) No 640/2014 (<a><span>8</span></a>) should be considered for allocation and activation of payment entitlements.</p></td></tr></table>
<table><col/><col/><tr><td><p>(16)</p></td><td><p>In line with the case-law of the Court of Justice of the European Union (<a><span>9</span></a>), payment entitlements should be allocated to the person enjoying decision-making power, benefits and financial risks in relation to the agricultural activity on the land for which such allocation is requested. It is appropriate to clarify that this principle applies in particular where an eligible hectare is subject to an application for allocation of payment entitlements by more than one farmer.</p></td></tr></table>
<table><col/><col/><tr><td><p>(17)</p></td><td><p>Article 24(6) of Regulation (EU) No 1307/2013 allows Member States to apply a reduction coefficient to certain eligible hectares under permanent grassland located in areas with difficult climate conditions, especially due to the altitude and other natural constraints. In order to ensure the proportionate application of that provision, it is appropriate to establish a framework for the application of such a reduction coefficient, in particular as regards the limits for such reduction.</p></td></tr></table>
<table><col/><col/><tr><td><p>(18)</p></td><td><p>Article 9 of Regulation (EU) No 1307/2013 lays down the basic principle that only active farmers may receive direct payments. Furthermore, Article 24(9) of that Regulation allows Member States to fix a minimum size per holding for the allocation of payment entitlements. It is appropriate to take these provisions into account also in the context of the determination of the value of payment entitlements.</p></td></tr></table>
<table><col/><col/><tr><td><p>(19)</p></td><td><p>When support granted for calendar year 2014 is taken into account pursuant to Article 26 of Regulation (EU) No 1307/2013 to determine the initial unit value of payment entitlements, it should be clarified that Member States may decide not to take account of all measures listed in that provision. In order to avoid any undue penalisation of farmers, the reference amounts relevant for the determination of the value of payment entitlements should not include any reductions or exclusions established pursuant to Chapter 4 of Title II of Regulation (EC) No 73/2009. It is appropriate to specify how that support is to be taken into account and to lay down further criteria necessary in order to respect the decoupled nature of certain schemes which may be taken into account.</p></td></tr></table>
<table><col/><col/><tr><td><p>(20)</p></td><td><p>Furthermore, for the purpose of determining the initial unit value of payment entitlements, it is necessary to clarify that in Article 26(3) of Regulation (EU) No 1307/2013, payment entitlements held by a farmer include also those payment entitlements which are leased out to another farmer on the date of submission of the lessor’s application for 2014.</p></td></tr></table>
<table><col/><col/><tr><td><p>(21)</p></td><td><p>In order to allow for a prediction of income support for farmers, it is appropriate to set a deadline by which Member States need to establish and communicate to farmers the definitive value and number of payment entitlements where farmers were informed on the basis of provisional data.</p></td></tr></table>
<table><col/><col/><tr><td><p>(22)</p></td><td><p>For the purposes of Article 26 or Article 40(3) of Regulation (EU) No 1307/2013, where a farmer was affected by<span>force majeure</span> or exceptional circumstances during the reference year referred to in those Articles, it is appropriate to establish the value of the payment entitlements on the basis of the last year not affected by<span>force majeure</span> or exceptional circumstances. Member States should however be allowed to set a certain threshold in terms of impact of<span>force majeure</span> or exceptional circumstances on the direct support received in the reference year in order to reduce the administrative burden.</p></td></tr></table>
<table><col/><col/><tr><td><p>(23)</p></td><td><p>For the sale or lease of a holding or part of it that took place in the period before the date for lodging an application for allocation of entitlements in the first year of application of the scheme, it should be provided that Member States may decide that farmers may transfer by contract the payment entitlements to be allocated together with the holding or part of it. Under such a private contract clause, the payment entitlements should be allocated to the seller or lessor, respectively, and directly transferred to the buyer or lessee respectively, who will benefit where applicable from taking the payments which the seller or the lessor, respectively, received for 2014 or from the value of the entitlements that the seller or lessor owned in 2014 as referred to in Article 26 of Regulation (EU) No 1307/2013 as a reference for the initial unit value of payment entitlements. It should further be clarified that Article 34(4) of Regulation (EU) No 1307/2013 is not to be applied to such transfers.</p></td></tr></table>
<table><col/><col/><tr><td><p>(24)</p></td><td><p>As regards the calculation of the unit value of the payment entitlements, clear rules should be laid down concerning the rounding-up of figures, the possibility to split existing payment entitlements where the size of the parcel which is declared or transferred with the entitlement only amounts to a fraction of hectares, and the possibility to merge entitlements and fractions.</p></td></tr></table>
<table><col/><col/><tr><td><p>(25)</p></td><td><p>For the sake of legal certainty, it is appropriate to set a deadline by which the regions referred to in Article 34(3) of Regulation (EU) No 1307/2013 are to be set up.</p></td></tr></table>
<table><col/><col/><tr><td><p>(26)</p></td><td><p>Specific provisions for the management of the national or regional reserves should be laid down.</p></td></tr></table>
<table><col/><col/><tr><td><p>(27)</p></td><td><p>It is necessary to lay down criteria and maximum percentages for the application of Article 34(4) of Regulation (EU) No 1307/2013 in order to prevent that any reduction under that provision results in a substantial obstacle or prohibition of transfer of payment entitlements.</p></td></tr></table>
<table><col/><col/><tr><td><p>(28)</p></td><td><p>For reasons of legal certainty, it is appropriate to clarify the determination of the amount that may be reverted to the national or regional reserve pursuant to Article 28 or 40(5) of Regulation (EU) No 1307/2013 when establishing payment entitlements in the first year of implementation of the basic payment scheme.</p></td></tr></table>
<table><col/><col/><tr><td><p>(29)</p></td><td><p>Article 30 of Regulation (EU) No 1307/2013 provides for compulsory and optional cases of allocation of payment entitlements from the national or regional reserve. It is appropriate to lay down rules for the calculation of the number and value of the payment entitlements to be allocated in such a way and to provide that priorities established in Article 30(6) of that Regulation are not undermined by the decisions Member States are allowed to take under Article 30(7) and (10) of Regulation (EU) No 1307/2013. Similarly, application of Article 30(6) of Regulation (EU) No 1307/2013 should be coherent with Article 24(6) and (7) of that Regulation and with the rules on hardship in this Regulation. In order to ensure the decoupled nature of the basic payment scheme, the calculation of the number and value of the payment entitlements under the national or regional reserve should not be based on sector-specific criteria after the date fixed by the Member State in accordance with Article 11(2) of Commission Regulation (EC) No 1122/2009 (<a><span>10</span></a>) for claim year 2013.</p></td></tr></table>
<table><col/><col/><tr><td><p>(30)</p></td><td><p>For the sake of legal certainty and in order to ensure equal treatment of farmers commencing their agricultural activity, it is appropriate to clarify the notion of ‘farmers commencing their agricultural activity’ referred to in Article 30(11)(b) of Regulation (EU) No 1307/2013.</p></td></tr></table>
<table><col/><col/><tr><td><p>(31)</p></td><td><p>Where Member States allocate payment entitlements pursuant to Article 30(7)(c) of Regulation (EU) No 1307/2013, the value of such entitlements should be calculated in accordance with Article 25 or 40 of Regulation (EU) No 1307/2013.</p></td></tr></table>
<table><col/><col/><tr><td><p>(32)</p></td><td><p>Article 24(3) to (7) of Regulation (EU) No 1307/2013 provides Member States with several possibilities to limit the number of payment entitlements to be allocated to farmers. Certain farmers may thus have a high proportion of eligible hectares not covered by payment entitlements which may lead to hardship cases as certain support schemes accessory to the basic payment scheme, in particular the payment for agricultural practices beneficial for the climate and environment, are based on the eligible hectares declared for the purpose of activation of payment entitlements. Therefore, it should be clarified that Member States have the possibility to allocate payment entitlements from the national or regional reserve when a farmer is significantly affected by the limitations provided for in Article 24(3) to (7) of Regulation (EU) No 1307/2013. As certain areas are not subject to greening obligations or only involve limited costs of compliance with greening, Member States should further be allowed to decide not to include such areas when determining hardship cases.</p></td></tr></table>
<table><col/><col/><tr><td><p>(33)</p></td><td><p>Pursuant to Article 21(4) of Regulation (EU) No 1307/2013, payment entitlements held by a farmer (owned or leased-in) in excess of the eligible hectares at his disposal expire. For reasons of legal certainty, it is appropriate to clarify the order of priority of expiry of those payment entitlements and to define further rules on implementation. Moreover it is appropriate to give Member States the possibility to take this provision into account also in the context of the determination of the value of payment entitlements.</p></td></tr></table>
<table><col/><col/><tr><td><p>(34)</p></td><td><p>Regulation (EU) No 1307/2013 provides that the basic payment in certain Member States may be implemented in the form of the single area payment scheme until the year 2020 at the latest. Having regard to the fact that the single area payment per hectare is calculated every year and that the eligibility to the basic payment is a precondition for access to most of the other direct payment schemes and thus intrinsically connected with them, it is necessary to clarify that only those eligible hectares, which are determined pursuant to point (23)(a) of the second subparagraph of Article 2(1) of Delegated Regulation (EU) No 640/2014 are to be taken into account for the purposes of the relevant schemes.</p></td></tr></table>
<table><col/><col/><tr><td><p>(35)</p></td><td><p>Member State applying the single area payment scheme and applying the basic payment scheme as from 1 January 2018 at the latest may differentiate the single area payment per hectare taking into account certain payments granted for calendar year 2014. For the purpose of that differentiation, it is appropriate to specify how those payments should be taken into account and to lay down further criteria necessary in order to respect the decoupled nature of certain schemes. Moreover, where a farmer was affected by<span>force majeure</span> or exceptional circumstances affecting calendar year 2014, it is appropriate to establish the differentiation on the basis of the last year not affected by<span>force majeure</span> or exceptional circumstances. Member States should however be allowed to set a certain threshold in terms of impact of<span>force majeure</span> or exceptional circumstances on the direct support received in the reference year in order to reduce the administrative burden. In addition, for the sake of legal certainty, rules should be provided for the case of an actual or anticipated inheritance.</p></td></tr></table>
<table><col/><col/><tr><td><p>(36)</p></td><td><p>Chapter 3 of Title III of Regulation (EU) No 1307/2013 establishes the conditions for the granting of the payment for agricultural practices beneficial for the climate and the environment (‘greening’ payment). The requirements tied to the greening payment as stipulated in the basic act are generalised (applicable following the same pattern for all beneficiaries) and provide for non-contractual actions, globally ensuring that EU agriculture is based on practices going beyond the requirements of cross compliance. These principles laid down in the basic act shall be taken into account when specifying the detailed rules concerning the greening practices.</p></td></tr></table>
<table><col/><col/><tr><td><p>(37)</p></td><td><p>In order to have an appropriate level of assurance as regards the obligations set by Article 43(3) of Regulation (EU) No 1307/2013 relating to equivalent practices covered by national or regional certification schemes, criteria should be established as regards the designation of public or private certification authorities.</p></td></tr></table>
<table><col/><col/><tr><td><p>(38)</p></td><td><p>In order to respect the principle of no double funding, rules for the calculation of the payments for some specific commitments covering practices referred to in points 3 and 4 of Section I and point 7 of Section III of Annex IX to Regulation (EU) No 1307/2013 need to be provided for. As those commitments concern equivalent practices that allow farmers taking up such commitments to fulfil one or more obligations in order to receive the ‘greening’ payment referred to in Chapter 3 of Title III of Regulation (EU) No 1307/2013, the payments for those commitments, compared to the normal payment provided for under Article 28(6) of Regulation (EU) No 1305/2013 of the European Parliament and of the Council (<a><span>11</span></a>), should be reduced by an amount that is to be calculated on the basis of the level of the greening payment in the Member State or region concerned or in specific cases based on the individual greening payment of the farmer.</p></td></tr></table>
<table><col/><col/><tr><td><p>(39)</p></td><td><p>Article 44 of Regulation (EU) No 1307/2013 lays down obligations with respect to the number of crops and the relative shares of crops on arable land. Rules concerning the precise calculation of the shares of different crops need to be established.</p></td></tr></table>
<table><col/><col/><tr><td><p>(40)</p></td><td><p>Rules on the period that will be taken into account for the calculation of the relative share of crops should be set, taking account of the practical timing of crop cultivation activities and the need to allow a simple administration.</p></td></tr></table>
<table><col/><col/><tr><td><p>(41)</p></td><td><p>For the sake of clarity for farmers and Member States and to contribute to the protection of landscape elements situated within arable fields, it is necessary to clarify the situation with respect to the area occupied by landscape features.</p></td></tr></table>
<table><col/><col/><tr><td><p>(42)</p></td><td><p>For the purpose of calculating the shares of different crops, it is also necessary to lay down supplementary rules for the specific cases of mixed cropping in distinct rows, under-sowing and the use of seed mixtures.</p></td></tr></table>
<table><col/><col/><tr><td><p>(43)</p></td><td><p>Article 45(1) of Regulation (EU) No 1307/2013 lays down obligations which aim at preserving the permanent grassland areas that contribute most to the protection of the environment and in particular carbon sequestration, biodiversity and soil protection. Such grasslands, which constitute areas of high environmental interest, are located within but also outside of the Natura 2000 network. For those which are located outside, it is necessary in order to secure their effective protection, to establish a framework for Member States for their designation which should allow them to take account of conditions in the Member State and should build on the synergy with existing environmental policies.</p></td></tr></table>
<table><col/><col/><tr><td><p>(44)</p></td><td><p>In order to provide for the protection of such permanent grassland areas over the years, rules should be established on the reconversion of such areas in case of a breach of the strict protection by the farmer.</p></td></tr></table>
<table><col/><col/><tr><td><p>(45)</p></td><td><p>Article 45(2) of Regulation (EU) No 1307/2013 provides for the protection of the share of permanent grassland compared to the total agricultural area. In order to achieve this goal, Member States should monitor the evolution of the share of permanent grassland. They should be allowed to establish a system of prior authorisation. Individual reconversions and a prohibition of further conversions should be required in case of a decrease beyond 5 %. For the sake of clarity and in order to have a proportionate implementation, rules should be established on the farmers and areas that are to be subject to authorisations and reconversions.</p></td></tr></table>
<table><col/><col/><tr><td><p>(46)</p></td><td><p>In order to have an effective use of the authorisation procedure for the conversion of permanent grassland, Member States should be granted the flexibility to select priority areas or groups of farmers for the granting of the authorisation based on objective criteria.</p></td></tr></table>
<table><col/><col/><tr><td><p>(47)</p></td><td><p>Rules should be provided for the method to determine the ratio of permanent grassland to agricultural land in order to avoid situations in which permanent grassland areas are counted twice due to the practice to have grassland in a long rotation and to avoid that the conversions by small and organic farmers, that are exempted from obligations to reconvert, have a direct impact on the reconversion obligation of other farmers. Member States should be allowed to adapt their reference ratio in justified cases.</p></td></tr></table>
<table><col/><col/><tr><td><p>(48)</p></td><td><p>Article 46 of Regulation (EU) No 1307/2013 lists the features and areas that can be applied as ecological focus area by Member States. Further criteria to qualify those features and areas as ecological focus areas need to be laid down. In order to meet the biodiversity objective, those criteria should ensure the safeguarding and improvement of biodiversity on farms. Those criteria should also take into account the efforts already made by farmers.</p></td></tr></table>
<table><col/><col/><tr><td><p>(49)</p></td><td><p>On land lying fallow, the requirement of having no production, which will result in limiting the application of pesticides or fertilisers, should not exclude voluntary actions such as the seeding of wildflower mixtures with a view to improve the biodiversity benefits. It should be clarified that the land lying fallow for more than five years for the purpose of the ecological focus area requirement is to remain arable land and does not fall under the definition of permanent grassland.</p></td></tr></table>
<table><col/><col/><tr><td><p>(50)</p></td><td><p>As regards terraces, given the variety in their construction across the Union, it should be up to Member States to define detailed conditions based on national or regional specificities, taking account of their value for biodiversity.</p></td></tr></table>
<table><col/><col/><tr><td><p>(51)</p></td><td><p>For the sake of clarity, landscape features that count as ecological focus area should be listed and the link with features already protected in Member States under cross compliance should be clarified. For some features, a minimum or maximum size should be established in order to help their identification and help guarantee that the area is predominantly agricultural.</p></td></tr></table>
<table><col/><col/><tr><td><p>(52)</p></td><td><p>Buffer strips, to be located near the border of arable fields along water courses or within fields higher upon a slope, are beneficial for the purpose of reducing runoff to surface waters of pollutants. In the interest of biodiversity benefits, it should be provided that all those areas counted as ecological focus area may not be used for production, which will also avoid the application of pesticides and limit the application of fertilisers. In order to further enhance the biodiversity benefits, voluntary actions such as the seeding of wildflower mixtures should not be excluded. Member States should be able to decide whether or not on buffer strips grazing and cutting for forage is allowed.</p></td></tr></table>
<table><col/><col/><tr><td><p>(53)</p></td><td><p>As regards hectares of agro-forestry, it should be clarified that the areas to be taken into account are the areas of arable land that are located in an area under an agro-forestry system that is still fulfilling the conditions under which it receives or received rural development support. Member States that select those areas for the fulfilment of the ecological focus area obligation should take the biodiversity objective into account when establishing the additional conditions for receiving support for the establishment of agro-forestry systems in their rural development programmes.</p></td></tr></table>
<table><col/><col/><tr><td><p>(54)</p></td><td><p>As regards strips of eligible hectares along forest edges, it should be up to the Member States to decide whether to establish a requirement of no cultivation which will avoid the use of inputs on a set strip adjacent to the forest in order to create a buffering transition to the bordering forest. Such a requirement will provide a higher value of ecological focus area which should be reflected in a differentiated value for the weighting factor for this type of area.</p></td></tr></table>
<table><col/><col/><tr><td><p>(55)</p></td><td><p>The limited use of inputs needed for the cultivation of short rotation coppice results in indirect benefits for biodiversity. For that purpose, Member States should lay down the conditions that apply to this type of ecological focus area, by specifying the list of tree species that may be used and the rules as regards the use of inputs.</p></td></tr></table>
<table><col/><col/><tr><td><p>(56)</p></td><td><p>In order to allow an implementation that is adapted to national conditions and for an optimal use of the capacity of catch crops and green cover to effectively take up residual nitrogen and with a view to avoiding bare soil and diffuse pollution in groundwater, Member States should fix the dates for the sowing of such covers. Catch crops or green covers should be established by sowing of a mixture of crop species or by under-sowing of grass in order to optimise the agronomic and environmental outcome in terms of biodiversity. Member States may establish in the scope of GAEC 4 as referred to in Annex II to Regulation (EU) No 1306/2013, the dates after which mechanical destruction of the catch crops and the green cover is allowed.</p></td></tr></table>
<table><col/><col/><tr><td><p>(57)</p></td><td><p>As regards areas with nitrogen-fixing crop, Member States should lay down rules that will avoid that the growing of nitrogen-fixing crops on ecological focus areas would lead to increased nitrogen leaching and deteriorated water quality, which would not be compatible with the objectives of Council Directive 91/676/EEC (<a><span>12</span></a>) and Directive 2000/60/EC of the European Parliament and of the Council (<a><span>13</span></a>) and would compromise the biodiversity objective. Member States should also establish the list of nitrogen-fixing crops that are considered to contribute to improving biodiversity.</p></td></tr></table>
<table><col/><col/><tr><td><p>(58)</p></td><td><p>In order to maximise the benefits of having ecological focus area on arable land and to ensure that ecological focus areas cover the percentage provided for in Article 46(1) of Regulation (EU) No 1307/2013, it should be clearly laid down, in the interest of an efficient management, that a parcel or a landscape feature is not to be counted twice the same year for complying with the ecological focus area requirement.</p></td></tr></table>
<table><col/><col/><tr><td><p>(59)</p></td><td><p>Article 46(5) of Regulation (EU) No 1307/2013 allows Member States to implement up to 50 % of the individual ecological focus area requirement at regional level. In order to ensure that such regional implementation brings additional benefits from an environmental and landscape point of view and contributes to the implementation of the Green Infrastructure Strategy (<a><span>14</span></a>), rules should be introduced on the features that may be used to build up adjacent ecological focus areas. Rules should also be laid down as regards the designation of areas with the aim of creating synergies in the implementation of agricultural and environmental policies of the Union.</p></td></tr></table>
<table><col/><col/><tr><td><p>(60)</p></td><td><p>For the purpose of the decision to be taken by Member States granting the possibility for farmers to implement collectively half of their individual ecological focus area obligation as provided for in Article 46(6) of Regulation (EU) No 1307/2013, rules should be introduced that are similar to the rules on the regional implementation as regards the features that may be used to build up adjacent ecological focus areas to guarantee added value for the environment and contribution to the enhancement of green infrastructure. Rules on the criteria to be met by the farmers should provide that their holdings need to be located in close proximity while leaving flexibility for Member States to take account of different administrative structures. For the sake of legal clarity, rules should be laid down on the content of the written agreement to be concluded between participants with the aim of setting the rights and obligations of each of them.</p></td></tr></table>
<table><col/><col/><tr><td><p>(61)</p></td><td><p>As regards the possibility for certain Member States to exempt farmers in heavily forested areas from the ecological focus area obligation, rules should be established which provide clarity as to the methods and the data to be used for the calculation of the ratio of forest to the total land surface area and the ratio of forest to agricultural land.</p></td></tr></table>
<table><col/><col/><tr><td><p>(62)</p></td><td><p>Regulation (EU) No 1307/2013 lays down eligibility conditions for the payment for young farmers. In particular, the payment is subject to the condition that the young farmer is setting up for the first time an agricultural holding as head of the holding, or has already set up such a holding during the five years preceding the first application for the payment, and that the farmer is no more than 40 years of age in the year of submitting the first application for the payment. In the case of legal persons it is appropriate that these conditions are fulfilled by all natural persons exercising effective and long-term control over the legal person as defined by the Court of Justice of the European Union (<a><span>15</span></a>). It is further necessary to clarify which conditions are to be fulfilled by the legal person and the natural person(s) in control of that legal person.</p></td></tr></table>
<table><col/><col/><tr><td><p>(63)</p></td><td><p>In order to avoid possible circumvention of the payment for young farmers, it should be provided that the payment is granted to a legal person only for as long as at least one of the natural persons having control over the legal person in the first year of application for payment under the scheme remains in such control. For the purposes of determining the maximum period for payment pursuant to Article 50(5) of Regulation (EU) No 1307/2013, it is necessary to set rules for cases where a legal person is controlled by more than one natural person.</p></td></tr></table>
<table><col/><col/><tr><td><p>(64)</p></td><td><p>With a view to avoiding discrimination between legal persons and a group of natural persons applying for the young farmers scheme, equivalent rules should be applied to a group of natural persons as referred to in Article 4(1)(a) of Regulation (EU) No 1307/2013 if the applications for the basic payment and the young farmer scheme are made by that group and not by its individual members.</p></td></tr></table>
<table><col/><col/><tr><td><p>(65)</p></td><td><p>Chapter 1 of Title IV of Regulation (EU) No 1307/2013 provides for the possibility to grant voluntary coupled support to farmers. The conditions for granting the support referred to in that Chapter should be laid down.</p></td></tr></table>
<table><col/><col/><tr><td><p>(66)</p></td><td><p>Pursuant to Article 52(3) of Regulation (EU) No 1307/2013, voluntary coupled support may only be granted to those sectors or to those regions of a Member State where specific types of farming or specific agricultural sectors undergo certain difficulties and are particularly important for economic and/or social and/or environmental reasons. Furthermore, pursuant to Article 52(5) and (6) of Regulation (EU) No 1307/2013, voluntary coupled support may only be granted to the extent necessary to create an incentive to maintain current levels of production in the regions or sectors concerned. It should take the form of an annual payment and should be granted within defined quantitative limits and based on fixed areas and yields or on a fixed number of animals. In order to ensure that measures under voluntary coupled support are well-targeted and managed whilst allowing Member States to design voluntary couple support according to their needs, provision should be made to assign Member States the responsibility of defining the regions and/or types of farming eligible for support and fixing quantitative limits, as well as the appropriate level of support. In order to avoid market distortions, the payments should not, however, be based on fluctuations of market prices or be equivalent to a deficiency payments system whereby agricultural domestic support is paid by Member States to farmers based on the difference between a target price and a domestic market price.</p></td></tr></table>
<table><col/><col/><tr><td><p>(67)</p></td><td><p>Pursuant to the Memorandum of Understanding between the European Economic Community and the United States of America on oil seeds within the framework of the GATT (<a><span>16</span></a>), a separate base area should be fixed for producers benefiting from payments for oilseeds referred to in the Annex to that Memorandum of Understanding. Given that oilseeds are included in the list of sectors and productions eligible for the voluntary coupled support, it is appropriate to introduce in this support scheme a maximum area at Union level for oilseeds referred to in that Memorandum of Understanding for the purpose of ensuring compliance with this international commitment. In case of overshoot of this maximum area, the Member States should adjust the area notified by applying a reduction coefficient calculated and communicated to them by the Commission.</p></td></tr></table>
<table><col/><col/><tr><td><p>(68)</p></td><td><p>In accordance with Article 52(8) of Regulation (EU) No 1307/2013, consistency between voluntary coupled support granted under that Article and other Union support measures or measures financed by State aids is required. For an orderly management of the schemes and in order to avoid any double funding, similar measures should not be financed twice under both voluntary coupled support and other Union support schemes. Due to the diversity of choices available to Member States when implementing the voluntary coupled support, they should be responsible for ensuring such consistency within the framework laid down by Regulation (EU) No 1307/2013 and in conformity with the conditions laid down in this Regulation.</p></td></tr></table>
<table><col/><col/><tr><td><p>(69)</p></td><td><p>Pursuant to Article 55(1) of Regulation (EU) No 1307/2013, the Commission is to approve the decision referred to in Article 53(4) or, where appropriate, in Article 53(6)(a) of that Regulation, where one of certain needs in the region or sector concerned is demonstrated. In order to ensure the correct application of that Article, provision should be made for specifying the criteria applicable to those needs.</p></td></tr></table>
<table><col/><col/><tr><td><p>(70)</p></td><td><p>Chapter 2 of Title IV of Regulation (EU) No 1307/2013 provides for a crop-specific payment for cotton. The Commission should lay down the rules and conditions for the authorisation of agricultural land and varieties for the purposes of that payment. Furthermore, rules on eligibility requirements should be laid down. It is an objective requirement when the land is to be sown in such a way as to achieve a minimum planting density to be fixed by the Member States on the basis of soil and climate conditions and specific regional features. The establishment of specific rules on agronomic practices should be left to the Member States.</p></td></tr></table>
<table><col/><col/><tr><td><p>(71)</p></td><td><p>Member States should approve inter-branch cotton producing organisations on the basis of objective criteria relating to their scale and internal organisation. The scale of an inter-branch organisation should be fixed, taking into account the requirement on the member ginning undertaking to be able to take delivery of sufficient quantities of unginned cotton.</p></td></tr></table>
<table><col/><col/><tr><td><p>(72)</p></td><td><p>In order to avoid complications in managing the aid scheme, a producer may not be a member of more than one inter-branch organisation. For that same reason, where a producer belonging to an inter-branch organisation undertakes to supply the cotton he has produced, he should supply it only to a ginning undertaking belonging to that same organisation.</p></td></tr></table>
<table><col/><col/><tr><td><p>(73)</p></td><td><p>For the purpose of monitoring the correct application of the rules laid down in Regulation (EU) No 1307/2013 and of evaluating policy implementation, it is necessary to lay down notification obligations for Member States, in particular as regards the information to be notified by them on their decisions made in accordance with Titles II to V of that Regulation.</p></td></tr></table>
<table><col/><col/><tr><td><p>(74)</p></td><td><p>More in particular as regards voluntary coupled support, it is necessary to further specify the content of the information to be notified by the Member States for the sake of ensuring the correct application of the rules on that support and in order to make such notifications efficient, so as to enable the Commission to verify that Member States respect the requirements on consistency and non-cumulation of support as well as the maximum percentages of the national ceilings referred to in Article 53 of Regulation (EU) No 1307/2013 and related total amounts when designing the support measures.</p></td></tr></table>
<table><col/><col/><tr><td><p>(75)</p></td><td><p>Member States may decide to grant national aid under certain conditions. In order to verify that such aid is granted within the limits established, it is appropriate to lay down an obligation to submit to the Commission annual reports on certain details relating to the aid granted.</p></td></tr></table>
<table><col/><col/><tr><td><p>(76)</p></td><td><p>The Commission should, where appropriate, be informed of any decisions resulting from a review of decisions notified in accordance with Regulation (EU) No 1307/2013 or this Regulation, in order to enable the Commission to monitor the correct application and impact of such review. It is therefore necessary to lay down rules on notification obligations in that respect.</p></td></tr></table>
<table><col/><col/><tr><td><p>(77)</p></td><td><p>Annex X to Regulation (EU) No 1307/2013 contains a table intended to set out the conversion and weighing factors referred to in Article 46(3) of that Regulation for the different types of ecological focus areas. At the time of adoption of Regulation (EU) No 1307/2013 that table was left blank. Therefore, that Annex needs to be adapted. Conversion factors should be based on experience acquired with measurement and specificities of features. The weighting factors should consist of three different values, acknowledging the differences in terms of importance for biodiversity. Annex X to Regulation (EU) No 1307/2013 should therefore be amended accordingly. For the purpose of the calculation of the ecological focus area, the conversion and weighting factors should also apply to features covered by equivalent practices insofar as these are the same as the features listed in that Annex.</p></td></tr></table>
<table><col/><col/><tr><td><p>(78)</p></td><td><p>For the sake of clarity and legal certainty, Regulations (EC) No 1120/2009 and (EC) No 1121/2009 should be repealed.</p></td></tr></table>
<table><col/><col/><tr><td><p>(79)</p></td><td><p>This Regulation should apply with respect to aid applications relating to calendar years subsequent to calendar year 2014,</p></td></tr></table>
HAS ADOPTED THIS REGULATION:
CHAPTER 1
SCOPE AND GENERAL PROVISIONS
SECTION 1
Scope and general principles
Article 1
Scope
This Regulation lays down provisions supplementing certain non-essential elements of Regulation (EU) No 1307/2013 in relation to:
(a) general provisions on direct payments;
(b) the basic payment scheme;
(c) the single area payment scheme;
(d) the payment for farmers observing agricultural practices beneficial for the climate and the environment;
(e) the payment for young farmers commencing their agricultural activity;
(f) voluntary coupled support;
(g) the crop-specific payment for cotton;
(h) notification obligations of Member States.
Article 2
General principles
1. Member States shall implement this Regulation in accordance with objective criteria and in such a way as to ensure the equal treatment of farmers and to avoid distortions of the market and of competition, while promoting a sustainable management of natural resources and climate action.
2. Member States shall ensure that all conditions for support implemented under this Regulation are verifiable and controllable.
3. Member States shall implement this Regulation:
(a) in respect of support other than coupled support, respecting the requirements set out in paragraphs 1, 5 and 6 of Annex 2 to the Agreement on Agriculture; and
(b) in respect of coupled support, respecting the requirements of Article 6(5) of the Agreement on Agriculture.
Article 3
Reductions due to financial discipline
Reductions due to financial discipline provided for in Article 8 of Regulation (EU) No 1307/2013 shall be applied to the sum of the payments from the different direct support schemes listed in Annex I to Regulation (EU) No 1307/2013 to which each farmer is entitled to after the application of the withdrawals and administrative penalties relating to direct payments pursuant to Chapter IV of Title II of Delegated Regulation (EU) No 640/2014 and before the application of administrative penalties in relation to cross-compliance pursuant to Chapter II of Title IV of that Delegated Regulation.
SECTION 2
Provisions related to definitions in Regulation (EU) No 1307/2013
Article 4
Framework for criteria on maintaining the agricultural area in a state suitable for grazing or cultivation
1. For the purposes of the point (ii) of Article 4(1)(c) of Regulation (EU) No 1307/2013, the criteria that farmers are to meet in order to fulfil the obligation to maintain the agricultural area in a state suitable for grazing or cultivation without preparatory action going beyond usual agricultural methods and machineries shall be established by Member States in either or both of the following ways:
(a) Member States require at least one annual activity to be carried out by a farmer. Where justified for environmental reasons, Member States may decide to recognise also activities that are carried out only every second year;
(b) Member States set out the characteristics to be met by an agricultural area in order to be deemed maintained in a state suitable for grazing or cultivation.
2. When establishing criteria referred to in paragraph 1, Member States may distinguish between different types of agricultural areas.
Article 5
Framework for minimum activities on agricultural areas naturally kept in a state suitable for grazing or cultivation
For the purposes of the point (iii) of Article 4(1)(c) of Regulation (EU) No 1307/2013, the minimum activity to be established by the Member States that is to be carried out on agricultural areas naturally kept in a state suitable for grazing or cultivation shall be at least one annual activity to be carried out by a farmer. Where justified for environmental reasons, Member States may decide to recognise also activities that are carried out only every second year.
Article 6
Predominance of grasses and other herbaceous forage in case of permanent grassland
For the purposes of Article 4(1)(h) of Regulation (EU) No 1307/2013, grasses and other herbaceous forage shall be deemed to remain predominant where they cover more than 50 % of the eligible area at the level of the agricultural parcel within the meaning of Article 67(4)(a) of Regulation (EU) No 1306/2013.
Article 7
Established local practices in case of permanent grassland
For the purposes of Article 4(1)(h) of Regulation (EU) No 1307/2013, established local practices shall be any or a combination of the following:
(a) practices for areas for livestock grazing which are traditional in character and are commonly applied on the areas concerned;
(b) practices which are important for the conservation of habitats listed in Annex I to Council Directive 92/43/EEC ( 17 ) and of biotopes and habitats covered by Directive 2009/147/EC of the European Parliament and of the Council ( 18 ).
Article 8
Reduction coefficient according to Article 32(5) of Regulation (EU) No 1307/2013
When applying Article 32(5) of Regulation (EU) No 1307/2013 for permanent grassland which can be grazed and which forms part of established local practices where grasses and other herbaceous forage are traditionally not predominant in grazing areas, Member States may distinguish between different categories of areas in order to apply different reduction coefficients to such categories.
Article 9
Production of hemp
For the purposes of Article 32(6) of Regulation (EU) No 1307/2013, the eligibility of areas used for the production of hemp shall be subject to the use of seed of the varieties listed in the ‘Common Catalogue of Varieties of Agricultural Plant Species’ on 15 March of the year in respect of which the payment is granted and published in accordance with Article 17 of Council Directive 2002/53/EC ( 19 ). The seed shall be certified in accordance with Council Directive 2002/57/EC ( 20 ).
SECTION 3
Active farmer
Article 10
Cases where agricultural areas are mainly areas naturally kept in a state suitable for grazing or cultivation
1. For the purposes of Article 9(1) of Regulation (EU) No 1307/2013, a natural or legal person, or a group of natural or legal persons, shall be considered as having agricultural areas which are mainly areas naturally kept in a state suitable for grazing or cultivation, where such areas represent more than 50 % of all agricultural area declared in accordance with Article 72(1)(a) of Regulation (EU) No 1306/2013.
2. Article 9(1) of Regulation (EU) No 1307/2013 shall not apply to a natural or legal person, or a group of natural or legal persons who carry out, on areas naturally kept in a state suitable for grazing or cultivation, an agricultural activity within the meaning of the point (i) of Article 4(1)(c) of Regulation (EU) No 1307/2013.
Article 11
Receipts obtained from non-agricultural activities
1. For the purposes of point (a) of the third subparagraph of Article 9(2) of Regulation (EU) No 1307/2013 and, where appropriate, Article 13 of this Regulation, receipts obtained from agricultural activities shall be those receipts that have been received by a farmer from his agricultural activity within the meaning of Article 4(1)(c) of that Regulation on his holding, including the Union support under the European Agricultural Guarantee Fund (EAGF) and the European Agricultural Fund for Rural Development (EAFRD), as well as any national aid granted for agricultural activities, except complementary national direct payments pursuant to Articles 18 and 19 of Regulation (EU) No 1307/2013.
Receipts from processing of agricultural products within the meaning of Article 4(1)(d) of Regulation (EU) No 1307/2013 of the holding shall be deemed as receipts from agricultural activities provided that the products processed remain the ownership of the farmer and that such processing results in another agricultural product within the meaning of Article 4(1)(d) of Regulation (EU) No 1307/2013.
Any other receipts shall be considered to be receipts from non-agricultural activities.
2. For the purposes of paragraph 1, ‘receipts’ means gross receipts before deduction of related costs and taxes.
3. The Union support referred to in paragraph 1 shall be calculated:
(a) in Bulgaria and Romania, for the year 2015, on the basis of the relevant amount set out in point A of Annex V to Regulation (EU) No 1307/2013;
(b) in Croatia, for each year referred to in Article 17 of Regulation (EU) No 1307/2013, on the basis of the amount set out in point A of Annex VI to that Regulation.
Article 12
Amount of direct payments referred to in Article 9(2) and (4) of Regulation (EU) No 1307/2013 and in Article 13(2) of this Regulation
1. The annual amount of direct payments of a farmer referred to in point (a) of the third subparagraph of Article 9(2) of Regulation (EU) No 1307/2013 and, where appropriate, in Article 13(2) of this Regulation, shall be the total amount of direct payments to which the farmer was entitled in accordance with Regulation (EU) No 1307/2013 for the most recent fiscal year for which evidence on receipts from non-agricultural activities is available. That amount shall be calculated without taking into account the application of Articles 63 and 91(1) of Regulation (EU) No 1306/2013.
Where the most recent fiscal year referred to in the first subparagraph is 2014 or earlier, the annual amount of direct payments shall be the total amount of direct payments to which the farmer was entitled in accordance with Regulation (EC) No 73/2009 before the reductions and exclusions provided for in Articles 21 and 23 of that Regulation.
2. Where a farmer did not submit an aid application for direct payments in accordance with Regulation (EU) No 1307/2013 in the most recent fiscal year referred to in the first subparagraph of paragraph 1, Member States shall establish the total amount of direct payments referred to in the first subparagraph of paragraph 1 by multiplying the number of eligible hectares declared by that farmer in the year of submitting the aid application in accordance with Article 72(1)(a) of Regulation (EU) No 1306/2013 by the national average direct support payment per hectare for the year referred to in the first subparagraph of paragraph 1.
The national average direct support payment per hectare referred to in the first subparagraph shall be established by dividing the national ceiling set out in Annex II to Regulation (EU) No 1307/2013 for that year by the total number of eligible hectares declared in that Member State for that year in accordance with Article 72(1)(a) of Regulation (EU) No 1306/2013.
Where the year referred to in the first subparagraph of paragraph 1 is 2014 or earlier, the national average direct support payment per hectare referred to in the first subparagraph of this paragraph shall be established by dividing the national ceiling set out in Annex VIII to Regulation (EC) No 73/2009 of that year by the total number of eligible hectares declared in that Member State for that year in accordance with Article 19(1)(a) of Regulation (EC) No 73/2009.
3. The amount of direct payments of a farmer referred to in Article 9(4) of Regulation (EU) No 1307/2013 shall be the total amount of direct payments to which the farmer was entitled in accordance with Regulation (EU) No 1307/2013 before the application of Articles 63 and 91(1) of Regulation (EU) No 1306/2013 for the previous year.
Where the year referred to in the first subparagraph is 2014, the amount of direct payments shall be the total amount of direct payments for the year 2014 to which the farmer was entitled pursuant to Regulation (EC) No 73/2009 before the reductions and exclusions provided for in Articles 21 and 23 of that Regulation.
4. Where a farmer did not submit an aid application for direct payments in accordance with Regulation (EU) No 1307/2013 for the previous year as referred to in the first subparagraph of paragraph 3, Member States shall establish the total amount of direct payments referred to in the first subparagraph of paragraph 3 by multiplying the number of eligible hectares declared by that farmer in the year of submitting the aid application in accordance with Article 72(1)(a) of Regulation (EU) No 1306/2013 by the national average direct support payment per hectare for the previous year.
The national average direct support payment per hectare referred to in the first subparagraph shall be established by dividing the national ceiling set out in Annex II to Regulation (EU) No 1307/2013 for that year by the total number of eligible hectares declared in that Member State for that year in accordance with Article 72(1)(a) of Regulation (EU) No 1306/2013.
Where the previous year referred to in first subparagraph of paragraph 3 is 2014, Member States shall establish the annual amount of direct payments of that farmer by multiplying the number of eligible hectares declared by that farmer for the year 2015 in accordance with Article 72(1)(a) of Regulation (EU) No 1306/2013 by the national average direct support payment per hectare for the year 2014.
The national average direct support payment per hectare for the year 2014 shall be established by dividing the national ceiling for the year 2014 set out in Annex VIII to Regulation (EC) No 73/2009 by the total number of eligible hectares declared in that Member State for the year 2014 in accordance with Article 19(1)(a) of that Regulation.
5. The total amount of direct payments referred to in paragraphs 1 and 2 shall be calculated:
(a) in Bulgaria and Romania, for the year 2015, on the basis of the relevant amount set out in point A of Annex V to Regulation (EU) No 1307/2013;
(b) in Croatia, for each year referred to in Article 17 of Regulation (EU) No 1307/2013, on the basis of the amount set out in point A of Annex VI to that Regulation.
Article 13
Criteria for proving that agricultural activities are not insignificant and that the principal business or company objects consist of exercising an agricultural activity
1. For the purposes of point (b) of the third subparagraph of Article 9(2) of Regulation (EU) No 1307/2013, agricultural activities are not insignificant if the total receipts obtained from agricultural activities within the meaning of Article 11 of this Regulation in the most recent fiscal year for which such evidence is available represent at least one third of the total receipts obtained in the most recent fiscal year for which such evidence is available.
Member States may decide to set the threshold for the total receipts obtained from agricultural activities at a level lower than one third provided that such lower threshold does not allow natural or legal persons with marginal agricultural activities to be considered as active farmers.
By way of derogation from the first and second subparagraphs, Member States may establish alternative criteria allowing an entity to demonstrate that its agricultural activities are not insignificant pursuant to point (b) of the third subparagraph of Article 9(2) of Regulation (EU) No 1307/2013.
2. For the purposes of point (a) of Article 9(3) of Regulation (EU) No 1307/2013, Member States may decide that agricultural activities form only an insignificant part of the overall economic activities of a natural or legal person, or a group of natural or legal persons, by using the following methods:
(a) the annual amount of direct payments is less than 5 % of the total receipts obtained from non-agricultural activities within the meaning of Article 11 of this Regulation in the most recent fiscal year for which such evidence is available;
(b) the total amount of receipts obtained from agricultural activities within the meaning of Article 11 of this Regulation in the most recent fiscal year for which such evidence is available is lower than a threshold to be decided by Member States and not exceeding one third of the total amount of receipts obtained in the most recent fiscal year for which such evidence is available.
By way of derogation from the first subparagraph, Member States may establish alternative criteria according to which agricultural activities are to be considered insignificant pursuant to point (a) of Article 9(3) of Regulation (EU) No 1307/2013.
3. For the purposes of point (c) of the third subparagraph of Article 9(2) of Regulation (EU) No 1307/2013 and, where appropriate, point (b) of Article 9(3) of that Regulation, an agricultural activity shall be considered to be the principal business or company object of a legal person if recorded as a principal business or company object in the official business register or any equivalent official evidence of a Member State. In the case of a natural person, equivalent evidence shall be required.
Where no such registers exist, Member States shall use equivalent evidence.
By way of derogation from the first and second subparagraphs, Member States may establish alternative criteria according to which an agricultural activity is to be considered to be a principal business or company object of a natural or legal person pursuant point (c) of the third subparagraph of Article 9(2) and, where appropriate, to point (b) of Article 9(3) of that Regulation.
CHAPTER 2
BASIC PAYMENT SCHEME AND SINGLE AREA PAYMENT SCHEME
SECTION 1
Rules for the implementation of the basic payment scheme provided for in Sections 1, 2, 3 and 5 of Chapter 1 of Title III of Regulation (EU) No 1307/2013
Subsection 1
First allocation of payment entitlements
Article 14
Cases of inheritance, changes in legal status or denomination and mergers and scissions
1. Where a farmer received the holding, or part of the holding, by way of actual or anticipated inheritance, he shall be entitled to claim, in his name, the number and the value of payment entitlements to be allocated for the holding received, or part of that holding, under the same conditions as the farmer originally managing the holding.
In cases of revocable anticipated inheritance, payment entitlements shall be allocated only to the heir designated as such at the date referred to in Article 24(1) or 39(1) of Regulation (EU) No 1307/2013.
2. A change of denomination shall have no impact on the number and the value of payment entitlements to be allocated.
A change of the legal status shall have no impact on the number and the value of payment entitlements to be allocated if the farmer who was in control of the original holding in terms of management, benefits and financial risks also manages the new holding.
3. A merger or scission shall have no impact on the total number and the value of payment entitlements to be allocated to the holding(s).
In case of scission, where a Member State applies Article 24(4) or (5) of Regulation (EU) No 1307/2013, the number of payment entitlements to be allocated to each holding resulting from the scission shall be established by multiplying the number of eligible hectares at the disposal of the relevant new holding by the average reduction in the number of entitlements that the original holding would have been subject to pursuant to Article 24(4) or (5) of Regulation (EU) No 1307/2013.
For the purposes of this paragraph, the following definitions shall apply:
(a) ‘merger’ means the merger of two or more separate farmers within the meaning of Article 4(1)(a) of Regulation (EU) No 1307/2013 into one new farmer within the meaning of that Article controlled in terms of management, benefits and financial risks by the farmers originally managing the holdings or one of them;
(b) ‘scission’ means the scission of one farmer within the meaning of Article 4(1)(a) of Regulation (EU) No 1307/2013 into:
(i) at least two new separate farmers within the meaning of that Article at least one of which remains controlled, in terms of management, benefits and financial risks, by at least one of the natural or legal persons originally managing the holding; or
(ii) the original farmer and at least one new separate farmer within the meaning of that Article.
Article 15
Establishment of eligible hectares for the purposes of Articles 24(2) and 39(2) of Regulation (EU) No 1307/2013
1. For the purpose of establishing the number of payment entitlements to be allocated pursuant to Articles 24(2) and 39(2) of Regulation (EU) No 1307/2013 in cases where no force majeure and exceptional circumstances are recognised, only those eligible hectares shall be taken into account which are determined pursuant to point (23)(a) of the second subparagraph of Article 2(1) of Delegated Regulation (EU) No 640/2014.
2. Where an eligible hectare referred to in paragraph 1 is subject to an application for allocation of payment entitlements by two or more applicants, the decision whom to allocate the payment entitlement shall be based on the criterion who enjoys the decision-making power in relation to the agricultural activities exercised on that hectare and who bears benefits and financial risks related to those activities.
Article 16
Limitation under Article 24(6) of Regulation (EU) No 1307/2013
1. Any reduction pursuant to Article 24(6) of Regulation (EU) No 1307/2013 shall not exceed 85 % of the number of payment entitlements corresponding to the eligible hectares of permanent grassland located in areas with difficult climate conditions.
2. For the purpose of applying the reduction coefficient provided for in paragraph 1, Member States may, on the basis of the natural constraints referred to Article 24(6) of Regulation (EU) No 1307/2013, distinguish between categories of areas with difficult climate conditions in order to apply different reduction coefficients to such categories.
Article 17
Determination of the value of payment entitlements under Articles 26 and 40 of Regulation (EU) No 1307/2013
1. For the purpose of determining the relevant direct payments or value of entitlements relating to the year 2014 as referred to in Article 26 of Regulation (EU) No 1307/2013, account shall be taken only of the payments to or the value of the entitlements of those farmers who are entitled to be granted direct payments in accordance with Articles 9 and 24(9) of Regulation (EU) No 1307/2013 in the year 2015.
For the purpose of determining the relevant direct payments relating to the year preceding the implementation of the basic payment scheme as referred to in Article 40(3) of Regulation (EU) No 1307/2013, account shall be taken only of the payments to those farmers who are entitled to be granted direct payments in accordance with Article 9 of Regulation (EU) No 1307/2013 in the first year of implementation of the basic payment scheme.
2. For the purposes of Article 26(6) of Regulation (EU) No 1307/2013, the following rules shall apply:
(a) the reference to the specific support measures provided for in points (a), (b) and (c) of Article 68(1) of Regulation (EC) No 73/2009 shall be without prejudice to the possibility for Member States to consider only one or several measures implemented under those specific support measures;
(b) support granted to a farmer for calendar year 2014 under one or more of the support schemes referred to in Article 26(6) of Regulation (EU) No 1307/2013 shall be calculated without taking into account any reductions or exclusions provided for in Chapter 4 of Title II of Regulation (EC) No 73/2009;
(c) Member States may, in accordance with objective and non-discriminatory criteria, decide about the level of support to be taken into account for one or more of the schemes listed in Article 26(6) of Regulation (EU) No 1307/2013 applied by the Member State concerned.
When applying this paragraph, Member States shall not jeopardise the decoupled character of the support granted in accordance with Article 68(1)(c) and Articles 126, 127 and 129 of Regulation (EC) No 73/2009.
3. For the purposes of the third subparagraph of Article 26(6) of Regulation (EU) No 1307/2013, the support granted for calendar year 2014 under Articles 72a and 125a of Regulation (EC) No 73/2009 shall be calculated without taking into account any reductions or exclusions provided for in Chapter 4 of Title II of Regulation (EC) No 73/2009.
4. The reference in Article 26(3) of Regulation (EU) No 1307/2013 to payment entitlements held by a farmer shall also include those payment entitlements that are leased out by the farmer to another farmer on the date of submission of his application for 2014.
Article 18
Definitive establishment of the value and number of payment entitlements
Where the information to the farmers referred to in Article 25(10) or in the second subparagraph of Article 40(4) of Regulation (EU) No 1307/2013 is based on provisional data, the definitive value and number of payment entitlements shall be established and communicated to them after all necessary checks pursuant to Article 74 of Regulation (EU) No 1306/2013 have been carried out, and in any case by 1 April of the year following the first year of application of the basic payment scheme by the Member State concerned.
Article 19
Establishment of the value of payment entitlements in hardship cases
1. If one or several of the direct payments referred to in Article 26 or 40(3) of Regulation (EU) No 1307/2013 relating to 2014 or to the year preceding the implementation of the basic payment scheme, respectively, are lower than the corresponding amounts in the year preceding the years affected by force majeure or exceptional circumstances, the initial unit value shall be established on the basis of the amounts received by that farmer in the year preceding the years affected by force majeure or exceptional circumstances.
2. Member States may decide to limit the application of paragraph 1 to cases where the direct payments relating to 2014 or to the year preceding the implementation of the basic payment scheme, respectively, are lower than a certain percentage of the corresponding amounts in the year preceding the years affected by force majeure or exceptional circumstances. This percentage shall not be lower than 85 %.
Article 20
Private contract clause in the case of sale
1. Member States may decide that, in case of sale of a holding or part of it, farmers may, by contract signed before the latest date for application for the allocation of payment entitlements fixed by the Commission on the basis of Article 78(b) of Regulation (EU) No 1306/2013, transfer together with the holding or part of it the corresponding payment entitlements to be allocated. In that case, the payment entitlements shall be allocated to the seller and directly transferred to the buyer who will benefit, where applicable, from taking the payments which the seller received for 2014 or the value of the entitlements that he owned in 2014 as referred to in Article 26 of Regulation (EU) No 1307/2013 as a reference for setting the initial unit value of those payment entitlements.
Such a transfer shall require that the seller complies with Article 24(1) of Regulation (EU) No 1307/2013 and that the buyer complies with Article 9 of that Regulation.
Such a sale shall not be considered as a transfer without land within the meaning of Article 34(4) of Regulation (EU) No 1307/2013.
2. Paragraph 1 shall apply mutatis mutandis to Member States applying Section 5 of Chapter 1 of Title III of Regulation (EU) No 1307/2013.
Article 21
Private contract clause in the case of lease
1. Member States may decide that, in case of lease of a holding or part of it, farmers may, by contract signed before the date referred to in the first subparagraph of Article 20(1), lease-out together with the holding or part of it the corresponding payment entitlements to be allocated. In that case, the payment entitlements shall be allocated to the lessor and directly leased-out to the lessee who will benefit, where applicable, from taking the payments which the lessor received for 2014 or the value of the entitlements that he owned in 2014 as referred to in Article 26 of Regulation (EU) No 1307/2013 as a reference for setting the initial unit value of those payment entitlements.
Such a transfer shall require that the lessor complies with Article 24(1) of Regulation (EU) No 1307/2013, that the lessee complies with Article 9 of that Regulation and that the lease contract expires after the last date for lodging an application under the basic payment scheme.
Such a lease shall not be considered as a transfer without land within the meaning of Article 34(4) of Regulation (EU) No 1307/2013.
2. Paragraph 1 shall apply mutatis mutandis to Member States applying Section 5 of Chapter 1 of Title III of Regulation (EU) No 1307/2013.
Article 22
Beneficiaries pursuant to Article 24(1) of Regulation (EU) No 1307/2013
For the purposes of the first indent of point (a)(i) of the third subparagraph of Article 24(1) of Regulation (EU) No 1307/2013, ‘ware potatoes’ and ‘seed potatoes’ shall mean potatoes of CN code 0701 other than those intended for the manufacture of potato starch.
Subsection 2
Activation and transfer of entitlements
Article 23
Calculation of the value of payment entitlements
1. Payment entitlements shall in a first step be calculated up to three decimals and in a second step be rounded up or down to the nearest second decimal. If the calculation gives a result where the third decimal is a 5, the sum shall be rounded up to the second decimal.
2. If a farmer transfers a fraction of an entitlement, the value of that fraction shall be calculated proportionally for each remaining relevant year as referred to in Article 25 or 40 of Regulation (EU) No 1307/2013.
3. Member States may modify payment entitlements by merging fractions of entitlements owned by a farmer. The value of the merged entitlements shall be determined for each remaining relevant year as referred to in Article 25 or 40 of Regulation (EU) No 1307/2013 by adding the value of the fractions.
Article 24
Requirements for activation of payment entitlements
1. Payment entitlements may only be declared for payment once per year by the farmer who holds them (owned or leased-in) at the latest date for lodging the single application.
However, where a farmer uses the possibility to amend the single application in accordance with the rules established by the Commission on the basis of Article 78(b) of Regulation (EU) No 1306/2013, he may also declare for payment those payment entitlements which he holds (owned or leased-in) at the date of his notification of the amendments to the competent authority, provided that the payment entitlements concerned are not declared for payment by another farmer in respect of the same year.
Where the farmer acquires payment entitlements by way of a transfer from another farmer and where that other farmer had already declared those payment entitlements for payment, the additional declaration of those payment entitlements by the transferee shall only be admissible if the transferor has already informed the competent authority of the transfer in accordance with the rules established by the Commission on the basis of Article 34(5) of Regulation (EU) No 1307/2013 and withdraws those payment entitlements from his own single application, within the time-limits for amending the single application fixed by the Commission on the basis of Article 78 (b) of Regulation (EU) No 1306/2013.
2. Where a farmer, after having declared parcels corresponding to all his available payment entitlements under Article 33(1) of Regulation (EU) No 1307/2013 which are expressed in whole numbers, still disposes of a parcel which amounts to a fraction of a hectare, he may declare a further whole-number payment entitlement which shall give right to a payment calculated pro rata to the size of the parcel. The payment entitlement shall be deemed as fully activated for the purposes of Article 31(1)(b) of that Regulation.
Article 25
Transfer of entitlements
1. Payment entitlements may be transferred at any time of the year.
2. Where a Member State uses the option provided for in Article 34(3) of Regulation (EU) No 1307/2013, it shall define the regions referred to in that provision in the first year of application of Article 34(3) of Regulation (EU) No 1307/2013 and at the latest one month before the date fixed by the Member State pursuant to Article 33(1) of that Regulation.
Subsection 3
National or regional reserves
Article 26
Reversion to the national or regional reserve due to retention on transfer of payment entitlements
Where a Member State uses the option provided for in Article 34(4) of Regulation (EU) No 1307/2013, it may decide, in accordance with objective criteria and in such a way as to ensure equal treatment between farmers and to avoid market and competition distortion, to revert to the national or regional reserve up to 30 % of the annual unit values of each payment entitlement transferred without the corresponding eligible hectares within the meaning of Article 32(2) of Regulation (EU) No 1307/2013, or the equivalent amount expressed in number of payment entitlements.
By way of derogation from the first subparagraph, Member States may provide for a reversion up to 50 % of the annual unit value of each payment entitlement or the equivalent amount expressed in number of payment entitlements as referred to in the first subparagraph during the first three years of application of the basic payment scheme.
Article 27
Application of the windfall profit clause
For the purposes of Articles 28 and 40(5) of Regulation (EU) No 1307/2013, the increase of the value of payment entitlements referred to in those provisions shall be determined by comparing the value of the farmer’s payment entitlements resulting from the application of Article 25(4) and Article 26 or Article 40(3) of Regulation (EU) No 1307/2013, respectively, after the sale or lease referred to in Article 28 or 40(5) of that Regulation, respectively, with the value of the farmer’s payment entitlements which would result without the sale or lease.
Article 28
Establishment of payment entitlements from the national or regional reserve under Article 30(6) of Regulation (EU) No 1307/2013
1. For the purposes of Article 30(6) of Regulation (EU) No 1307/2013, where a young farmer or a farmer who commences his agricultural activity applies for payment entitlements from the national or regional reserve while he does not hold any payment entitlement (owned or leased-in), he shall receive a number of payment entitlements equal to the number of eligible hectares he holds (owned or leased-in) at the latest date for lodging his application for the allocation or increase of the value of payment entitlements fixed by the Commission on the basis of Article 78(b) of Regulation (EU) No 1306/2013.
2. Where a young farmer or a farmer who commences his agricultural activity applies for payment entitlements from the national or regional reserve while he already holds payment entitlements (owned or leased-in), he shall receive a number of payment entitlements equal to the number of eligible hectares he holds (owned or leased-in) at the latest date for lodging his application referred to in paragraph 1 for which he does not hold any payment entitlement (owned or leased-in).
Where the value of the entitlements that the farmer already holds (owned or leased-in) is below the national or regional average referred to in the second subparagraph of Article 30(8) of Regulation (EU) No 1307/2013, the annual unit values of those entitlements may be increased up to the national or regional average as provided for in Article 30(10) of that Regulation.
However, in Member States applying the increase referred to in Article 30(10) of Regulation (EU) No 1307/2013 for the purposes of Article 30(7) of that Regulation, the increase referred to in the second subparagraph of this paragraph shall be mandatory in that Member State. Such increase should be at a level corresponding to the highest level of increase applied for the purposes of Article 30(7) of Regulation (EU) No 1307/2013.
3. In Member States applying Article 24(6) or (7) of Regulation (EU) No 1307/2013, the limitations of the allocation of payment entitlements laid down in those provisions may be applied mutatis mutandis for the allocation of payment entitlements pursuant to Article 30(6) of Regulation (EU) No 1307/2013.
However, Member States may decide that where the application of one or several limitations referred to in the first subparagraph limits the total number of payment entitlements which the farmer already holds and which are to be newly allocated from the reserve to less than a fixed percentage of his eligible hectares in the year in which he applies for allocation of payment entitlements from the reserve, that farmer shall be allocated an additional number of payment entitlements corresponding to a share in the total number of his eligible hectares declared in his application for that year in accordance with Article 72(1) of Regulation (EU) No 1306/2013.
The fixed percentage referred to in the second subparagraph of this Article shall be calculated in accordance with the method referred in the second subparagraph of Article 31(2) of this Regulation.
The share of the total number of eligible hectares of the farmer referred to in the second subparagraph of this paragraph shall be calculated as half of the difference in percentage points between the fixed percentage referred to in the third subparagraph of this paragraph and the share of ‘payment entitlements held by the farmer’ in his eligible hectares declared in accordance with Article 72(1) of Regulation (EU) No 1306/2013 in his application for the year referred to in the second subparagraph of this paragraph. For the purposes of this subparagraph, ‘payment entitlements held by the farmer’ means payments entitlement already held by the farmer and which are to be newly allocated from the reserve.
When calculating the number of eligible hectares referred to in the second, third and fourth subparagraphs of this paragraph, Member States may decide not to include any areas taken up by permanent crops, by permanent grassland located in areas with difficult climatic conditions as referred to in Article 24(6) of Regulation (EU) No 1307/2013 or by areas recognised as permanent grassland in accordance with the second subparagraph of Article 4(2) of Regulation (EU) No 1307/2013.
Member States using the possibility provided in Article 23 of Regulation (EU) No 1307/2013 to apply the basic payment scheme at regional level may base the calculation method referred to in the second subparagraph of this paragraph upon the total numbers allocated/declared in 2015 in the relevant region.
For the purpose of determining the threshold in the second subparagraph, the land acquired or leased-in by the farmer after 19 October 2011 shall not be taken into account.
4. For the purposes of this Article, only those farmers who commence their agricultural activity shall be considered who commenced their agricultural activity in calendar year 2013 or any later year and who submit an application for the basic payment not later than two years after the calendar year in which they commenced their agricultural activity.
Article 29
Establishment of payment entitlements from the national or regional reserve under Article 30(7) of Regulation (EU) No 1307/2013
1. For the purposes of Article 30(7) of Regulation (EU) No 1307/2013, where new payment entitlements are allocated as provided for in Article 30(10) of that Regulation, they shall be allocated in accordance with the conditions laid down in this Article and in accordance with the objective criteria laid down by the Member State concerned.
2. Where a farmer who does not hold any payment entitlement (owned or leased-in) is entitled in accordance with Article 30(7) of Regulation (EU) No 1307/2013 to receive payment entitlements from the national or regional reserve and applies for it, he shall receive a number of payment entitlements up to the number of eligible hectares he holds (owned or leased-in) at the latest date for lodging his application as referred to in Article 28(1).
3. Where a farmer who holds payment entitlements (owned or leased-in) is entitled in accordance with Article 30(7) of Regulation (EU) No 1307/2013 to receive payment entitlements from the national or regional reserve and applies for it, he shall receive a number of payment entitlements up to the number of eligible hectares he holds (owned or leased-in) at the latest date for lodging his application as referred to in Article 28(1) for which he does not hold any payment entitlement (owned or leased-in).
Where the value of the entitlements that the farmer already holds (owned or leased-in) is below the national or regional average referred to in the second subparagraph of Article 30(8) of Regulation (EU) No 1307/2013, the annual unit values of those entitlements may be increased up to the national or regional average as provided for in Article 30(10) of that Regulation.
4. For the purposes of paragraph 1, Member States shall not lay down criteria related to production or other sector-specific data for a period after the date fixed by the Member State in accordance with Article 11(2) of Regulation (EC) No 1122/2009 for claim year 2013.
Article 30
Further rules on the establishment of payment entitlements from the national or regional reserve
1. When increasing the annual unit values of payment entitlements as referred to in Article 30(10) of Regulation (EU) No 1307/2013, Member States shall increase the unit value of entitlements the farmer already holds (owned or leased-in) at the date of application for the allocation of entitlements from the national or regional reserve in accordance with objective criteria and in such a way as to ensure equal treatment between farmers and to avoid market and competition distortion.
2. For the purposes of paragraph 1, Member States shall not lay down criteria related to production or other sector-specific data for a period after the date fixed by the Member State in accordance with Article 11(2) of Regulation (EC) No 1122/2009 for claim year 2013.
Article 31
Hardship cases
1. Where a farmer, as a result of force majeure or exceptional circumstances, was prevented from making an application for allocation of payment entitlements in accordance with Article 24(1) or 39(1) of Regulation (EU) No 1307/2013 and applies for payment entitlements from the national or regional reserve, he shall be allocated payment entitlements pursuant to Article 30(7)(c) of that Regulation. Member States shall establish the annual unit values of the payment entitlements to be allocated in accordance with Article 25 or 40 respectively of Regulation (EU) No 1307/2013 and the decisions taken by the Member State as regards the options in those Articles.
2. Member States may decide that where the application of one or several limitations of the allocation of payment entitlements laid down in Article 24(3) to (7) of Regulation (EU) No 1307/2013 limits the number of payment entitlements allocated to a farmer to less than a fixed percentage of his eligible hectares, and where the farmer applies for payment entitlements from the national or regional reserve, that farmer shall be considered to be in a situation of ‘specific disadvantage’ under Article 30(7)(b) of that Regulation. In that case, that farmer shall be allocated a number of payment entitlements in accordance with Article 30(7)(b) of Regulation (EU) No 1307/2013 corresponding to a share in the total number of his eligible hectares declared in his application for 2015 in accordance with Article 72(1) of Regulation (EU) No 1306/2013.
The fixed percentage referred to in the first subparagraph shall be calculated as the total number of payment entitlements allocated in the Member State in 2015 after application of the limitations provided for in Article 24(3) to (7) of Regulation (EU) No 1307/2013 divided by the total number of eligible hectares declared in the Member State in 2015 in accordance with Article 72(1) of Regulation (EU) No 1306/2013.
The share of the total number of eligible hectares of the farmer referred to in the first subparagraph shall be calculated as half of the difference in percentage points between the fixed percentage referred to in the first and the second subparagraphs and the share of payment entitlements of the farmer in his eligible hectares declared in 2015 in accordance with Article 72(1)(a) of Regulation (EU) No 1306/2013.
When calculating the number of eligible hectares referred to in the first, second and third subparagraphs of this paragraph, Member States may decide not to include any areas taken up by permanent crops, by permanent grassland located in areas with difficult climatic conditions as referred to in Article 24(6) of Regulation (EU) No 1307/2013 or by areas recognised as permanent grassland in accordance with the second subparagraph of Article 4(2) of that Regulation.
Member States using the possibility provided in Article 23 of Regulation (EU) No 1307/2013 to apply the basic payment scheme at regional level may base the calculation method referred to in the second subparagraph of this paragraph upon the total numbers allocated/declared in 2015 in the relevant region.
For the purpose of determining the threshold in the first subparagraph, the land acquired or leased-in by the farmer after 19 October 2011 shall not be taken into account.
Subsection 4
Member States applying Article 21(3) of Regulation (EU) No 1307/2013
Article 32
Implementation in Member States applying Article 21(3) of Regulation (EU) No 1307/2013
Save as otherwise provided in this Subsection, the provisions of this Section shall apply to Member States applying Article 21(3) of Regulation (EU) No 1307/2013.
Article 33
Application of Article 21(4) of Regulation (EU) No 1307/2013
For the purpose of establishing which payment entitlements shall expire in accordance with Article 21(4) of Regulation (EU) No 1307/2013, priority shall be given to those payment entitlements which have the lowest value.
Where payment entitlements have the same value, the number of owned payment entitlements and the number of leased-in payment entitlements shall be reduced in the same proportion.
Member States may decide to apply the first and the second paragraphs at regional level.
Article 34
Determination of the value of payment entitlements under Article 26 of Regulation (EU) No 1307/2013 for Member States applying Article 21(3) of that Regulation
For the purpose of determining the initial unit value of payment entitlements, Member States applying Article 21(3) of Regulation (EU) No 1307/2013 may adjust the amount of payments for 2014 as referred to in Article 26(5) of that Regulation by deducting, before reductions and exclusions, the amount arising from payment entitlements which have expired pursuant to Article 21(4) of Regulation (EU) No 1307/2013.
SECTION 2
Single area payment scheme
Article 35
Eligible hectares in Member States applying the single area payment scheme
For the purposes of the single area payment scheme provided for in Section 4 of Chapter 1 of Title III of Regulation (EU) No 1307/2013, including any reference in Regulation (EU) No 1307/2013 to eligible hectares declared for the purposes of that scheme, only those eligible hectares shall be taken into account which are determined within the meaning of point (23)(a) of the second subparagraph of Article 2(1) of Delegated Regulation (EU) No 640/2014.
Article 36
Application of Article 36(3) of Regulation (EU) No 1307/2013
1. For the purpose of differentiating the single area payment as provided for in Article 36(3) of Regulation (EU) No 1307/2013, the following rules shall apply:
(a) the reference to the specific support measures provided for in points (a), (b) and (c) of Article 68(1) of Regulation (EC) No 73/2009 shall be without prejudice to the possibility for Member States to consider only one or several measures implemented under those specific support measures;
(b) Member States may, in accordance with objective and non-discriminatory criteria, decide about the level of support to be taken into account for one or more of the schemes applied by the Member State concerned in accordance with the second subparagraph of Article 36(3) of that Regulation and, where appropriate, with the third subparagraph of that provision. However, when taking into account the support granted under relevant scheme in 2014, the amount used to differentiate the single area payment may not be higher than the corresponding amount granted to an individual farmer under such a scheme in 2014;
(c) when taking into account the support granted in accordance with Article 68(1)(c) and Articles 126, 127 and 129 of Regulation (EC) No 73/2009, such differentiation shall not jeopardise the decoupled character of those schemes.
Such differentiation shall be available to farmers who received in 2014 the support referred to in the second, third or fourth subparagraph of Article 36(3) of Regulation (EU) No 1307/2013. The amount per hectare shall be determined each year by dividing the amount to differentiate the single area payment available for an individual farmer by the number of eligible hectares declared by the farmer in accordance with point (a) of the first subparagraph of Article 72(1) of Regulation (EU) No 1306/2013.
2. If the amount of the support under one or several of the support schemes referred to in second subparagraph of Article 36(3) of Regulation (EU) No 1307/2013 relating to 2014 is lower than the corresponding amount or amounts in the year preceding the years affected by force majeure or exceptional circumstances, the Member State shall take into account the support granted under the support schemes concerned in the year preceding the years affected by force majeure or exceptional circumstances.
Member States may decide to limit the application of the first subparagraph to cases where the direct payments relating to 2014 are lower than a certain percentage of the corresponding amounts in the year preceding the years affected by force majeure or exceptional circumstances. This percentage shall not be lower than 85 %.
3. Member States may decide that in the event of actual or anticipated inheritance, the differentiation of the single area payment shall be available to the farmer who inherited the holding, on condition that this farmer is eligible under the single area payment scheme.
Article 37
Production of hemp under the single area payment scheme
Article 9 shall apply mutatis mutandis as regards the single area payment scheme.
CHAPTER 3
GREENING
SECTION 1
Equivalence
Article 38
Requirements applicable to the national or regional certification schemes
1. Member States deciding to implement equivalent practices referred to in Article 43(3)(b) of Regulation (EU) No 1307/2013 shall designate one or more public or private certification authorities certifying that the farmer observes practices on its holding which comply with Article 43(3) of that Regulation.
2. Public or private certification authorities shall fulfil the following conditions:
(a) they shall have the expertise, equipment and infrastructure required to carry out the certification tasks;
(b) they shall have a sufficient number of qualified and experienced staff;
(c) they shall be impartial and free from any conflict of interest as regards the exercise of the certification tasks.
Private certification authorities shall be accredited in accordance with EN ISO/IEC 17021 (Requirements for bodies providing audit and certification of management systems) or EN ISO/IEC 17065 (Conformity assessment – Requirements for bodies certifying products, processes and services) in the sector of agricultural production. Accreditation shall only be performed by a national accreditation body in a Member State in accordance with Regulation (EC) No 765/2008 of the European Parliament and of the Council ( 21 ).
3. The designation of a public or private certification authority shall be withdrawn where it fails to satisfy the conditions for its designation set out in paragraph 2.
Article 39
Calculation of the amount referred to in Article 28(6) of Regulation (EU) No 1305/2013
1. For farmers deciding to observe the practices referred to in points 3 and 4 of Section I and point 7 of Section III of Annex IX to Regulation (EU) No 1307/2013 and any further equivalent practices added to that Annex for which a specific calculation is needed in order to avoid double funding, as equivalent practices pursuant to Article 43(3)(a) of that Regulation, Member States shall deduct from the amount of support per hectare calculated pursuant to Article 28(6) of Regulation (EU) No 1305/2013 an amount corresponding to one third of the average greening payment per hectare in the Member State or region concerned for each greening practice that the practice is equivalent with.
The average greening payment per hectare in the Member State or region concerned shall be calculated on the basis of the percentage referred to in Article 47(1) of Regulation (EU) No 1307/2013 of the average of the national ceilings for the years 2015 to 2019 set out in Annex II to that Regulation and the number of eligible hectares declared in accordance with Article 33 or Article 36 of Regulation (EU) No 1307/2013 in 2015. Member States deciding to implement the practices referred to in the first subparagraph of this paragraph already in 2015, may estimate the number of eligible hectares declared in 2015 on the basis of the declarations made in 2014 pursuant to Article 34(2) of Regulation (EC) No 73/2009.
2. By way of derogation from paragraph 1, Member States deciding to apply the third subparagraph of Article 43(9) of Regulation (EU) No 1307/2013 may decide to apply the deduction referred to in paragraph 1 of this Article on an individual basis by an amount corresponding to one third of the average greening payment per hectare of the farmer concerned.
The average greening payment for the farmer shall be calculated on the basis of the average of the individual payment calculated in accordance with the third and fourth subparagraphs of Article 43(9) of Regulation (EU) No 1307/2013 for the years 2015 to 2019 and the number of eligible hectares declared by the farmer in accordance with Article 33 of that Regulation in 2015.
SECTION 2
Crop diversification
Article 40
Calculation of shares of different crops for crop diversification
1. For the purpose of the calculation of the shares of different crops as provided for in Article 44(1) of Regulation (EU) No 1307/2013, the period to be taken into account shall be the most relevant part of the cultivation period taking account of the traditional cultivation practices in the national context.
Member States shall inform farmers of that period in due time. Within the total arable land of the holding, each hectare shall be taken into account only once in one claim year for the purpose of the calculation of the shares of different crops.
2. For the calculation of the shares of different crops, the area covered by a crop may include landscape features that form part of the eligible area in accordance with Article 9 of Delegated Regulation (EU) No 640/2014.
3. On an area where mixed cropping is applied by growing simultaneously two or more crops in distinct rows, each crop shall be counted as distinct crop when it covers at least 25 % of that area. The area covered by the distinct crops shall be calculated by dividing the area where the mixed cropping is applied by the number of crops covering at least 25 % of that area, irrespective of the actual share of a crop on that area.
On areas where mixed cropping is applied by growing a main crop which is under-sown with a second crop, the area shall be considered as covered with only the main crop.
Areas on which a seed mixture is sown shall, irrespective of the specific crops included in the mix, be considered as covered with one single crop. Without prejudice to Article 44(4)(d) of Regulation (EU) No 1307/2013, such single crop shall be referred to as ‘mixed crop’. Where it can be established that the species included in different seed mixtures differ from each other, Member States may recognise those different seed mixtures as distinct single crops, provided that those different seed mixtures are not used for the crop referred to in Article 44(4)(d) of Regulation (EU) No 1307/2013.
SECTION 3
Permanent grassland
Article 41
Framework for the designation of further environmentally sensitive permanent grassland areas outside of Natura 2000 areas
Environmentally sensitive permanent grassland areas outside the areas covered by Directive 92/43/EEC or Directive 2009/147/EC as referred to in the second subparagraph of Article 45(1) of Regulation (EU) No 1307/2013 shall be designated on the basis of one or more of the following criteria:
(a) covering organic soils with a high percentage of organic carbon, such as peat land or wetlands;
(b) hosting habitats listed in Annex I to Directive 92/43/EEC or protected under national legislation;
(c) hosting plant species listed in Annex II to Directive 92/43/EEC or protected under national legislation;
(d) being of significant importance for wild bird species listed in Annex I to Directive 2009/147/EC;
(e) being of significant importance for wild animal species protected under Directive 92/43/EEC or protected under national legislation;
(f) covering permanent grassland of high nature value as defined by objective criteria to be established by the Member State;
(g) covering soils with a high risk of erosion;
(h) being located in a sensitive area designated within the river basin management plans pursuant to Directive 2000/60/EC.
Member States may decide every year to add new designated areas and shall inform the farmers concerned of that decision in due time.
Article 42
Reconversion in case of non-respect of the obligation on environmentally sensitive permanent grassland areas
Without prejudice to Directive 2004/35/CE of the European Parliament and of the Council ( 22 ), where a farmer has converted or ploughed permanent grassland that is subject to the obligation referred to in the third subparagraph of Article 45(1) of Regulation (EU) No 1307/2013, the Member State concerned shall provide for the obligation to reconvert the area into permanent grassland and may, on a case by case basis, issue precise instructions to be respected by the farmer concerned on how to reverse the environmental damage caused in order to restore the environmentally sensitive status.
The farmer shall be informed without delay after the non-compliance has been established of the obligation to reconvert and of the date before which that obligation is to be complied with. That date shall not be later than the date for the submission of the single application for the following year, or in the case of Sweden and Finland, 30 June of the following year.
By way of derogation from Article 4(1)(h) of Regulation (EU) No 1307/2013, the land reconverted shall be considered as permanent grassland as of the first day of reconversion and be subject to the obligation referred to in the third subparagraph of Article 45(1) of Regulation (EU) No 1307/2013.
Article 43
Calculation of the ratio of permanent grassland
1. Areas declared by farmers participating in the small farmer scheme referred to in Title V of Regulation (EU) No 1307/2013, as well as the units of a holding used for organic production in accordance with Article 11 of Council Regulation (EC) No 834/2007 ( 23 ) shall not be included in the ratio of the areas of permanent grassland to the total agricultural area and the reference ratio referred to in Article 45(2) of Regulation (EU) No 1307/2013.
2. Areas declared by farmers in 2012 as land under permanent pasture that have been converted into land for other uses may be deducted from the calculation of the areas of permanent grassland in accordance with point (a) of the second subparagraph of Article 45(2) of Regulation (EU) No 1307/2013, up to the number of hectares of permanent pasture or permanent grassland that farmers have established after 2012 and declared in 2015 on national, regional, sub-regional level or holding level, provided that the existing rules on maintenance of permanent pasture as laid down in Article 6(2) of Regulation (EC) No 73/2009 and in Article 93(3) of Regulation (EU) No 1306/2013 were met.
When calculating the number of hectares of permanent pasture or permanent grassland established after 2012 as referred to in the first subparagraph, only hectares of permanent pasture or permanent grassland on an agricultural area declared in 2012, 2013 or 2014 in accordance with Article 34(2) of Regulation (EC) No 73/2009 shall be taken into account.
3. Member States shall adapt the reference ratio if they assess that there is a significant impact on the evolution of the ratio due to, in particular, a change in the area under organic production or a change in the population of participants in the small farmer scheme. In such situations, Member States shall inform the Commission without delay of the adaptation made and the justification for that adaptation.
Article 44
Maintenance of the ratio of permanent grassland
1. Member States may provide for the individual obligation of farmers not to convert areas of permanent grassland without prior individual authorisation. The farmers shall be informed of that obligation without delay and in any case before 15 November of the year in which the Member State concerned so provides. That obligation shall only apply to farmers who are subject to the obligations under Chapter 3 of Title III of Regulation (EU) No 1307/2013 with respect to areas of permanent grassland that are not subject to Article 45(1) of Regulation (EU) No 1307/2013.
The issuing of an authorisation may depend on the application of objective and non-discriminatory criteria, including environmental criteria. If the authorisation referred to in the first subparagraph is subject to the condition that another area of a corresponding number of hectares is to be established as permanent grassland, that area shall, by way of derogation from Article 4(1)(h) of Regulation (EU) No 1307/2013, be considered as permanent grassland as of the first day of conversion. Such areas shall be used to grow grasses or other herbaceous forage at least for the five consecutive years following the date of conversion, or, if the Member State so decides, where farmers convert areas which were already used to grow grasses and other herbaceous forage into areas of permanent grassland, the remaining number of years needed in order to reach the five consecutive years.
2. Where it is established that the ratio referred to in the first subparagraph of Article 45(2) of Regulation (EU) No 1307/2013 has decreased beyond 5 % compared to the reference ratio referred to in that Article, the Member State concerned shall provide for the obligation to reconvert areas into areas of permanent grassland and for rules to avoid new conversion of areas of permanent grassland.
Member States shall determine the range of farmers subject to the reconversion obligation from farmers who:
(a) are subject to the obligations under Chapter 3 of Title III of Regulation (EU) No 1307/2013 with respect to areas of permanent grassland that are not subject to Article 45(1) of that Regulation; and
(b) based on the applications submitted in accordance with Article 72 of Regulation (EU) No 1306/2013 or Article 19 of Regulation (EC) No 73/2009 during the preceding two calendar years, or in 2015 during the preceding three calendar years, have agricultural areas at their disposal which were converted from areas of permanent grassland or land under permanent pasture into areas for other uses.
Where the periods referred to in point (b) of the second subparagraph include calendar years before 2015, the reconversion obligation shall also apply to areas that were converted into areas for other uses from land under permanent pasture that were subject to the obligation referred to in Article 6(2) of Regulation (EC) No 73/2009 or Article 93(3) of Regulation (EU) No 1306/2013.
When determining which farmers shall reconvert areas into areas of permanent grassland, Member States shall impose the obligation first on farmers who have at their disposal an area that was converted from an area of permanent grassland or land under permanent pasture into an area for other uses in breach of the authorisation requirement, if applicable, referred to in paragraph 1 of this Article or Article 4(1) of Regulation (EC) No 1122/2009. Such farmers shall reconvert the whole converted area.
3. If the application of the fourth subparagraph of paragraph 2 does not lead to an increase of the ratio referred to in the first subparagraph of Article 45(2) of Regulation (EU) No 1307/2013 above the threshold of 5 %, Member States shall provide that farmers who have at their disposal an area that was converted from an area of permanent grassland or land under permanent pasture into an area for other uses during the periods referred to in point (b) of the second subparagraph of paragraph 2 of this Article, are also to reconvert a percentage of that converted area into areas of permanent grassland or to establish another area corresponding to that percentage as area of permanent grassland. That percentage shall be calculated on the basis of the area converted by the farmer during the periods referred to in point (b) of the second subparagraph of paragraph 2 of this Article and the area needed to increase the ratio referred to in Article 45(2) of Regulation (EU) No 1307/2013 above the threshold of 5 %.
Member States may for the calculation of the percentage referred to in the first subparagraph, exclude from the area converted by the farmer those areas which became permanent grassland after 31 December 2015, provided that they carry out administrative cross-checks of the permanent grassland annually declared in the geo-spatial aid application by means of a spatial intersection with the area declared as permanent pasture in 2015 registered in the identification system for agricultural parcels and that those areas of permanent grassland were not established as a result of an obligation to reconvert or to establish an area of permanent grassland pursuant to paragraph 2 or this paragraph. However, where such exclusion does not allow to increase the ratio referred to in the first subparagraph of Article 45(2) of Regulation (EU) No 1307/2013 above the threshold of 5 %, Member States shall not exclude those areas.
Areas of permanent grassland or land under permanent pasture that farmers created in the framework of commitments in accordance with Council Regulation (EC) No 1698/2005 ( 24 ) and Regulation (EU) No 1305/2013 shall not be taken into account in the area converted by the farmer for the calculation of the percentage referred to in the first subparagraph.
The farmers shall be informed of the individual reconversion obligation and of the rules to avoid new conversion of permanent grassland, without delay and in any case before 31 December of the year in which the decrease beyond 5 % is established. The obligation to reconvert shall be complied with before the date for the submission of the single application for the following year, or in the case of Sweden and Finland, 30 June of the following year.
By way of derogation from Article 4(1)(h) of Regulation (EU) No 1307/2013, areas reconverted into or established as areas of permanent grassland shall be considered as permanent grassland as of the first day of the reconversion or establishment. Those areas shall be used to grow grasses or other herbaceous forage at least for the five consecutive years following the date of their conversion, or, if the Member State so decides, where farmers convert areas which were already used to grow grasses and other herbaceous forage into areas of permanent grassland, the remaining number of years needed in order to reach the five consecutive years.
SECTION 4
Ecological focus area
Article 45
Further criteria for the types of ecological focus area
1. For the qualification of the types of areas listed in the first subparagraph of Article 46(2) of Regulation (EU) No 1307/2013 as ecological focus areas, paragraphs 2 to 11 of this Article shall apply.
2. On land lying fallow there shall be no agricultural production. By way of derogation from Article 4(1)(h) of Regulation (EU) No 1307/2013, land lying fallow for the purpose of fulfilling the ecological focus area for more than five years shall remain arable land.
3. Terraces shall be terraces that are protected under GAEC 7 as referred to in Annex II to Regulation (EU) No 1306/2013 as well as other terraces. Member States may decide to consider as ecological focus area only terraces protected under GAEC 7. Member States deciding to consider also other terraces shall establish criteria for those other terraces, including the minimum height based on national or regional specificities.
4. Landscape features shall be at the disposal of the farmer and shall be those that are protected under GAEC 7, SMR 2 or SMR 3 as referred to in Annex II to Regulation (EU) No 1306/2013 as well as the following features:
(a) hedges or wooded strips with a width of up to 10 meters;
(b) isolated trees with a crown diameter of minimum 4 meters;
(c) trees in line with a crown diameter of minimum 4 meters. The space between the crowns shall not exceed 5 meters;
(d) trees in group, where trees are connected by overlapping crown cover, and field copses of maximum 0,3 ha in both cases;
(e) field margins with a width between 1 and 20 meters, on which there shall be no agricultural production;
(f) ponds of up to a maximum of 0,1 ha. Reservoirs made of concrete or plastic shall not be considered ecological focus area;
(g) ditches with a maximum width of 6 meters, including open watercourses for the purpose of irrigation or drainage. Channels with walls of concrete shall not be considered ecological focus area.
(h) traditional stone walls.
Member States may decide to limit the selection of landscape features to those under GAEC 7, SMR 2 or SMR 3 as referred to in Annex II to Regulation (EU) No 1306/2013 and/or to one or more of those listed in point (a) to (h) of the first subparagraph, where duly justified.
For the purposes of points (b) and (c) of the first subparagraph, Member States may include trees recognised by them as valuable landscape features with a crown diameter below 4 meters.
For the purposes of point (e) of the first subparagraph, Member States may establish a lower maximum width.
For the purposes of point (f) of the first subparagraph, Member States may set a minimum size for ponds and they may decide that a strip with riparian vegetation along the water with a width of up to 10 meters is included in the size of the pond. They may establish criteria to ensure that ponds are of natural value, taking into account the role that natural ponds play for the conservation of habitats and species.
For the purposes of point (h) of the first subparagraph, Member States shall establish minimum criteria based on national or regional specificities, including limits to the dimensions of height and width.
5. Buffer strips shall include the buffer strips along water courses required under GAEC 1, SMR 1 or SMR 10 as referred to in Annex II to Regulation (EU) No 1306/2013, as well as other buffer strips. The minimum width of those other buffer strips shall be established by the Member States, but it shall not be below 1 meter. They shall be located on or adjacent to an arable field in such a way that their long edges are parallel to the edge of a water course or water body. Along water courses, they may include strips with riparian vegetation with a width of up to 10 meters. There shall be no agricultural production on buffer strips. By way of derogation from the no production requirement, Member States may allow grazing or cutting, provided that the buffer strip remains distinguishable from adjacent agricultural land.
6. Hectares of agro-forestry shall be arable land eligible for the basic payment scheme or the single area payment scheme referred to in Chapter 1 of Title III of Regulation (EU) No 1307/2013 and fulfilling the conditions for which support under Article 44 of Regulation (EC) No 1698/2005 or Article 23 of Regulation (EU) No 1305/2013 was or is granted.
7. As regards strips of eligible hectares along forest edges Member States may decide either to allow agricultural production or to establish a requirement of no agricultural production, or to provide the two options for farmers. Where Member States decide not to allow agricultural production, by way of derogation from the no production requirement, they may allow grazing or cutting, provided the strip remains distinguishable from adjacent agricultural land. The minimum width of those strips shall be established by the Member States, but it shall not be below 1 meter. The maximum width shall be 10 meters.
8. For areas with short rotation coppice with no use of mineral fertilizer and/or plant protection products, Member States shall establish a list of species that can be used for this purpose, by selecting from the list established pursuant to Article 4(2)(c) of Regulation (EU) No 1307/2013 the species that are most suitable from an ecological perspective, thereby excluding species that are clearly not indigenous. Member States shall also establish the requirements as regards the use of mineral fertilisers and plant protection products, keeping in mind the objective of ecological focus areas in particular to safeguard and improve biodiversity.
9. Areas under catch crops or green cover shall include such areas established pursuant to the requirements under SMR 1 as referred to in Annex II to Regulation (EU) No 1306/2013 as well as other areas under catch crops or green cover, on the condition that they were established by sowing a mixture of crop species or by under-sowing grass in the main crop. Member States shall set up the list of mixtures of crop species to be used and the period for the sowing of catch crops or green cover, and may establish additional conditions notably with regard to production methods. The period to be set by Member States shall not extend after 1 October.
Areas under catch crops or green cover shall not include areas under winter crops which are sown in autumn normally for harvesting or for grazing. They shall also not include the areas covered with equivalent practices mentioned in points I.3 and 4 of Annex IX to Regulation (EU) No 1307/2013 and implemented via commitments referred to in Article 43(3)(a) of that Regulation.
10. On areas with nitrogen-fixing crop, farmers shall grow those nitrogen-fixing crops which are included in a list established by the Member State. That list shall contain the nitrogen-fixing crops that the Member State considers as contributing to the objective of improving biodiversity. Those crops shall be present during the growing season. Member States shall establish rules on where nitrogen-fixing crops qualifying as ecological focus area may be grown. These rules shall take into account the need to meet the objectives of Directive 91/676/EEC and Directive 2000/60/EC, given the potential of nitrogen-fixing crops to increase the risk of nitrogen leaching in the autumn. Member States may establish additional conditions notably with regard to production methods.
Areas with nitrogen-fixing crop shall not include the areas covered with equivalent practices mentioned in points I.3 and 4 of Annex IX to Regulation (EU) No 1307/2013 and implemented via commitments referred to in Article 43(3)(a) of that Regulation.
11. A farmer can declare the same area or landscape feature only once in one claim year for the purpose of complying with the ecological focus area requirement.
Article 46
Rules for the regional implementation of ecological focus areas
1. Member States opting for the regional implementation provided for in Article 46(5) of Regulation (EU) No 1307/2013 shall define regions for the purposes of that Article. The regions to be defined shall consist of single and homogenous geographical areas with similar agricultural and environmental conditions. For this purpose, homogeneity shall refer to soil type, elevation, as well as to the presence of natural and semi-natural areas.
2. Within the defined regions, Member States shall designate the areas where up to half of the percentage points of the ecological focus area requirement has to be implemented.
3. In respect to the defined areas Member States shall provide for specific obligations for the participating farmers or groups of farmers. Those obligations shall ensure contiguous structures of adjacent ecological focus areas. The obligations for the participating farmers or groups of farmers shall include a requirement that each participating farmer is to have at least 50 % of the area subject to the obligation laid down in Article 46(1) of Regulation (EU) No 1307/2013 located on the land of their holdings within the region and in accordance with the second subparagraph of Article 46(2) of that Regulation.
4. The obligations for the participating farmers or groups of farmers shall ensure that the contiguous ecological focus areas referred to in paragraph 3 consist of one or more of the areas referred to in points (a), (c), (d) and (h) of the first subparagraph of Article 46(2) of Regulation (EU) No 1307/2013.
5. When designating areas and providing for obligations as referred to in paragraphs 2 and 3 respectively, Member States shall take account, if applicable, of existing national or regional biodiversity and/or climate change mitigation and adaptation strategies, river basin management plans or needs identified with a view to ensure the ecological coherence of the Natura 2000 network referred to in Article 10 of Directive 92/43/EEC or to contribute to the implementation of the Green Infrastructure Strategy.
6. Prior to providing for obligations for farmers, Member States shall consult the farmers or groups of farmers concerned and other relevant stakeholders. Following such consultation, Member States shall establish a finalised detailed plan for the regional implementation and shall inform the stakeholders who participated in the consultation and the farmers or groups of farmers concerned of that plan, including the designation of areas and the obligations for the participating farmers or groups of farmers and, in particular, the precise percentage that each individual farmer has to implement on his own holding. Member States shall transmit that information to the farmer at the latest by 30 June of the year preceding the year in which the regional implementation will apply or for the first year of application of this Regulation in due time to allow the farmer to make his application accordingly.
Without prejudice to payments to farmers referred to in Article 43(9) of Regulation (EU) No 1307/2013, Member States shall ensure that arrangements are laid down with regard to financial compensations between farmers and as regards the administrative penalties in case of non-compliance on the contiguous ecological focus areas.
Article 47
Rules for the collective implementation and the criteria to be met by holdings to be considered to be in close proximity
1. Member States that decide to allow a collective implementation as provided for in Article 46(6) of Regulation (EU) No 1307/2013, shall define the criteria to be met by holdings considered to be in close proximity using any of the following:
(a) farmers of whom 80 % of the holding are in the same municipality;
(b) farmers of whom 80 % of the holding are in an area with a radius of a number of kilometres to be set by Member States with a maximum of 15 kilometres.
2. Member States that opt for designating the areas on which collective implementation is possible and that opt for imposing obligations upon participating farmers or groups of farmers, shall take account of existing national or regional biodiversity and/or climate change mitigation and adaptation strategies, river basin management plans or needs identified with a view to ensure the ecological coherence of the Natura 2000 network referred to in Article 10 of Directive 92/43/EEC or to contribute to the enhancement of green infrastructure.
3. The obligations for the participating farmers or groups of farmers referred to in paragraph 2 shall include the condition that the contiguous ecological focus areas will consist of one or more of the areas referred to in points (a), (c), (d) and (h) of the second subparagraph of Article 46(2) of Regulation (EU) No 1307/2013.
4. Farmers participating in the collective implementation shall conclude a written agreement that includes details on the internal arrangements of financial compensation and as regards the administrative penalties in case of non-compliance on the common ecological focus area.
Article 48
Determination of the ratio of forest to agricultural land
1. Member States deciding to implement Article 46(7) of Regulation (EU) No 1307/2013 shall establish the percentage of forests compared to the total land surface area referred to in the first subparagraph of that paragraph on the basis of the data available from Eurostat. Forest data shall refer to the definition as applied by the Food and Agricultural Organisation of the United Nations and shall exclude the area under other wooded land. The total land surface area shall exclude the area under inland water including rivers and lakes.
2. The ratio of forest to agricultural land referred to in Article 46(7) of Regulation (EU) No 1307/2013 shall be calculated using data available from Eurostat. If there are no data available from Eurostat on the land under forest and agricultural land at the required scale to assess the forest ratio on an area level equivalent to the LAU2 level or on the level of a clearly delineated unit which covers a single clear contiguous geographical area having similar agricultural conditions, other data sources may be used.
Member States shall demonstrate that they have used up to date and consistent data on land under forest and agricultural land reflecting to the extent possible the actual situation.
3. The data and calculations referred to in paragraphs 1 and 2 shall be valid for three years. After the expiry of this period, Member States deciding to further apply the exemption provided for in Article 46(7) of Regulation (EU) No 1307/2013 and renew that three-year period shall recalculate the ratios in accordance with paragraphs 1 and 2 of this Article using the newest data available.
In case of changes in the administrative boundaries affecting the ratio mentioned in paragraph 2, the data and calculations shall be reassessed and any changes in the application of the exemption notified to the Commission.
CHAPTER 4
PAYMENT FOR YOUNG FARMERS
Article 49
Access of legal persons to the payment for young farmers
1. The annual payment for young farmers referred to in Article 50(1) of Regulation (EU) No 1307/2013 shall be granted to a legal person irrespective of its legal form if the following conditions are fulfilled:
(a) the legal person is entitled to a payment under the basic payment scheme or the single area payment scheme referred to in Chapter 1 of Title III of Regulation (EU) No 1307/2013 and has activated payment entitlements or declared eligible hectares, as referred to in Article 50(4) of that Regulation;
(b) a young farmer within the meaning of Article 50(2) of Regulation (EU) No 1307/2013 exercises effective and long-term control over the legal person in terms of decisions related to management, benefits and financial risks in each year in respect of which the legal person applies for the payment under the young farmers scheme. Where several natural persons, including person(s) who are not young farmer(s), participate in the capital or management of the legal person, the young farmer(s) shall in each year in respect of which the legal person applies for the payment under the young farmers scheme be capable of exercising such effective and long-term control either solely or jointly together with other farmers, subject to paragraph 1a of this Article;
(c) at least one of the young farmers fulfilling the condition set out in point (b) meets the eligibility criteria established by Member States pursuant to Article 50(3) of Regulation (EU) No 1307/2013, if any, unless Member States have decided that those criteria shall apply to all such young farmers.
Where a legal person is solely or jointly controlled by another legal person, the conditions set out in point (b) of the first subparagraph shall apply to any natural person having control over that other legal person.
1a. By way of derogation from point (b) of the first subparagraph of paragraph 1, Member States may decide that, as of calendar year 2016 or 2017, the young farmer(s) shall exercise the effective and long-term control referred to in that point solely. Such a decision shall be taken before the date of opening of the application period for the first year to which it applies and it shall be taken only once. No such decision shall be possible after the date of opening of the application period for calendar year 2017.
Where Member States use the derogation provided for in the first subparagraph, for determining the date of setting up referred to in Article 50(2)(a) and Article 50(5) of Regulation (EU) No 1307/2013, the period in which the young farmer exercised control jointly together with other farmers in accordance with point (b) of the first subparagraph of paragraph 1 of this Article in the calendar years preceding the calendar year as of which the derogation is applied shall be taken into account.
If Member States use that derogation, they shall decide whether or not to require sole control by young farmers for those legal persons or groups of natural persons which have already received payment under the young farmers scheme in the year(s) preceding the year as of which the derogation is used while a young farmer or young farmers exercised the control jointly together with farmers who were not young farmers.
2. The payment referred to in Article 50(1) of Regulation (EU) No 1307/2013 shall no longer be granted if all young farmers complying with the criteria set out in point (b) of the first subparagraph of paragraph 1 and, where appropriate, in point (c) of the first subparagraph of paragraph 1 have ceased control over the legal person.
3. For the purposes of this Article:
(a) any reference in Article 50(4) to (10) of Regulation (EU) No 1307/2013 to ‘farmer’ shall be construed as a reference to the legal person referred to in this Article;
(b) the reference to the first submission of an application to the basic payment scheme or single area payment scheme referred to in Article 50(2)(a) of Regulation (EU) No 1307/2013 shall be construed as a reference to the legal person’s first application for the payment under the young farmers scheme;
(c) without prejudice to paragraph 4 of this Article, the reference in the second sentence of Article 50(5) of Regulation (EU) No 1307/2013 to ‘setting up’ shall be construed as a reference to the setting up by the young farmers having control over the legal person in accordance with point (b) of the first subparagraph of paragraph 1 of this Article.
4. Where several young farmers as referred to in point (b) of the first subparagraph of paragraph 1 have acquired control over the legal person at different moments of time, the earliest acquisition of control shall be considered as the time of ‘setting up’ referred to in the second sentence of Article 50(5) of Regulation (EU) No 1307/2013.
Article 50
Access of a group of natural persons to the payment for young farmers
Article 49 shall apply mutatis mutandis in respect of a group of natural persons as referred to in Article 4(1)(a) of Regulation (EU) No 1307/2013 for which the requirements laid down in Article 49(1)(a) of this Regulation are met at the level of the group.
CHAPTER 5
COUPLED SUPPORT
SECTION 1
Voluntary coupled support
Article 51
Definitions
For the purposes of this Section, ‘coupled support measures’ means measures implementing the voluntary coupled support referred to in Article 52(1) of Regulation (EU) No 1307/2013.
Article 52
General principles
1. The regions referred to in Article 52(3) of Regulation (EU) No 1307/2013shall be defined by the Member States in accordance with objective and non-discriminatory criteria such as the agronomic and socioeconomic characteristics and the regional agricultural potential, or the institutional or administrative structure. Such regions may differ from regions established under other support schemes provided for in Regulation (EU) No 1307/2013.
2. When defining the specific types of farming or specific agricultural sectors referred to in Article 52(3) of Regulation (EU) No 1307/2013, Member States shall take into account in particular the relevant production structures and conditions of the region or sector concerned.
3. For the purposes of Article 52(3) of Regulation (EU) No 1307/2013, certain types of farming or specific agricultural sectors shall be considered as being in ‘difficulties’ if there is a risk of abandonment or of decline of production due to, inter alia, the weak profitability of the activity carried out which negatively affects the economic, social or environmental balance in the region or sector concerned.
Article 53
Conditions for granting the support
1. Member States shall lay down eligibility criteria for coupled support measures in compliance with the framework set out in Regulation (EU) No 1307/2013 and the conditions laid down in this Regulation.
2. Areas and yields and number of animals referred to in Article 52(6) of Regulation (EU) No 1307/2013 shall be fixed by the Member States at regional or sector level. They shall reflect the maximum yields, area cultivated or number of animals reached in the targeted region or sector in at least one year in the period of five years preceding the year of the decision referred to in Article 53(1) of that Regulation.
The annual payment shall be expressed as the per unit amount of support. It shall result from the ratio between the amount fixed for the financing of the measure as notified according to point (3)(i) of Annex I to this Regulation and either the area or the number of animals eligible for the support in the year in question, or the area or the number of animals fixed as referred to in the first subparagraph of this paragraph.
Without prejudice to Article 52(5) of Regulation (EU) No 1307/2013, for the per unit amount of support referred to in the second subparagraph of this paragraph, Member States may decide to apply modulated per unit amounts in respect of certain categories of farmers or at farm level in order to take into account economies of scale resulting from the size of the production structures in the targeted specific type of farming or specific agricultural sector, or, if the measure targets a region or an entire sector, in the region or sector concerned. Article 67(1) of this Regulation shall apply mutatis mutandis to the notification of such decisions.
3. Where the coupled support measure concerns the oilseeds referred to in the Annex to the Memorandum of Understanding between the European Economic Community and the United States of America on oilseeds within the framework of the GATT, the total of the maximum areas to be supported as notified by the Member States shall not exceed a maximum area for the whole Union for the purpose of ensuring compliance with its international commitments.
Where the maximum area referred to in the first subparagraph is exceeded, the Member States concerned shall adjust the area notified by applying a reduction coefficient resulting from the ratio between the maximum area and the total of the areas notified for the support of those oilseeds referred to in the first subparagraph.
The Commission shall fix the reduction coefficient referred to in the second subparagraph by means of implementing acts adopted without applying the procedure referred to in Article 71(2) or (3) of Regulation (EU) No 1307/2013.
4. Where the coupled support measure concerns bovine animals and/or sheep and goats, Member States shall define as an eligibility condition for the support, the requirements to identify and register animals provided for in Regulation (EC) No 1760/2000 of the European Parliament and of the Council ( 25 ) or Council Regulation (EC) No 21/2004 ( 26 ) respectively.
However, without prejudice to other eligibility conditions, an animal shall also be deemed eligible for support where the identification and registration requirements referred to in the first subparagraph are met by a date to be fixed by the Member State which shall not be later than:
(a) the first day of the retention period of the animal, where a retention period is applied;
(b) a date chosen on the basis of objective criteria and consistent with the corresponding measure notified in accordance with Annex I, where no retention period is applied.
By 15 September 2015, Member States shall notify the Commission of the dates referred to in the second subparagraph.
5. Member States may not grant area-related coupled support for areas that are not eligible areas within the meaning of Article 32(2), (3) and (4) of Regulation (EU) No 1307/2013. Where Member States grant coupled support to hemp, the condition referred to in Article 32(6) of Regulation (EU) No 1307/2013 and in Article 9 of this Regulation shall apply.
Article 53a
Transfer of funds between measures
1. Without prejudice to the requirements set out in Chapter I of Title IV of Regulation (EU) No 1307/2013, Member States may decide to use the amounts notified in accordance with point (3)(i) of Annex I to this Regulation for the purpose of financing one or several other support measures under Chapter I of Title IV of Regulation (EU) No 1307/2013 in respect of the same claim year.
A transfer of funds between support measures shall not result in a support measure notified to the Commission pursuant to Article 54 of Regulation (EU) No 1307/2013 and Article 67(1) and (2) of this Regulation becoming void.
2. Where the area or the number of animals eligible for support under a voluntary coupled support measure in the claim year concerned equals to or exceeds the quantitative limit notified in accordance with point (3)(j) of Annex I to this Regulation, the support measure shall not benefit from a transfer of funds from any other support measure(s).
3. Where the area or the number of animals eligible for support under a voluntary coupled support measure in the claim year concerned is lower compared to the quantitative limit notified in accordance with point (3)(j) of Annex I to this Regulation, a transfer of funds shall not result in the per unit amount becoming lower than the ratio between the amount fixed for the financing as notified in accordance with point (3)(i) of that Annex and the quantitative limit.
4. Where Member States grant coupled support for protein crops while using the possibility provided for in Article 53(3) of Regulation (EU) No 1307/2013, a transfer of funds shall not result in the support available for protein crops to be less than 2 % of the annual national ceiling set out in Annex II to that Regulation.
5. A decision to transfer funds between support measures shall be taken before the date of the first payment or payment of advances to farmers in respect of the voluntary coupled support. However, in respect of transfers from and to measures for which no payment has been made yet, such decision may be taken after that date, but no later than:
(a) the last day of the month in which the first payment or payment of advances to farmers in respect of the voluntary coupled support is made;
(b) 30 November where such first payment or payment of advances is made in the period from 16 to 31 October.
6. The competent authority of the Member State intending to take a decision to transfer funds between support measures shall inform farmers of a possible transfer before the date of opening of the application period.
Article 54
Consistency and cumulation of support
1. For the purposes of Article 52(8) of Regulation (EU) No 1307/2013, measures provided for in Regulation (EU) No 1305/2013 and Regulation (EU) No 1308/2013 of the European Parliament and of the Council ( 27 ) shall be considered as ‘other Union measures and policies’.
2. Member States shall ensure consistency between:
(a) coupled support measures and measures implemented under other Union measures and policies;
(b) different coupled support measures;
(c) coupled support measures and measures funded by state aids.
Member States shall ensure that coupled support measures do not interfere with the proper functioning of other measures mentioned in the first subparagraph.
3. Where support under a certain coupled support measure may also be granted under another coupled support measure, or under a measure implemented under other Union measures and policies, Member States shall ensure that the farmer concerned may receive support aiming at the objective referred to in Article 52(5) of Regulation (EU) No 1307/2013 under only one such measure per sector, region, specific type of farming or specific agricultural sector that is targeted in accordance with Article 52(3) of that Regulation.
Article 55
Criteria for approval by the Commission
1. For the purposes of Article 55(1)(a) of Regulation (EU) No 1307/2013, a lack of alternatives shall exist if:
(a) no other production than the production subject to coupled support measure can be carried out in the targeted region or sector or the continuation of such production requires significant changes in the production structures; or
(b) conversion towards another production is severely limited due to the unavailability of land or infrastructures adapted to that production, the consecutive significant reduction in the number of holdings, the level of investments needed resulting from the conversion or due to similar reasons.
2. For the purposes of Article 55(1)(b) of Regulation (EU) No 1307/2013, it shall be necessary to provide stable supply to the local processing industry where a suspension or reduction of the production in the targeted region or sector is expected to negatively impact the activity and the related economic viability or employment in downstream enterprises which significantly depend on such production, such as processors of raw material, slaughterhouses or food industries. Such downstream enterprises need to be located in the respective region or need to be significantly reliant on the sector for the continuation of their activity.
3. For the purposes of Article 55(1)(c) of Regulation (EU) No 1307/2013, continuing disturbances on the related market shall exist where farmers in the targeted region or sector are affected by economic losses resulting in particular from occurrence of pollution, contamination or degradation in the quality of the environment related to a specific event of limited geographical scope.
4. When assessing the level of coupled support resulting from the measures to be approved as notified by the Member State, the Commission shall take into account the level of coupled direct payments granted during at least one year within the reference period 2010-2014 as referred to in Article 53(4) of Regulation (EU) No 1307/2013.
SECTION 2
Crop specific payment for cotton
Article 56
Authorisation of agricultural land for cotton production
Member States shall establish objective criteria on the basis of which agricultural land is authorised pursuant to Article 57(2) of Regulation (EU) No 1307/2013.
Those criteria shall be based on one or more of the following:
(a) the agricultural economy of those regions where cotton is a major crop;
(b) the soil and climate in the areas in question;
(c) the management of irrigation water;
(d) rotation systems and cultivation methods likely to respect the environment.
Article 57
Authorisation of varieties for sowing
For the purposes of Article 57(2) of Regulation (EU) No 1307/2013, Member States shall authorise the varieties registered in the ‘Common Catalogue of Varieties of Agricultural Plant Species’ provided for in Directive 2002/53/EC that are adapted to market needs.
Article 58
Eligibility requirements
Sowing the areas referred to in Article 57(1) of Regulation (EU) No 1307/2013 shall be done by achieving a minimum plant density, to be fixed by the Member State concerned on the basis of the soil and weather conditions and specific regional characteristics, where appropriate.
Article 59
Agronomic practices
Member States may establish specific rules on the agronomic practices needed to maintain and harvest the crops under normal growing conditions.
Article 60
Approval of inter-branch organisations
1. Each year Member States shall approve for a period of one year, starting not later than 1 March, any inter-branch organisation referred to in Article 59(1) of Regulation (EU) No 1307/2013 that applies to become such an approved organisation and which:
(a) covers a total area of at least 4 000 ha as established by the Member State that meet the authorisation criteria laid down in Article 56 of this Regulation;
(b) includes at least one ginning undertaking; and
(c) has adopted internal operating rules, in particular on membership conditions and fees, in accordance with national and Union rules.
2. Where it is found that an approved inter-branch organisation does not respect the criteria for approval provided for in paragraph 1, the Member State shall withdraw the approval unless the non-respect of the criteria concerned is remedied. Where it is planned to withdraw the approval, the Member State shall notify that intention to the inter-branch organisation, together with the reasons for the withdrawal. The Member State shall allow the inter-branch organisation to submit its observations within a specified period.
Farmers who are members of an approved inter-branch organisation whose approval is withdrawn in accordance with the first subparagraph of this paragraph shall lose their right to the increase of the aid provided for in Article 60(2) of Regulation (EU) No 1307/2013.
Article 61
Producers’ obligations
1. A producer shall not be a member of more than one approved inter-branch organisation referred to in Article 59(1) of Regulation (EU) No 1307/2013.
2. A producer who is a member of an approved inter-branch organisation shall deliver his cotton only to a ginner belonging to that same organisation.
3. The participation of producers in an approved inter-branch organisation shall be the result of voluntary membership.
CHAPTER 6
NOTIFICATIONS
Article 62
Notifications relating to definitions and related provisions
Member States shall notify the Commission of any decisions taken in accordance with Article 4(2) of Regulation (EU) No 1307/2013 by 31 January 2015. Such notification shall include the details of such decisions, their justification and the objective criteria on the basis of which those decisions have been made.
Article 63
Notifications relating to the reduction coefficient according to Article 32(5) of Regulation (EU) No 1307/2013
Member States shall notify the Commission of any decisions pursuant to Article 8 by 31 January 2015. Such a notification shall include the details of such decisions, their justification and the objective criteria on the basis of which those decisions have been made.
Article 64
Notifications relating to the basic payment
1. Where a Member State notifies the Commission of its decisions pursuant to Articles 22(2) and (3), 24(10), 29 and 40(4) of Regulation (EU) No 1307/2013 such a notification shall include the details of such decisions. In addition, for decisions pursuant to Articles 24(10), 29 and 40(4) of that Regulation, a justification shall be included where relevant.
Where a Member State notifies the Commission of its decisions pursuant to Article 23(6) of Regulation (EU) No 1307/2013, such a notification shall include the details of such decisions, their justification and the objective criteria on the basis of which those decisions have been made, in particular the criteria used for the definition of the regions pursuant to Article 23(1) of that Regulation, the criteria used for the division of the national ceilings between the regions pursuant to Article 23(2) of that Regulation and the criteria used for any annual progressive modifications pursuant to Article 23(3) of that Regulation.
2. Where a Member State decides to use the options provided for in Articles 30(7), 30(11)(b), 32(3)(b), 32(5) and 36(3) of Regulation (EU) No 1307/2013, it shall notify the Commission by 31 January of the first year of application of such a decision of the details of those decisions as well as of the justification and, where relevant, the objective criteria on the basis of which those decisions have been made.
In case of a review of the decision referred to in Article 30(7) of Regulation (EU) No 1307/2013, the information referred to in the first subparagraph of this paragraph shall be notified to the Commission by 31 January of the first year of application of such a reviewed decision.
3. Where a Member State decides to use the option provided for in Article 34(3) and (4) of Regulation (EU) No 1307/2013, it shall notify the Commission of its decision by 31 January of the first year of application of such a decision.
4. Where a Member State decides to use the options provided for in the second subparagraph of Article 39(1) and in Article 40(2) and (5) of Regulation (EU) No 1307/2013, it shall notify the Commission by 31 July of the year preceding the year of first application of such a decision of the details of those decisions as well as of the justification and, where relevant, the objective criteria on the basis of which those decisions have been made.
5. Where a Member State decides to apply the single area payment scheme according to Article 36(1) of Regulation (EU) No 1307/2013 it shall notify the Commission by 1 September of each year, for the claim year concerned, of the total number of hectares declared by farmers pursuant to Article 36(2) of that Regulation.
Article 65
Notifications relating to greening
1. Member States shall notify the Commission of the following information:
(a) by 15 December 2014:
(i) if applicable, their decision to calculate the payment referred to in Article 43(9) of Regulation (EU) No 1307/2013 according to the third subparagraph of that paragraph;
(ii) if applicable, their decision to designate further sensitive permanent grassland areas referred to in the second subparagraph of Article 45(1) of Regulation (EU) No 1307/2013;
(iii) if applicable, their decision to apply the payment referred to in Article 43(9) of Regulation (EU) No 1307/2013 at regional level as provided for in the second subparagraph of Article 47(2) of that Regulation;
(b) by 15 December of the year concerned the decision to newly designate environmentally sensitive permanent grassland area as referred to in the second subparagraph of Article 41 of this Regulation;
(c) by 15 December of each year, for the claim year concerned:
(i) the total number of farmers who have to apply at least one greening obligation referred to in Article 43(2) and (3) of Regulation (EU) No 1307/2013 and the total number of hectares declared by such farmers;
(ii) the total number of farmers exempted from one or more greening practices and the number of hectares declared by such farmers, the number of farmers exempted from all practices because they comply with the requirements of Regulation (EC) No 834/2007, the number of farmers exempted from the crop diversification obligation, and the number of farmers exempted from the ecological focus area obligation, and the respective number of hectares declared by such farmers. Those numbers shall not include the farmers participating in the small farmer scheme;
(iii) the total number of farmers applying equivalent measures, distinguishing farmers applying equivalence pursuant to Article 43(3)(a) or (b) of Regulation (EU) No 1307/2013 and the respective number of hectares declared by such farmers;
(iv) the total number of farmers subject to crop diversification, broken down by the number of farmers subject to a diversification with two crops and the number of farmers subject to a diversification with three crops and including the respective number of hectares of arable land declared by such farmers;
(v) the total number of farmers taken into account for the calculation of the ratio of areas of permanent grassland to total agricultural area and the total number of hectares covered by permanent grassland declared by such farmers;
(vi) the total number of farmers declaring environmentally sensitive permanent grassland, the total number of hectares covered by environmentally sensitive permanent grassland declared by such farmers and the total number of hectares of designated environmentally sensitive permanent grasslands;
(vii) the total number of farmers subject to the ecological focus area obligation, the total number of arable hectares declared by such farmers and the total number of hectares declared as ecological focus area before application of the weighting factors, broken down by type of ecological focus area as listed in the first subparagraph of Article 46(2) of Regulation (EU) No 1307/2013;
(viii) the total number of farmers implementing the ecological focus area obligation at regional or collective level and the total number of arable hectares declared by such farmers;
(d) by 15 December of each year, the reference ratio and the annual ratio of areas of permanent grassland to total agricultural area, as well as information regarding obligations established at the level of the holding in accordance with the fifth subparagraph of Article 45(2) of Regulation (EU) No 1307/2013 and Article 44 of this Regulation.
2. In their notification to be made by 1 August 2014 pursuant to Article 46(8) of Regulation (EU) No 1307/2013 Member States shall notify the Commission of the following:
(a) their decision regarding which areas listed in the first subparagraph of Article 46(2) of Regulation (EU) No 1307/2013 are to be considered as ecological focus area, to be supplemented, by 1 October 2014, by detailed information on such decisions, including on the conditions applying on those areas as a result of decisions made by Member States;
(b) detailed information on the use of conversion and weighting factors referred to in Article 46(3) of Regulation (EU) No 1307/2013.
3. In their notification to be made by 1 August of the year preceding the first application of the relevant decision pursuant to Article 46(8) of Regulation (EU) No 1307/2013, Member States shall notify the Commission of the following:
(a) for Member States opting for the regional implementation referred to in Article 46(5) of Regulation (EU) No 1307/2013 information on the definition of the regions, the designation of areas, the selected areas for the purposes of Article 46(4) of this Regulation, and information justifying how this regional implementation underpins the implementation of Union policies on the environment, climate and biodiversity;
(b) for Member States deciding to allow the collective implementation referred to in Article 46(6) of Regulation (EU) No 1307/2013 shall include information on the designation of areas and the selected areas for the purposes of Article 47(3) of this Regulation, if applicable.
4. In their notification to be made by 1 August of the year preceding the first application of the relevant decision pursuant to Article 46(8) of Regulation (EU) No 1307/2013, Member States fulfilling the condition referred to in Article 46(7) of that Regulation deciding to apply the exemption provided for in that provision, shall notify the Commission of the details of that decision, including the data and the calculations that demonstrate that all the conditions for the exemption referred to in Article 46(7) of Regulation (EU) No 1307/2013 are fulfilled.
The first subparagraph shall apply mutatis mutandis to decisions to further apply the exemption provided for in Article 46(7) of Regulation (EU) No 1307/2013 and renew the three-year period as referred to in Article 48(3) of this Regulation.
Member States shall notify the Commission immediately of any changes in the application of the exemption provided for in Article 46(7) of Regulation (EU) No 1307/2013.
Article 66
Notifications relating to the payment for young farmers
1. Where a Member State decides to apply Article 50(6) of Regulation (EU) No 1307/2013 for the calculation of the payment for young farmers, it shall notify the Commission by 31 January 2015 of the method for calculating the payment chosen and the maximum limit set in accordance with Article 50(9) of that Regulation.
2. Where a Member State decides to define eligibility criteria in accordance with Article 50(3) of Regulation (EU) No 1307/2013 or to apply the calculation method referred to in Article 50(10) of that Regulation, it shall notify the Commission by 31 January 2015 of such a decision.
3. Where a Member State decides to make use of the option to recalculate the fixed number of hectares as provided for in the third subparagraph of Article 50(10) of Regulation (EU) No 1307/2013, it shall notify the Commission by 1 August of the year for which such a recalculation would apply of such a decision and provide a justification as well as the objective criteria on the basis of which the decision has been made.
4. Member States shall notify the Commission of any decision taken pursuant to Article 49(1a) at the latest 15 days after the date on which such decision was taken.
Article 67
Notifications relating to the voluntary coupled support
1. The notifications referred to in Article 54(1) of Regulation (EU) No 1307/2013 shall include the items listed in Annex I to this Regulation.
2. For each coupled support measure and each of the specific types of farming or specific agricultural sectors concerned, Member States shall notify the Commission of the total number of beneficiaries, the amount of the payments which have been granted as well as the total area and the total number of animals for which the support has actually been paid. Such notifications shall be made by 15 September of the year following the year in respect of which the payments are granted.
3. Member States shall notify the Commission of any decision taken pursuant to Article 53a(1) by the first day of the month following that in which the first payment or payment of advances to farmers in respect of the voluntary coupled support has been made. However, where such payment was made in the period from 16 to 31 October, that notification shall be made by 1 December. That notification shall include the following:
(a) a list of the affected measures and the amounts transferred;
(b) for each affected measure, the eligible areas or number of animals in the relevant claim year after all checks of the submitted applications have been carried out;
(c) for each affected measure, a justification that a transfer does not create an incentive to produce beyond current levels of production and that the decisions notified to the Commission pursuant to Article 54 of Regulation (EU) No 1307/2013 and paragraphs 1 and 2 of this Article do not become void.
Article 68
Notifications concerning the minimum requirements for receiving direct payments
Member States shall notify the Commission by 1 August 2014 of any decision taken in accordance with Article 10 of Regulation (EU) No 1307/2013.
Article 69
Notifications concerning the redistributive payment
Where a Member State decides to grant the redistributive payment pursuant to Chapter 2 of Title III of Regulation (EU) No 1307/2013, the notification referred to in the second subparagraph of Article 41(1) of Regulation (EU) No 1307/2013 shall comprise the details of such decision, including the details and justification of the calculation of the redistributive payment and, where appropriate, information on any regional application pursuant to Article 41(2) of that Regulation and on any graduation within the number of hectares pursuant to Article 41(5) of that Regulation.
Article 70
Notifications concerning the payment for areas with natural constraints
Where a Member State decides to grant the payment for areas with natural constraints pursuant to Chapter 4 of Title III of Regulation (EU) No 1307/2013 it shall notify the Commission by 1 August 2014 of any decision taken in accordance with Article 48 of Regulation (EU) No 1307/2013. Such a notification shall comprise the details of such decision including, where appropriate, information on any restriction of the payments to certain areas pursuant to Article 48(2) of Regulation (EU) No 1307/2013, on any application of the maximum limits referred to in Article 48(4) of that Regulation and on any regional application pursuant to Article 48(5) of that Regulation.
Article 71
Notifications concerning the small farmers scheme
Where a Member States decides to apply the small farmers scheme pursuant to Title V of Regulation (EU) No 1307/2013, it shall notify the Commission by 1 August 2014 of any decision taken in accordance with that Title.
Such a notification shall comprise the details of such decision, including the possible automatic inclusion of farmers pursuant to Article 62(2) of Regulation (EU) No 1307/2013 and the calculation of the payment pursuant to Article 63 of that Regulation.
Member States shall inform the Commission on the decision on financing referred to in Article 65(2) of Regulation (EU) No 1307/2013 without delay and no later than 1 December of the calendar year to which the payment relates.
Article 72
Application of Article 8(1), 41(4) or 52(6) of Regulation (EU) No 1307/2013 to members of legal persons or groups
Where a Member State decides to apply Article 8(4), 41(8) or 52(7) of Regulation (EU) No 1307/2013, it shall notify the Commission by 1 August 2014 of the details of those decisions.
Article 73
Linear reductions of the payments
When applying any linear reductions referred to in the second subparagraph of Article 7(1), in Article 51(2) or in Article 65(2)(c) of Regulation (EU) No 1307/2013, Member States shall inform the Commission of the reduction percentage applied without delay and no later than 30 June of the year following the calendar year in which the direct payments linearly reduced where claimed.
Article 74
Request for information on measures taken by the Member States
Where necessary in order to ensure the correct application of the rules set out in Regulation (EU) No 1307/2013 or in this Regulation, the Commission may request Member States to provide details on any measure taken to implement Regulation (EU) No 1307/2013 or any rules adopted by the Commission on the basis of that Regulation.
Article 75
Reports
1. Where Bulgaria and Romania decide to grant complementary national direct payments pursuant to Article 18 of Regulation (EU) No 1307/2013, they shall submit a report to the Commission by 30 June 2016. For each complementary national direct payment the report shall contain the number of beneficiaries, the total amount of complementary national direct payment granted, the hectares for which the payment has been granted and the rate of the payment where relevant.
2. Where a Member State decides to grant transitional national aid pursuant to Article 37(1) of Regulation (EU) No 1307/2013, it shall submit to the Commission an annual report by 15 September of the year following the implementation of that transitional national aid. The report shall contain for each sector the number of beneficiaries, the amount of transitional national aid granted, the hectares, the number of animals or other units for which that aid has been granted and the rate of that aid where relevant.
Article 76
Notification of decision resulting from a review
Where a decision notified to the Commission in accordance with Regulation (EU) No 1307/2013 or this Regulation may be reviewed, the Commission shall be notified of the decision resulting from the review within a period of four weeks after such decision has been made, unless a different time limit for such notification is laid down in Regulation (EU) No 1307/2013.
Such a notification shall include the details of the decision and, where relevant, a justification and the objective criteria on the basis of which such a decision has been made.
CHAPTER 7
AMENDMENT, REPEAL AND ENTRY INTO FORCE
Article 77
Amendment of Regulation (EU) No 1307/2013
Annex X to Regulation (EU) No 1307/2013 is replaced by the text set out in Annex II to this Regulation.
Article 78
Repeal
Regulations (EC) No 1120/2009 and (EC) No 1121/2009 are repealed.
However, they shall continue to apply with respect to aid applications relating to calendar years before calendar year 2015.
Article 79
Entry into force and application
This Regulation shall enter into force on the seventh day following that of its publication in the Official Journal of the European Union .
It shall apply with respect to aid applications relating to calendar years subsequent to calendar year 2014.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX I
Content of the information to be submitted to the Commission pursuant to Article 67(1)
The information shall include:
(1) the total amount fixed for the coupled support and the related percentage of the national ceiling referred to in Article 53 of Regulation (EU) No 1307/2013 for each year until 2020;
(2) the title of each support measure;
(3) a description of each support measure, including at least:
(a) the region or sector targeted;
(b) the specific types of farming and/or the specific agricultural sectors selected as well as a description of the difficulties encountered and, where applicable, the criteria fixed by Member States to define the regions referred to in Article 52(1) of this Regulation;
(c) the related economic, social or environmental importance;
—————
(e) any implementation of the derogation laid down in Article 52(4) of Regulation (EU) No 1307/2013;
(f) its duration;
(g) the applicable eligibility conditions;
(ga) for Member States applying the third subparagraph of Article 53(2) of this Regulation, the criteria applied for the establishment of each modulated per unit amount in accordance with that subparagraph;
(h) the estimated per unit amount(s) of support calculated in accordance with the second and third subparagraphs of Article 53(2) of this Regulation;
(i) the amount fixed for the financing;
(j) the applicable quantitative limit, i.e. the fixed areas and yields or the fixed number of animals in accordance with Article 52(6) of Regulation (EU) No 1307/2013;
(k) where appropriate, the maximum area fixed for the purpose of implementing the support for those oilseeds referred to in Article 53(3) of this Regulation;
(l) any existing measures applied under other Union support schemes or under measures financed by state aids in the same region or sector as the coupled support measure and, where applicable, the criteria and administrative rules for ensuring that support aiming at the objective referred to in Article 52(5) of Regulation (EU) No 1307/2013 is not also granted under other Union support schemes in accordance with Article 52(9) of that Regulation;
(4) where appropriate, the detailed description of the particular situation in the region or sector targeted and the characteristics of the specific types of farming or specific agricultural sectors, which make the percentage referred to in Article 53(1) of Regulation (EU) No 1307/2013 insufficient to address the difficulties identified and which justify an increased level of support according to Article 54(2) of that Regulation;
(5) where appropriate, the demonstration of the existence of one of the needs referred to in Article 55(1)(a),(b),(c) or (d) of Regulation (EU) No 1307/2013.
ANNEX II
‘ANNEX X
Conversion and weighting factors referred to in Article 46(3) ( 28 )
<table><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Features</p></td><td><p>Conversion factor</p><p>(m/tree to m<span>2</span>)</p></td><td><p>Weighting factor</p></td><td><p>Ecological focus area</p><p>(if both factors are applied)</p></td></tr><tr><td><p>Land lying fallow (per 1 m<span>2</span>)</p></td><td><p>n.a.</p></td><td><p>1</p></td><td><p>1 m<span>2</span></p></td></tr><tr><td><p>Terraces (per 1 m)</p></td><td><p>2</p></td><td><p>1</p></td><td><p>2 m<span>2</span></p></td></tr><tr><td><p>Landscape features:</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p> </p><div/></td><td><p>Hedges/wooded strips (per 1 m)</p></td><td><p>5</p></td><td><p>2</p></td><td><p>10 m<span>2</span></p></td></tr><tr><td><p>Isolated tree (per tree)</p></td><td><p>20</p></td><td><p>1,5</p></td><td><p>30 m<span>2</span></p></td></tr><tr><td><p>Trees in line (per 1 m)</p></td><td><p>5</p></td><td><p>2</p></td><td><p>10 m<span>2</span></p></td></tr><tr><td><p>Group of trees/Field copses (per 1 m<span>2</span>)</p></td><td><p>n.a.</p></td><td><p>1,5</p></td><td><p>1,5 m<span>2</span></p></td></tr><tr><td><p>Field margin (per 1 m)</p></td><td><p>6</p></td><td><p>1,5</p></td><td><p>9 m<span>2</span></p></td></tr><tr><td><p>Ponds (per 1 m<span>2</span>)</p></td><td><p>n.a.</p></td><td><p>1,5</p></td><td><p>1,5 m<span>2</span></p></td></tr><tr><td><p>Ditches (per 1 m)</p></td><td><p>3</p></td><td><p>2</p></td><td><p>6 m<span>2</span></p></td></tr><tr><td><p>Traditional stone walls (per 1 m)</p></td><td><p>1</p></td><td><p>1</p></td><td><p>1 m<span>2</span></p></td></tr><tr><td><p>Other features not listed above but protected under GAEC7, SMR 2 or SMR 3 (per 1 m<span>2</span>)</p></td><td><p>n.a.</p></td><td><p>1</p></td><td><p>1 m<span>2</span></p></td></tr><tr><td><p>Buffer strips (per 1 m)</p></td><td><p>6</p></td><td><p>1,5</p></td><td><p>9 m<span>2</span></p></td></tr><tr><td><p>Hectares of agro-forestry (per 1 m<span>2</span>)</p></td><td><p>n.a.</p></td><td><p>1</p></td><td><p>1 m<span>2</span></p></td></tr><tr><td><p>Strips of eligible hectares along forest edges (per 1 m)</p></td><td><p> </p><div/></td><td><p> </p><div/></td><td><p> </p><div/></td></tr><tr><td><p> </p><div/></td><td><p> </p><div/></td><td><p>Without production</p><p>With production</p></td><td><p>6</p><p>6</p></td><td><p>1,5</p><p>0,3</p></td><td><p>9 m<span>2</span></p><p>1,8 m<span>2</span></p></td></tr><tr><td><p>Areas with short rotation coppice (per 1 m<span>2</span>)</p></td><td><p>n.a.</p></td><td><p>0,3</p></td><td><p>0,3 m<span>2</span></p></td></tr><tr><td><p>Afforested areas as referred to in Article 32(2)(b)(ii) (per m<span>2</span>)</p></td><td><p>n.a.</p></td><td><p>1</p></td><td><p>1 m<span>2</span></p></td></tr><tr><td><p>Areas with catch crops or green cover (per 1 m<span>2</span>)</p></td><td><p>n.a.</p></td><td><p>0,3</p></td><td><p>0,3 m<span>2</span></p></td></tr><tr><td><p>Areas with nitrogen fixing crops (per 1 m<span>2</span>)</p></td><td><p>n.a.</p></td><td><p>0,3</p></td><td><p>0,3 m<span>2</span></p></td></tr></tbody></table>
<note>
( 1 ) OJ L 347, 20.12.2013, p. 608.
( 2 ) Council Regulation (EC) No 73/2009 of 19 January 2009 establishing common rules for direct support schemes for farmers under the common agricultural policy and establishing certain support schemes for farmers, amending Regulations (EC) No 1290/2005, (EC) No 247/2006, (EC) No 378/2007 and repealing Regulation (EC) No 1782/2003 (OJ. L 30, 31.1.2009, p. 16).
( 3 ) Commission Regulation (EC) No 1120/2009 of 29 October 2009 laying down detailed rules for the implementation of the single payment scheme provided for in Title III of Council Regulation (EC) No 73/2009 establishing common rules for direct support schemes for farmers under the common agricultural policy and establishing certain support schemes for farmers (OJ L 316, 2.12.2009, p. 1).
( 4 ) Commission Regulation (EC) No 1121/2009 of 29 October 2009 laying down detailed rules for the application of Council Regulation (EC) No 73/2009 as regards the support schemes for farmers provided for in Titles IV and V thereof (OJ L 316, 2.12.2009, p. 27).
( 5 ) Regulation (EU) No 1306/2013 of the European Parliament and of the Council of 17 December 2013 on the financing, management and monitoring of the common agricultural policy and repealing Council Regulations (EEC) No 352/78, (EC) No 165/94, (EC) No 2799/98, (EC) No 814/2000, (EC) No 1290/2005 and (EC) No 485/2008 (OJ L 347, 20.12.2013, p. 549).
( 6 ) See judgement of the Court of 25 November 1986 in joint Cases 201/85 and 202/85, Klensch , [1986] ECR 3477, paragraph 10.
( 7 ) OJ L 336, 23.12.1994, p. 22.
( 8 ) Commission Delegated Regulation (EU) No 640/2014 of 11 March 2014 supplementing Regulation (EU) No 1306/2013 of the European Parliament and of the Council with regard to the integrated administration and control system and conditions for refusal or withdrawal of payments and administrative penalties applicable to direct payments, rural development support and cross compliance. (See page 48 of this Official Journal).
( 9 ) See judgement of the Court of 14 October 2010 in Case C-61/09, Landkreis Bad Dürkheim [2010] ECR I-09763, paragraph 50 et seq.
( 10 ) Commission Regulation (EC) No 1122/2009 of 30 November 2009 laying down detailed rules for the implementation of Council Regulation (EC) No 73/2009 as regards cross-compliance, modulation and the integrated administration and control system, under the direct support schemes for farmers provided for that Regulation, as well as for the implementation of Council Regulation (EC) No 1234/2007 as regards cross-compliance under the support scheme provided for the wine sector (OJ L 316, 2.12.2009, p. 65).
( 11 ) Regulation (EU) No 1305/2013 of the European Parliament and of the Council of 17 December 2013 on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and repealing Council Regulation (EC) No 1698/2005 (OJ L 347, 20.12.2013, p. 487).
( 12 ) Council Directive 91/676/EEC of 12 December 1991 concerning the protection of waters against pollution caused by nitrates from agricultural sources (OJ L 375, 31.12.1991, p. 1).
( 13 ) Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy (OJ L 327, 22.12.2000, p. 1).
( 14 ) Green Infrastructure (GI) — Enhancing Europe’s Natural Capital. COM(2013) 249 final, 6.5.2013.
( 15 ) See judgement of the Court of 25 October 2012 in Case C-592/11, Anssi Ketelae , not yet published in the ECR, paragraph 56.
( 16 ) OJ L 147, 18.6.1993, p. 26.
( 17 ) Council Directive 92/43/EEC of 21 May 1992 on the conservation of natural habitats and of wild fauna and flora (OJ L 206, 22.7.1992, p. 7).
( 18 ) Directive 2009/147/EC of the European Parliament and of the Council of 30 November 2009 on the conservation of wild birds (OJ L 20, 26.1.2010, p. 7).
( 19 ) Council Directive 2002/53/EC of 13 June 2002 on the common catalogue of varieties of agricultural plant species (OJ L 193, 20.7.2002, p. 1).
( 20 ) Council Directive 2002/57/EC of 13 June 2002 on the marketing of seed of oil and fibre plants (OJ L 193, 20.7.2002, p. 74).
( 21 ) Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93 (OJ L 218, 13.8.2008, p. 30).
( 22 ) Directive 2004/35/CE of the European Parliament and of the Council of 21 April 2004 on environmental liability with regard to the prevention and remedying of environmental damage (OJ L 143, 30.4.2004, p. 56).
( 23 ) Council Regulation (EC) No 834/2007 of 28 June 2007 on organic production and labelling of organic products and repealing Regulation (EEC) No 2092/91 (OJ L 189, 20.7.2007, p. 1).
( 24 ) Council Regulation (EC) No 1698/2005 of 20 September 2005 on support for rural development by the European Agricultural Fund for Rural Development (EAFRD)(OJ L 277, 21.10.2005, p. 1).
( 25 ) Regulation (EC) No 1760/2000 of the European Parliament and of the Council of 17 July 2000 establishing a system for the identification and registration of bovine animals and regarding the labelling of beef and beef products and repealing Council Regulation (EC) No 820/97 (OJ L 204, 11.8.2000, p. 1).
( 26 ) Council Regulation (EC) No 21/2004 of 17 December 2003 establishing a system for the identification and registration of ovine and caprine animals and amending Regulation (EC) No 1782/2003 and Directives 92/102/EEC and 64/432/EEC (OJ L 5, 9.1.2004, p. 8).
( 27 ) Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/01 and (EC) No 1234/2007 (OJ L 347, p. 671).
( 28 ) The conversion and weighting factors shall also apply to features included in the equivalent practices as listed in Section III of Annex IX that are the same as the features listed in this Annex and as specified in Article 45 of Commission Delegated Regulation (EU) No 639/2014 of 11 March 2014 supplementing Regulation (EU) No 1307/2013 of the European Parliament and of the Council establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy and amending Annex X to that Regulation (OJ L 181, 20.6.2014, p. 1) for the sole purpose of the calculation of the ecological focus area of the holding as referred to in Article 46(1) of this Regulation.’
</note> | ENG | 02014R0639-20160101 |
02022R0926 — EN — 24.11.2023 — 001.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
<table><col/><col/><tr><td><p><a>►B</a></p></td><td><p> COMMISSION IMPLEMENTING REGULATION (EU) 2022/926</p><p>of 15 June 2022</p><p><a>imposing a definitive anti-dumping duty on imports of tubes and pipes of ductile cast iron (also known as spheroidal graphite cast iron) originating in India following an expiry review pursuant to Article 11(2) of Regulation (EU) 2016/1036 of the European Parliament and of the Council</a></p><p>(OJ L 161 16.6.2022, p. 1)</p></td></tr></table>
Amended by:
<table><col/><col/><col/><col/><col/><tr><td><p> </p></td><td><p> </p></td><td><p>Official Journal</p></td></tr><tr><td><p>  No</p></td><td><p>page</p></td><td><p>date</p></td></tr><tr><td><p><a>►M1</a></p></td><td><p><a> COMMISSION IMPLEMENTING REGULATION (EU) 2023/2605 of 22 November 2023</a></p></td><td><p>  L </p></td><td><p>1</p></td><td><p>23.11.2023</p></td></tr></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2022/926
of 15 June 2022
imposing a definitive anti-dumping duty on imports of tubes and pipes of ductile cast iron (also known as spheroidal graphite cast iron) originating in India following an expiry review pursuant to Article 11(2) of Regulation (EU) 2016/1036 of the European Parliament and of the Council
Article 1
1. A definitive anti-dumping duty is hereby imposed on imports of tubes and pipes of ductile cast iron (also known as spheroidal graphite cast iron), with the exclusion of tubes and pipes of ductile cast iron without internal and external coating (‘bare pipes’), currently falling under CN codes ex 7303 00 10 (TARIC code 7303001010 ) and ex 7303 00 90 (TARIC code 7303009010 ) and originating in India.
2. The rates of the definitive anti-dumping duty applicable to the net, free-at-Union-frontier price, before duty, of the product described in paragraph 1 and produced by the companies listed below shall be as follows:
<table><col/><col/><col/><tbody><tr><td><p>Company</p></td><td><p>Definitive anti-dumping duty (%)</p></td><td><p>TARIC additional code</p></td></tr><tr><td><p>Jindal Saw Limited</p></td><td><p>3,0</p></td><td><p>C054</p></td></tr><tr><td><p>Electrosteel Castings Ltd</p></td><td><p>7</p></td><td><p>C055</p></td></tr><tr><td><p>All other companies</p></td><td><p>14,1</p></td><td><p>C999</p></td></tr></tbody></table>
3. The application of the individual anti-dumping duty rates specified for the companies mentioned in paragraph 2 shall be conditional upon presentation to the Member States’ customs authorities of a valid commercial invoice, on which shall appear a declaration dated and signed by an official of the entity issuing such invoice, identified by his/her name and function, drafted as follows: ‘I, the undersigned, certify that the (volume) of tubes and pipes of ductile cast iron (also known as spheroidal graphite cast iron) sold for export to the European Union covered by this invoice was manufactured by (company name and address) (TARIC additional code) in India. I declare that the information provided in this invoice is complete and correct.’ If no such invoice is presented, the duty applicable to all other companies shall apply.
4. Unless otherwise specified, the provisions in force concerning customs duties shall apply.
Article 2
This Regulation shall enter into force on the 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. | ENG | 02022R0926-20231124 |
<table><col/><col/><col/><col/><tbody><tr><td><p>22.6.2021   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 222/20</p></td></tr></tbody></table>
COUNCIL DECISION (CFSP) 2021/1010
of 21 June 2021
amending Decision 2014/386/CFSP concerning restrictive measures in response to the illegal annexation of Crimea and Sevastopol
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Article 29 thereof,
Having regard to the proposal from the High Representative of the Union for Foreign Affairs and Security Policy,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 23 June 2014, the Council adopted Decision 2014/386/CFSP <a>(<span>1</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The Council does not recognise and continues to condemn the illegal annexation of Crimea and Sevastopol by the Russian Federation and will remain committed to fully implementing its non-recognition policy.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>On the basis of a review of Decision 2014/386/CFSP, the restrictive measures should be renewed until 23 June 2022.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Decision 2014/386/CFSP should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS DECISION:
Article 1
In Article 5 of Decision 2014/386/CFSP, the second paragraph is replaced by the following:
‘This Decision shall apply until 23 June 2022.’.
Article 2
This Decision shall enter into force on the day following that of its publication in the Official Journal of the European Union .
Done at Luxembourg, 21 June 2021.
For the Council
The President
J. BORRELL FONTELLES
<note>
( 1 ) Council Decision 2014/386/CFSP of 23 June 2014 concerning restrictive measures in response to the illegal annexation of Crimea and Sevastopol ( OJ L 183, 24.6.2014, p. 70 ).
</note> | ENG | 32021D1010 |
<table><tr><td><p><span><img/></span></p></td><td><p><span>EUROPEAN COMMISSION</span></p></td></tr></table>
Brussels, 6.3.2018
C(2018) 1498 final
<table><tr><td><p/></td><td><p><span>To the notifying parties:</span></p></td></tr></table>
Subject : Case M.8714 - P7S1 / TF1 / MEDIASET / CHANNEL 4 GROUP / EBX Commission decision pursuant to Article 6(1)(b) of Council Regulation (EC) No 139/2004 1 and Article 57 of the Agreement on the European Economic Area 2
Dear Sir or Madam,
1. On 2 February 2018 , the European Commission received notification of a proposed concentration pursuant to Article 4 of the Merger Regulation by which ProSiebenSat.1 Media SE, Television Francaise 1 S.A., Mediaset S.p.A., and Channel Four Television Corporation acquire within the meaning of Article 3(1)(b) and 3(4) of the Merger Regulation joint control of the whole of European Broadcaster Exchange (EBX) Limited by way of purchase of shares . 3
2. The business activities of the undertakings concerned are:
- for ProSiebenSat.1 Media SE : a holding company of one of Germany's major free television networks, also active in the areas of multimedia and merchandising,
- for Television Francaise 1 S.A. : a holding company of one of France's major free and pay television networks, engaged in various business activities related to the audio-visual sector,
- for Mediaset S.p.A . : a holding company of one of Italy's and Spain's major free and pay television networks, engaged in various business activities related to the audio-visual sector,
- for Channel 4: a holding company of one of United Kingdom's major television networks, a publicly owned and commercially funded public service broadcaster,
- for EBX: a company active in the international marketing and sale of video advertising inventory served before, during, and after video content available on digital media such as websites and apps on smartphones or smart-TVs.
3. After examination of the notification, the European Commission has concluded that the notified operation falls within the scope of the Merger Regulation and of paragraph 5 ( a ) of the Commission Notice on a simplified procedure for treatment of certain concentrations under Council Regulation (EC) No 139/2004 . 4
4. For the reasons set out in the Notice on a simplified procedure, the European Commission has decided not to oppose the notified operation and to declare it compatible with the internal market and with the EEA Agreement. This decision is adopted in application of Article 6(1)(b) of the Merger Regulation and Article 57 of the EEA Agreement .
For the Commission
( S igned)
Johannes LAITENBERGER Director - General
<note>
(1) OJ L 24, 29.1.2004, p. 1 ( the ' Merger Regulation ' ). With effect from 1 December 2009, the Treaty on the Functioning of the European Union ( ' TFEU ' ) has introduced certain changes, such as the replacement of ' Community ' by ' Union ' and ' common market ' by ' internal market ' . The terminology of the TFEU will be used throughout this decision.
(2) OJ L 1, 3.1.1994, p. 3 ( the ' EEA Agreement ' ).
(3) Publication in the Official Journal of the European Union No C 53 , 13.02.2018 , p. 5 .
(4) OJ C 366, 14.12.2013, p. 5 .
</note> | ENG | 32018M8714 |
<table><col/><col/><col/><col/><tbody><tr><td><p>18.7.2017   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 185/29</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2017/1329
of 17 July 2017
amending Annex I to Council Regulation (EC) No 32/2000 as regards the conditions for using a tariff quota of the Union bound in GATT for food preparations not elsewhere specified or included, allocated to the United States of America
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EC) No 32/2000 of 17 December 1999 opening and providing for the administration of Community tariff quotas bound in GATT and certain other Community tariff quotas and establishing detailed rules for adjusting the quotas, and repealing Council Regulation (EC) No 1808/95 ( 1 ) , and in particular the first indent of Article 9(1)(b) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>As a result of an agreement between the Union and the United States of America concluded by virtue of Council Decision 2013/125/EU <a>(<span>2</span>)</a>, Commission Implementing Regulation (EU) No 624/2013 <a>(<span>3</span>)</a> amended Annex I to Regulation (EC) No 32/2000 with effect from 1 July 2013 to open a new tariff quota of 1 550 tonnes bound in GATT for imports in the Union of food preparations not elsewhere specified or included of CN code 2106 90 98 originating in the United States of America.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>As country-specific tariff quotas are allocated on the basis of the origin of goods, it was considered appropriate to introduce an obligation in Annex I to Regulation (EC) No 32/2000 to present a certificate of origin, in accordance with the applicable Union legislation on non-preferential origin, whenever a declaration for release for free circulation is made in respect of food preparations intended to benefit from the new tariff quota.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>However, by letter of 26 April 2016, the United States of America asked for this obligation to be removed. Their letter explains that the products benefiting from the tariff quota are exported from across the United States and even though the task of issuing certificates of origin is decentralised, the resources necessary to comply with such a paper-based certification system make this task prohibitively burdensome.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>With regard to the risk that products not originating in the United States may be imported under the tariff quota if the obligation is removed, Article 61 of Regulation (EU) No 952/2013 <a>(<span>4</span>)</a> already allows customs authorities to require declarants to prove the origin of goods by a means of proof other than presentation of a certificate of origin in accordance with Articles 57, 58 and 59 of Commission Implementing Regulation (EU) 2015/2447 <a>(<span>5</span>)</a>. The correct application of the rules can thus be ensured even if the obligation to provide a certificate of origin is removed to reduce the administrative burden on exporters.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>In consequence, given these exceptional circumstances, it is appropriate to allow importers of those products to use the tariff quota without their having to provide a certificate of origin.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Regulation (EC) No 32/2000 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Customs Code Committee,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
In Annex I to Regulation (EC) No 32/2000, in the row for serial number 09.0096, in the column headed ‘Rate of duty (%)’, the footnote with the text ‘The use of the tariff quota shall be subject to the presentation, in accordance with Articles 55 to 65 of Regulation (EEC) No 2454/93, of a certificate of origin issued by the competent authorities of the United States of America’ is deleted.
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, 17 July 2017.
For the Commission
The President
Jean-Claude JUNCKER
<note>
( 1 ) OJ L 5, 8.1.2000, p. 1 .
( 2 ) Council Decision 2013/125/EU of 25 February 2013 on the conclusion of the Agreement in the form of an Exchange of Letters between the European Union and the United States of America pursuant to Article XXIV:6 and Article XXVIII of the General Agreement on Tariffs and Trade (GATT) 1994 relating to the modification of concessions in the schedules of the Republic of Bulgaria and Romania in the course of their accession to the European Union ( OJ L 69, 13.3.2013, p. 4 ).
( 3 ) Commission Implementing Regulation (EC) No 624/2013 of 27 June 2013 amending Annex I to Council Regulation (EC) No 32/2000 as regards a new tariff quota of the Union bound in GATT for food preparations not elsewhere specified or included, allocated to the United States of America ( OJ L 177, 28.6.2013, p. 21 ).
( 4 ) Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code ( OJ L 269, 10.10.2013, p. 1 ).
( 5 ) 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 ).
</note> | ENG | 32017R1329 |
<table><col/><col/><col/><col/><tbody><tr><td><p>16.12.2015   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 330/26</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2015/2344
of 15 December 2015
laying down implementing technical standards with regard to currencies with constraints on the availability of liquid assets in accordance with Regulation (EU) No 575/2013 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 419(4) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 412(1) of Regulation (EU) No 575/2013 sets out a liquidity coverage requirement, establishing that institutions must hold liquid assets to ensure they maintain levels of liquidity buffers which are adequate to face any possible imbalance between liquidity inflows and outflows.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Commission Delegated Regulation (EU) 2015/61<a> (<span>2</span>)</a>, adopted pursuant to Article 460 of Regulation (EU) No 575/2013, specifies in detail the liquidity coverage requirement</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Where the justified needs for liquid assets in the light of the liquidity coverage requirement exceed the availability of those liquid assets in a currency, one or more derogations are to apply for that currency, as set out in Article 419(2) of Regulation (EU) No 575/2013.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>It is therefore necessary to identify the currencies which should benefit from a derogation and the extent to which such a derogation should be available.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>The assessment by the European Banking Authority (EBA) of justified needs was based on the best available data that could be supplied by competent authorities on the liquid assets in a currency and the amount of liquid assets required by other investors and therefore not available to meet the needs of institutions for liquid assets.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>EBA has identified the Norwegian krone (NOK) as a currency with constraints on the availability of liquid assets. That identification was made before the entry into force of Delegated Regulation (EU) 2015/61, where EBA assessed the availability of liquid assets in accordance with the international standards adopted by the Basel Committee on Banking Supervision. The assessment examined the amounts of liquid assets not required by entities which are not subject to Regulation (EU) No 575/2013 and compared this to the needs of institutions, based on their estimated weighted net cash outflows over the following 30 days, taking into account the cap on inflows, factors likely to affect the shortage of liquid assets over a three to five year period and a target of 110 % for the liquidity coverage requirement.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The EBA assessment concluded that the justified needs for liquid assets exceeded the availability of liquid assets in NOK. Sovereign debt is one of the most liquid assets, but in the case of Norway the supply of Norwegian government debt is relatively constrained because of the favourable budgetary position. While international institutions and multinational development banks have also issued large amounts of bonds in NOK, these issues are predominantly private placements held by overseas investors and were therefore not considered by EBA as liquid and available for institutions within the scope of Regulation (EU) No 575/2013. Finally, the EBA assessment was based on the international liquidity standards adopted by the Basel Committee on Banking Supervision whilst the assessement whether the justified needs for liquid assets significantly exceed the availability of liquid assets in a currency should be based upon the definitive list of liquid assets established by Delegated Regulation (EU) 2015/61. The latter establishes a broader range of liquid assets, in particular in relation to covered bonds. However, this difference is insufficient to change the EBA conclusion that the justified needs for liquid assets exceeded the availability of liquid assets in NOK.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>EBA has conducted open public consultations on the draft implementing technical standard on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Banking Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1093/2010 of the European Parliament and of the Council. In accordance with the procedure set out in Article 15 of Regulation (EU) No 1093/2010 of the European Parliament and of the Council<a> (<span>3</span>)</a>, the Commission endorsed with amendments the draft implementing technical standard submitted by EBA after having sent the draft implementing technical standard back to EBA explaining the reasons for the amendments. The EBA provided a formal opinion supporting those amendments and confirming that the amount by which justified needs for liquid assets exceed availability of liquid assets in NOK as proposed in its original draft implementing technical standard should not be amended.</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The justified needs for liquid assets in the light of the requirement in Article 412 of Regulation (EU) No 575/2013 shall be deemed to exceed the availability of those liquid assets in the currencies specified in the Annex to this Regulation by the percentage specified in that Annex.
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, 15 December 2015.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 176, 27.6.2013, p. 1 .
( 2 ) Commission Delegated Regulation (EU) 2015/61 of 10 October 2014 to supplement Regulation (EU) No 575/2013 of the European Parliament and the Council with regard to liquidity coverage requirement for credit institutions ( OJ L 11, 17.1.2015, p. 1 ).
( 3 ) Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC ( OJ L 331, 15.12.2010, p. 12 ).
ANNEX
List of currencies with constraints on the availability of liquid assets
<table><col/><col/><col/><tbody><tr><td><p>No.</p></td><td><p>Currency</p></td><td><p>Amount by which justified needs for liquid assets exceed availability</p></td></tr><tr><td><p>1.</p></td><td><p>Norwegian Krone (NOK)</p></td><td><p>63 %</p></td></tr></tbody></table> | ENG | 32015R2344 |
<table><col/><col/><col/><col/><tbody><tr><td><p>2.7.2019   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 177/66</p></td></tr></tbody></table>
COMMISSION DELEGATED REGULATION (EU) 2019/1124
of 13 March 2019
amending Delegated Regulation (EU) 2019/1122 as regards the functioning of the Union Registry under Regulation (EU) 2018/842 of the European Parliament and of the Council
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2018/842 of the European Parliament and of the Council of 30 May 2018 on binding annual greenhouse gas emission reductions by Member States from 2021 to 2030 contributing to climate action to meet commitments under the Paris Agreement and amending Regulation (EU) No 525/2013 ( 1 ) , and in particular Article 12(1) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Commission Delegated Regulation (EU) 2019/1122 of 12 March 2019 supplementing Directive 2003/87/EC of the European Parliament and of the Council as regards the functioning of the Union Registry <a>(<span>2</span>)</a> lays down the rules for the functioning of the Union Registry, established under Directive 2003/87/EC of the European Parliament and the Council <a>(<span>3</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>All operations required in relation to the compliance period between 2013 and 2020 should be completed in accordance with the rules laid down in Commission Regulation (EU) No 389/2013 <a>(<span>4</span>)</a>. As Decision No 406/2009/EC of the European Parliament and of the Council <a>(<span>5</span>)</a> lays down the rules for the compliance period from 2013-2020, including on the use of international credits generated pursuant to the Kyoto Protocol, that Regulation will continue to apply to those operations until 1 July 2023, which is the end of the additional period for fulfilling commitments under the second commitment period of the Kyoto Protocol. In order to provide clarity about the rules applying to all operations related to the compliance period between 2013 and 2020 in accordance with Decision No 406/2009/EC, on the one hand, and the rules applying to all operations related to the compliance period between 2021 and 2030 in accordance with Regulation (EU) 2018/842, on the other hand, the scope of application of those provisions of Regulation (EU) No 389/2013 which continue to apply, after the entry into force of the present Regulation, for the operations related to the compliance period between 2013 and 2020 will be limited to that purpose.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Regulation (EU) 2018/842 sets obligations for Member States with respect to their minimum contributions for the period from 2021 to 2030 to fulfilling the Union's target of reducing its greenhouse gas emissions by 30 % below 2005 levels in 2030.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>Article 12 of Regulation (EU) 2018/842 provides that the accurate accounting of transactions under that Regulation is to be ensured in the Union Registry.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>Annual emission allocation units should be issued in the Member States Compliance Accounts for compliance with obligations under Regulation (EU) 2018/842 (‘ESR Compliance Accounts’) established in the Union Registry pursuant to Delegated Regulation (EU) 2019/1122, in quantities determined pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842. Annual emission allocation units should only be held in in the ESR Compliance Accounts in the Union Registry.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>The Union Registry should enable the implementation of the compliance cycle under Regulation (EU) 2018/842 by providing the processes for the introduction in the ESR Compliance Accounts of the annual reviewed greenhouse gas emission data, for the determination of the compliance status figure for each Member State ESR Compliance Account for each year of a given compliance period, and, where necessary, for the application of the factor under Article 9(1)(a) of Regulation (EU) 2018/842.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>The Union Registry should also ensure the accurate accounting of transactions pursuant to Articles 5, 6, 7 and 11 of Regulation (EU) 2018/842.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Delegated Regulation (EU) 2019/1122 should therefore be amended accordingly,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Delegated Regulation (EU) 2019/1122 is amended as follows:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>in citations, the following text is added:</p><p>‘Having regard to Regulation (EU) 2018/842 of the European Parliament and of the Council of 30 May 2018 on binding annual greenhouse gas emission reductions by Member States from 2021 to 2030 contributing to climate action to meet commitments under the Paris Agreement and amending Regulation (EU) No 525/2013<a> (<span>*1</span>)</a>, and in particular Article 12(1) thereof,</p><p><a>(<span>*1</span>)</a>  <a>OJ L 156, 19.6.2018, p. 26</a>.’;"</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>in Article 2, the following paragraph is added:</p><p>‘This Regulation also applies to annual emission allocation units (AEA).’;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Article 3 is amended as follows:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>point (12) is replaced by the following:</p><table><col/><col/><tbody><tr><td><p>‘(12)</p></td><td><p>“transaction” means a process in the Union Registry that involves the transfer of an allowance or an annual emission allocation unit from one account to another account;’</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the following points (23) and (24) are added:</p><table><col/><col/><tbody><tr><td><p>‘(23)</p></td><td><p>“ESR compliance period” means the period from 1 January 2021 to 31 December 2030 during which the Member States are to limit their greenhouse gas emissions pursuant to Regulation (EU) 2018/842;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(24)</p></td><td><p>“annual emission allocation unit” means a subdivision of a Member State's annual emission allocation determined pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842 equal to 1 tonne of carbon dioxide equivalent;’;</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>in Article 4, paragraph 2 is replaced by the following:</p><div><p>‘2.   Member States shall use the Union Registry for the purposes of meeting their obligations under Article 19 of Directive 2003/87/EC and Article 12 of Regulation (EU) 2018/842. The Union Registry shall provide national administrators and account holders with the processes set out in this Regulation.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>in Article 7, paragraph 5 is replaced by the following:</p><div><p>‘5.   The central administrator, the competent authorities and national administrators shall only perform processes necessary to carry out their respective functions in accordance with Directive 2003/87/EC and Regulation (EU) 2018/842.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Article 12 is replaced by the following:</p><div><p>‘Article 12</p><p>Opening accounts administered by the central administrator</p><div><p>1.   The central administrator shall open all ETS management accounts in the Union Registry, the EU ESR AEA Total Quantity Account, the Deletion Account under Regulation (EU) 2018/842 (‘ESR Deletion Account’), the EU Annex II AEA Total Quantity Account, the EU ESR Safety Reserve Account and one ESR Compliance Account for each Member State for each year of the compliance period.</p></div><div><p>2.   The national administrator designated pursuant to Article 7(1) shall act as authorised representative of the ESR Compliance Accounts.’;</p></div></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>the following Article 27a is inserted:</p><div><p>‘Article 27a</p><p>Closure of the ESR Compliance Account</p><p>The central administrator shall close an ESR Compliance Account not earlier than one month after the determination of the compliance status figure for that account pursuant to Article 59f, and after giving prior notice to the account holder.</p><p>On closure of the ESR Compliance Account, the central administrator shall ensure that the Union Registry transfers the AEAs remaining in the ESR Compliance Account to the ESR Deletion Account.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>the following Title IIA is inserted:</p><p>‘TITLE IIA</p><p><span>SPECIFIC PROVISIONS FOR ACCOUNTING TRANSACTIONS UNDER REGULATIONS (EU) 2018/842 AND (EU) 2018/841</span></p><p><span>CHAPTER 1</span></p><p><span><span>Transactions under Regulation (EU) 2018/842</span></span></p><div><p>Article 59a</p><p>Creation of AEAs</p><div><p>1.   At the beginning of the compliance period, the central administrator shall create:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>in the EU ESR AEA Total Quantity Account a quantity of AEAs equal to the sum of the annual emission allocations for all Member States for all the years of the compliance period as set out in Article 10(2) of Regulation (EU) 2018/842 and in the Decisions adopted pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in the EU Annex II AEA Total Quantity Account a quantity of AEAs equal to the sum of all annual emission allocations for all eligible Member States for all the years of the compliance period as set out in the Decisions adopted pursuant to Articles 4(3) and (4) of Regulation (EU) 2018/842 based on the percentages notified by Member States under Article 6(3) of that Regulation.</p></td></tr></tbody></table></div><div><p>2.   The central administrator shall ensure that the Union Registry assigns each AEA a unique unit identification code upon its creation.</p></div></div><div><p>Article 59b</p><p>Annual emission allocation units</p><p>AEAs shall be valid for the purpose of meeting the Member States' greenhouse gas emissions limitation requirements pursuant to Article 4 of Regulation (EU) 2018/842 and their commitments under Article 4 of Regulation (EU) 2018/841. They shall be transferable only pursuant to conditions laid down in Article 5(1) to (5), Article 6, Article 9(2) and Article 11 of Regulation (EU) 2018/842 and Article 12(1) of Regulation (EU) 2018/841.</p></div><div><p>Article 59c</p><p>Transfer of AEAs to each ESR Compliance Account</p><div><p>1.   At the beginning of the compliance period, the central administrator shall transfer a quantity of AEAs corresponding to the annual emission allocation for each Member State for each year as set out in Article 10(2) of Regulation (EU) 2018/842 and in the Decisions adopted pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842 from the EU ESR AEA Total Quantity Account into the relevant ESR Compliance Account.</p></div><div><p>2.   Where on the closure of the Member State ESD Compliance Account for year 2020 pursuant to Article 31 of Regulation (EU) No 389/2013, the total quantity of greenhouse gas emissions expressed in tonnes of carbon dioxide equivalent in that ESD Compliance Account exceeds the sum of all AEAs, international credits, tCERs and lCERs, the amount corresponding to the quantity of emissions in excess, multiplied by the abatement factor specified in Article 7(1)(a) of Decision 406/2009/EC, shall be deducted from the quantity of the AEAs transferred to the Member State ESR Compliance Account for year 2021 pursuant to paragraph 1 of this Article.</p></div></div><div><p>Article 59d</p><p>Introduction of the relevant greenhouse gas emissions data</p><div><p>1.   In a timely manner, upon availability of the relevant reviewed greenhouse gas emissions data for a given year of the compliance period for the majority of Member States, the central administrator shall enter the total quantity of the relevant reviewed greenhouse gas emissions expressed in tonnes of carbon dioxide equivalent for each Member State in its ESR Compliance Account for that given year of the compliance period.</p></div><div><p>2.   The central administrator shall also enter the sum of the relevant reviewed greenhouse gas emissions data for all Member States for a given year in the EU ESR AEA Total Quantity Account.</p></div></div><div><p>Article 59e</p><p>Calculation of the balance of the ESR Compliance Account</p><div><p>1.   Upon introduction of the relevant greenhouse gas emissions data pursuant to Article 59d, the central administrator shall ensure that the Union Registry calculates the balance of the respective ESR Compliance Account by subtracting the total quantity of reviewed greenhouse gas emissions expressed in tonnes of carbon dioxide equivalent in the respective ESR Compliance Account from the sum of all AEAs in the same ESR Compliance Account.</p></div><div><p>2.   The central administrator shall ensure that the Union Registry displays the balance of each ESR Compliance Account.</p></div></div><div><p>Article 59f</p><p>Determination of the compliance status figures</p><div><p>1.   The central administrator shall ensure that 6 months after the introduction of the relevant greenhouse gas emissions data pursuant to Article 59d of this Regulation for the year 2025 and 2030 the Union Registry determines the compliance status figure for each ESR Compliance Account for the year 2021 and 2026 by calculating the sum of all AEAs, credits pursuant to Article 24a of Directive 2003/87/EC and LMUs less the total quantity of reviewed greenhouse gas emissions expressed in tonnes of carbon dioxide equivalent in the same ESR Compliance Account.</p></div><div><p>2.   The central administrator shall ensure that the Union Registry determines the compliance status figure for each ESR Compliance Account for each of the years 2022 to 2025 and 2027 to 2030 by calculating the sum of all AEAs, credits pursuant to Article 24a of Directive 2003/87/EC and LMUs less the total quantity of reviewed greenhouse gas emissions expressed in tonnes of carbon dioxide equivalent in the same ESR Compliance Account at a date falling one month following the determination of the compliance status figure for the previous year.</p><p>The central administrator shall ensure that the Union Registry records the compliance status figure for each ESR Compliance Account.</p></div></div><div><p>Article 59g</p><p>Application of Article 9(1)(a) and (b) of Regulation (EU) 2018/842</p><div><p>1.   Where the compliance status figure determined pursuant to Article 59f of this Regulation is negative, the central administrator shall ensure that the Union Registry transfers the exceeding quantity of reviewed greenhouse gas emissions expressed in tonnes of carbon dioxide equivalent multiplied by the factor of 1,08 specified in Article 9(1)(a) of Regulation (EU) 2018/842 from a Member State's ESR Compliance Account for the given year to its ESR Compliance Account for the next year.</p></div><div><p>2.   At the same time, the central administrator shall block the ESR Compliance Accounts corresponding to the remaining years of the compliance period, of the Member State concerned.</p></div><div><p>3.   The central administrator shall change the ESR Compliance Account status from blocked to open for all the remaining years of the compliance period as of the year for which the compliance status figure determined pursuant to Article 59f is zero or positive.</p></div></div><div><p>Article 59h</p><p>Use of flexibility laid down in Article 6 of Regulation (EU) 2018/842</p><p>The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs from the EU Annex II AEA Total Quantity Account to that Member State's ESR Compliance Account for a given year of the compliance period. Such transfer shall not be carried out in any of the following cases:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the Member State's request is submitted before the calculation of the balance of the ESR Compliance Account or after the determination of the compliance status figure for the given year;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the Member State that made the request is not listed in Annex II to Regulation (EU) 2018/842;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the requested amount exceeds the total remaining balance of the Annex II to Regulation (EU) 2018/842 amount available for that Member State as set out in the Decisions adopted pursuant to Articles 4(3) and (4) of Regulation (EU) 2018/842 and taking into account any downward revision of the amount pursuant to the second subparagraph of Article 6(3) of that Regulation;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the requested amount exceeds the quantity of the excess emissions for the given year, calculated taking into account the quantity of AEAs transferred from that Member State's ESR Compliance Account for a given year to its LULUCF Compliance Account pursuant to Articles 59x(3) or 59za(2).</p></td></tr></tbody></table></div><div><p>Article 59i</p><p>Borrowing of AEAs</p><p>The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs to that Member State's ESR Compliance Account for a given year of the compliance period from its ESR Compliance Account for the following year of the compliance period. Such transfer shall not be carried out in any of the following cases:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the Member State's request is submitted before the calculation of the balance of the ESR Compliance Account or after the determination of the compliance status figure for the given year;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the requested amount exceeds 10 per cent of the following year's annual emission allocation as determined pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842 in respect of the years 2021 to 2025 and 5 per cent of the following year's annual emission allocation as determined pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842 in respect of the years 2026 to 2029.</p></td></tr></tbody></table></div><div><p>Article 59j</p><p>Banking of AEAs</p><p>The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs from that Member State's ESR Compliance Account for a given year of the compliance period to its ESR Compliance Account for any of the following years of the compliance period. Such transfer shall not be carried out in any of the following cases:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the Member State's request is submitted before the calculation of the balance of the ESR Compliance Account for the given year;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in respect of the year 2021, the requested amount exceeds the positive balance of the account as calculated pursuant to Article 59e;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>in respect of the years 2022 to 2029, the requested amount exceeds the positive balance of the account as calculated pursuant to Article 59e of this Regulation or 30 % of that Member State's' cumulative annual emission allocations up to that year, as determined pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the status of the ESR Compliance Account initiating the transfer does not allow the transfer.</p></td></tr></tbody></table></div><div><p>Article 59k</p><p>Use of Land Mitigation Units</p><p>The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of Land Mitigation Units from a Member State's LULUCF Compliance Account to that Member State's ESR Compliance Account. Such transfer shall not be carried out in any of the following cases:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the requested amount exceeds the available quantity of LMUs eligible for transfers into the ESR Compliance Account pursuant to Article 59x or the remaining amount;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the requested amount exceeds the available amount according to Annex III to Regulation (EU) 2018/842 or the remaining amount;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the requested amount exceeds the quantity of the emissions for the given year less the quantity of AEAs for the given year as set out in Article 10(2) of Regulation (EU) 2018/842 and the Decisions adopted pursuant to Article 4(3) and Article 10 of that Regulation, and less the sum of all the AEAs banked from previous years to the current or any following year pursuant to Article 59j of this Regulation;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>that Member State has not submitted its report in accordance with the second subparagraph of Article 7(1) of Regulation (EU) No 525/2013 on its intention to use of the flexibility set out in Article 7 of Regulation (EU) 2018/842;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>that Member State has not complied with the Regulation (EU) 2018/841;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>the transfer is initiated before the calculation of the balance of the LULUCF Compliance Account of that MS or after the determination of the compliance status figure for the given compliance period pursuant to Articles 59u and 59za;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>the transfer is initiated before the calculation of the balance of the ESR Compliance Account of that MS or after the determination of the compliance status figure for the given year.</p></td></tr></tbody></table></div><div><p>Article 59l</p><p><span>Ex ante</span> transfers of a Member State's annual emission allocation</p><p>The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs from the ESR Compliance Account for a given year of that Member State to the ESR Compliance Account of another Member State. Such transfer shall not be carried out in any of the following cases:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>in respect of the years 2021 to 2025, the requested amount exceeds five per cent of the given year's annual emission allocation of the initiating Member State as determined pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842 or the remaining amount available;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>in respect of the years 2026 to 2030, the requested amount exceeds ten per cent of the given year's annual emission allocation of the initiating Member State as determined pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842 or the remaining amount available;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the Member State has requested the transfer to an ESR Compliance Account for a year before the given year;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the status of the ESR Compliance Account initiating the transfer does not allow the transfer.</p></td></tr></tbody></table></div><div><p>Article 59m</p><p>Transfers after the calculation of the balance of the ESR Compliance Account</p><p>The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs from the ESR Compliance Account for a given year of that Member State to the ESR Compliance Account of another Member State. Such transfer shall not be carried out in any of the following cases:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the Member State's request is submitted before the calculation of the balance of the account pursuant to Article 59e;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the requested amount exceeds the positive balance of the account as calculated pursuant to Article 59e or the remaining amount;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the status of the ESR Compliance Account initiating the transfer does not allow the transfer.</p></td></tr></tbody></table></div><div><p>Article 59n</p><p>Safety Reserve</p><p>Upon introduction of the relevant greenhouse gas emissions data pursuant to Article 59d of this Regulation for the year 2030, the central administrator shall create in the EU ESR Safety Reserve Account a quantity of additional AEAs equal to the difference between 70 % of the sum of reviewed emissions for the year 2005 of all Member States as determined following the methodology in the Decision adopted pursuant to Article 4(3) of Regulation (EU) 2018/842 and the sum of the relevant reviewed greenhouse gas emissions data for all Member States for the year 2030. Such amount shall be between 0 and 105 million AEAs.</p></div><div><p>Article 59o</p><p>First round of distribution of the Safety Reserve</p><div><p>1.   The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs from the EU ESR Safety Reserve Account to that Member State's ESR Compliance Account for any of the years from 2026 to 2030 as required by the Member State. Such transfers shall not be carried out in any of the following cases:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the request refers to an ESR Compliance Account for a year other than the years 2026 to 2030;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the Member State's request is made before the calculation of the balance for the year 2030;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the Member State's request is made less than 6 weeks before the determination of the compliance status figure for the ESR Compliance Account for the year 2026;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the request was made by a Member State which is not listed in the Decision published pursuant to Article 11(5) of Regulation (EU) 2018/842;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the requested amount exceeds 20 % of that Member State's overall overachievement in the period from 2013 to 2020 as determined in the Decision published pursuant to Article 11(5) of Regulation (EU) 2018/842 or the amount as reduced pursuant to paragraph 3 of this Article, or the remaining amount available;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>the quantity of AEAs sold to other Member States pursuant to Articles 59l and 59m exceeds the quantity of AEAs acquired from other Member States pursuant to Articles 59l and 59m;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>the requested amount exceeds the quantity of the excess emissions for the given year when taking into account the following:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>the quantity of AEAs for the given year as set out in the Decisions adopted pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>the quantity of AEAs acquired to or sold from the ESR Compliance Account for the given year, pursuant to Articles 59l and 59m;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>the full quantity of AEAs banked from previous years to the current or any following years pursuant to Article 59j;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><p>the total quantity of AEAs allowed for borrowing to that year under Article 59i;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><p>the quantity of LMUs eligible for the transfers into the ESR Compliance Accounts pursuant to Article 59x or the remaining amount available pursuant to Article 59m.</p></td></tr></tbody></table></td></tr></tbody></table></div><div><p>2.   Six weeks before the determination of the compliance status figure for the year 2026, the central administrator shall ensure that the Union Registry calculates and displays the total sum of AEAs requested by all Member States under paragraph 1.</p></div><div><p>3.   Where the sum referred in paragraph 2 is higher than the total quantity of AEAs in the EU ESR Safety Reserve Account, the ecntral administrator shall ensure that the Union Registry carries out a transfer of each amount requested by each Member State reduced on a pro rata basis.</p></div><div><p>4.   The central administrator shall ensure that the Union Registry calculates the pro rata reduced amount by multiplying the requested amount by the ratio of the total quantity of AEAs in the EU ESR Safety Reserve Account and the total amount requested by all Member States pursuant to paragraph 1.</p></div></div><div><p>Article 59p</p><p>Second round of distribution of the Safety Reserve</p><div><p>1.   Where the sum referred in Article 59o(2) is lower than the total quantity of AEAs in the EU ESR Safety Reserve Account, the central administrator shall ensure that the Union Registry authorises additional requests from Member States provided that:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>Member State's request is made at the earliest six weeks before the determination of the compliance status figure for the year 2026 but no later than 3 weeks before the determination of the compliance status figure for the year 2026;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the request was made by a Member State which is listed in the Decision published pursuant to Article 11(5) of Regulation (EU) 2018/842;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the quantity of AEAs sold to other Member States pursuant to Articles 59l and 59m does not exceed the quantity of AEAs acquired from other Member States pursuant to Articles 59l and 59m;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the transferred amount does not exceed the quantity of the excess emissions for the given year when taking into account all the amounts listed under Article 59o(1)(g) and the quantity of AEAs received pursuant to Article 59o.</p></td></tr></tbody></table></div><div><p>2.   If the sum of all valid requests is higher than the remaining total amount, the central daministrator shall ensure that the Union Registry calculates the amount to be transferred for each valid request by multiplying the remaining total quantity of AEAs in the EU ESR Safety Reserve Account with the ratio of that request to the sum of all requests fulfilling the criteria set out in paragraph 1.</p></div></div><div><p>Article 59q</p><p>Adjustments</p><div><p>1.   In case of adjustments pursuant to Article 10 of Regulation (EU) 2018/842 or of any other modification of the sum specified in Article 59a of this Regulation that would lead to an increase of a Member State's annual emission allocation during the compliance period, the central administrator shall create the corresponding quantity of AEAs in the EU ESR AEA Total Quantity Account and transfer it in the relevant ESR Compliance Account of the Member State concerned.</p></div><div><p>2.   In case of adjustments pursuant to Article 10 of Regulation (EU) 2018/842 or of any other modification of the sum specified in Article 59a of this Regulation that would lead to a decrease of a Member State's annual emission allocation during the compliance period, the central administrator shall transfer the corresponding quantity of AEAs from the Member State's relevant ESR Compliance Account to the ESR Deletion Account.</p></div><div><p>3.   Where a Member State notifies a downward change of the percentage under the second subparagraph of Article 6(3) of Regulation (EU) 2018/842 and following the corresponding amendment to the amounts specified in the Decision adopted pursuant to Article 4(3) of Regulation (EU) 2018/842, the central administrator shall transfer the corresponding quantity of AEAs from the EU Annex II AEA Total Quantity Account to the ESR Deletion Account. The total amount available for that Member State under Article 6 of Regulation (EU) 2018/842 shall be modified accordingly.</p></div></div><div><p>Article 59r</p><p>Transfers of previously banked AEAs</p><p>The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs to a Member State's ESR Compliance Account for a given year of the compliance period from its ESR Compliance Account for any of the following years of the compliance period. Such transfer shall not be carried out where:</p><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the requested amount exceeds the quantity of AEAs banked pursuant to Article 59j in the ESR Compliance Account from which the transfer is intended;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the Member State's request is made before the calculation of the balance or after the determination of the compliance status figure of the ESR Compliance Account to which the transfer is intended.</p></td></tr></tbody></table></div><div><p>Article 59s</p><p>Execution and reversal of transfers</p><div><p>1.   For all transfers specified in this Title, Articles 34, 35 and 55 shall apply.</p></div><div><p>2.   Transfers to the ESR Compliance Accounts initiated in error may be reversed at the request of the national administrator. In such cases, Article 62(4), (6), (7) and (8) shall apply.’;</p></div></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>in Article 70, paragraph 2 is replaced by the following:</p><div><p>‘2.   The central administrator shall ensure that the EUTL conducts automated checks having regard to the data exchange and technical specifications provided for in Article 75 of this Regulation for all processes to identify irregularities and discrepancies, where a proposed process does not conform to the requirements of Directive 2003/87/EC, Regulation (EU) 2018/842 and this Regulation.’;</p></div></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>Annex I to Delegated Regulation (EU) 2019/1122 is amended in accordance with Annex I to this Regulation;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>Annex XIII to Delegated Regulation (EU) 2019/1122 is amended in accordance with Annex II to this Regulation.</p></td></tr></tbody></table>
Article 2
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 .
It shall apply from 1 January 2021.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 13 March 2019.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 156, 19.6.2018; p. 26 .
( 2 ) Commission Delegated Regulation (EU) 2019/1122 of 12 March 2019 supplementing Directive 2003/87/EC of the European Parliament and of the Council as regards the functioning of the Union Registry (see page 3 of this Official Journal).
( 3 ) Directive 2003/87/EC of the European Parliament and the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC ( OJ L 275, 25.10.2003, p. 32 ).
( 4 ) Commission Regulation (EU) No 389/2013 of 2 May 2013 establishing a Union Registry pursuant to Directive 2003/87/EC of the European Parliament and of the Council, Decisions No 280/2004/EC and No 406/2009/EC of the European Parliament and of the Council and repealing Commission Regulations (EU) No 920/2010 and (EU) No 1193/2011 ( OJ L 122, 3.5.2013, p. 1 ).
( 5 ) Decision No 406/2009/EC of the European Parliament and of the Council of 23 April 2009 on the effort of Member States to reduce their greenhouse gas emissions to meet the Community's greenhouse gas emission reduction commitments up to 2020 ( OJ L 140, 5.6.2009, p. 136 ).
ANNEX I
In Annex I to Delegated Regulation (EU) 2019/1122, the following table is added:
‘ Table I-II: Accounts for the purpose of accounting transactions pursuant to Title IIA
<table><col/><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Account type name</p></td><td><p>Account holder</p></td><td><p>Account Administrator</p></td><td><p>No. of accounts of this type</p></td><td><p>AEA</p></td><td><p>Accounted emissions/accounted removals</p></td><td><p>LMU</p></td><td><p>MFLFA</p></td></tr><tr><td><p>EU ESR AEA Total Quantity Account</p></td><td><p>EU</p></td><td><p>central administrator</p></td><td><p>1</p></td><td><p>Yes</p></td><td><p>No</p></td><td><p>No</p></td><td><p>No</p></td></tr><tr><td><p>ESR Deletion Account</p></td><td><p>EU</p></td><td><p>central administrator</p></td><td><p>1</p></td><td><p>Yes</p></td><td><p>No</p></td><td><p>Yes</p></td><td><p>No</p></td></tr><tr><td><p>EU Annex II AEA Total Quantity Account</p></td><td><p>EU</p></td><td><p>central administrator</p></td><td><p>1</p></td><td><p>Yes</p></td><td><p>No</p></td><td><p>No</p></td><td><p>No</p></td></tr><tr><td><p>EU ESR Safety Reserve Account</p></td><td><p>EU</p></td><td><p>central administrator</p></td><td><p>1</p></td><td><p>Yes</p></td><td><p>No</p></td><td><p>No</p></td><td><p>No</p></td></tr><tr><td><p>ESR Compliance Account</p></td><td><p>Member State</p></td><td><p>central administrator</p></td><td><p>1 for each of the 10 compliance years for each Member State</p></td><td><p>Yes</p></td><td><p>No</p></td><td><p>Yes</p></td><td><p>No’</p></td></tr></tbody></table>
ANNEX II
In Annex XIII to Delegated Regulation (EU) 2019/1122, the following point II is added:
‘II. Information related to accounting of transactions under Title IIA
Information available to the public
<table><col/><col/><col/><tbody><tr><td/><td><p>7.</p></td><td><span>The central administrator shall make publicly available the following information for each ESR compliance account and update it within 24 hours when relevant:</span><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>information on the Member State holding the account;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>Annual Emission Allocations as determined pursuant to Article 4(3) and Article 10 of Regulation (EU) 2018/842;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the status of each ESR Compliance Account in accordance with Article 10;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>the relevant greenhouse gas emissions data pursuant to Article 59d;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>the compliance status figure pursuant to Article 59f for each ESR Compliance Account as follows:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>A for compliance;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>I for non-compliance;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>the quantity of greenhouse gas emissions introduced pursuant to Article 59g;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>the following information about each completed transaction:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>account holder name and account holder ID of the transferring account;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>account holder name and account holder ID of the acquiring account;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>the amount of AEAs involved in the transaction, without unique unit identification code of the AEA;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><p>transaction identification code;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><p>date and time at which the transaction was completed (in Central European Time);</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><p>type of the transaction.</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
Information available to account holders
<table><col/><col/><col/><tbody><tr><td/><td><p>8.</p></td><td><span>The Union Registry shall display on the part of the Union Registry's website only accessible to the holder of the ESR compliance account the following information, and shall update it in real time:</span><table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>current holdings of AEAs, without the unique unit identification code of the AEAs;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>list of proposed transactions initiated by that account holder, detailing for each proposed transaction;</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>the elements in point 7(g);</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>the date and time at which the transaction was proposed (in central European time);</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>the current status of that proposed transaction;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><p>any response codes returned consequent to the checks made by the registry and the EUTL;</p></td></tr></tbody></table></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>a list of AEAs acquired by that account as a result of completed transactions, detailing for each transaction the elements in point 7(g);</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>a list of AEAs transferred out of that account as a result of completed transactions, detailing for each transaction the elements in point 7(g).’</p></td></tr></tbody></table></td></tr></tbody></table> | ENG | 32019R1124 |
<table><col/><col/><col/><col/><tbody><tr><td><p>26.1.2017   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 21/101</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2017/130
of 25 January 2017
establishing the standard import values for determining the entry price of certain fruit and vegetables
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 ( 1 ) ,
Having regard to Commission Implementing Regulation (EU) No 543/2011 of 7 June 2011 laying down detailed rules for the application of Council Regulation (EC) No 1234/2007 in respect of the fruit and vegetables and processed fruit and vegetables sectors ( 2 ) , and in particular Article 136(1) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Implementing Regulation (EU) No 543/2011 lays down, pursuant to the outcome of the Uruguay Round multilateral trade negotiations, the criteria whereby the Commission fixes the standard values for imports from third countries, in respect of the products and periods stipulated in Annex XVI, Part A thereto.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The standard import value is calculated each working day, in accordance with Article 136(1) of Implementing Regulation (EU) No 543/2011, taking into account variable daily data. Therefore this Regulation should enter into force on the day of its publication in the<span>Official Journal of the European Union</span>,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The standard import values referred to in Article 136 of Implementing Regulation (EU) No 543/2011 are fixed in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the day 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, 25 January 2017.
For the Commission,
On behalf of the President,
Jerzy PLEWA
Director-General
Directorate-General for Agriculture and Rural Development
( 1 ) OJ L 347, 20.12.2013, p. 671 .
( 2 ) OJ L 157, 15.6.2011, p. 1 .
ANNEX
Standard import values for determining the entry price of certain fruit and vegetables
<table><col/><col/><col/><tbody><tr><td><p>(EUR/100 kg)</p></td></tr><tr><td><p>CN code</p></td><td><p>Third country code<a> (<span>1</span>)</a></p></td><td><p>Standard import value</p></td></tr><tr><td><p>0702 00 00</p></td><td><p>MA</p></td><td><p>135,1</p></td></tr><tr><td><p>SN</p></td><td><p>268,2</p></td></tr><tr><td><p>TR</p></td><td><p>175,2</p></td></tr><tr><td><p>ZZ</p></td><td><p>192,8</p></td></tr><tr><td><p>0707 00 05</p></td><td><p>EG</p></td><td><p>250,3</p></td></tr><tr><td><p>MA</p></td><td><p>79,2</p></td></tr><tr><td><p>TR</p></td><td><p>209,9</p></td></tr><tr><td><p>ZZ</p></td><td><p>179,8</p></td></tr><tr><td><p>0709 91 00</p></td><td><p>EG</p></td><td><p>168,8</p></td></tr><tr><td><p>ZZ</p></td><td><p>168,8</p></td></tr><tr><td><p>0709 93 10</p></td><td><p>MA</p></td><td><p>277,7</p></td></tr><tr><td><p>TR</p></td><td><p>239,8</p></td></tr><tr><td><p>ZZ</p></td><td><p>258,8</p></td></tr><tr><td><p>0805 10 22 , 0805 10 24 , 0805 10 28</p></td><td><p>EG</p></td><td><p>54,2</p></td></tr><tr><td><p>MA</p></td><td><p>48,6</p></td></tr><tr><td><p>TN</p></td><td><p>59,5</p></td></tr><tr><td><p>TR</p></td><td><p>73,1</p></td></tr><tr><td><p>ZZ</p></td><td><p>58,9</p></td></tr><tr><td><p>0805 21 10 , 0805 21 90 , 0805 29 00</p></td><td><p>EG</p></td><td><p>83,8</p></td></tr><tr><td><p>IL</p></td><td><p>134,6</p></td></tr><tr><td><p>JM</p></td><td><p>109,0</p></td></tr><tr><td><p>MA</p></td><td><p>80,7</p></td></tr><tr><td><p>TR</p></td><td><p>86,3</p></td></tr><tr><td><p>ZZ</p></td><td><p>98,9</p></td></tr><tr><td><p>0805 22 00</p></td><td><p>IL</p></td><td><p>139,7</p></td></tr><tr><td><p>MA</p></td><td><p>79,0</p></td></tr><tr><td><p>ZZ</p></td><td><p>109,4</p></td></tr><tr><td><p>0805 50 10</p></td><td><p>AR</p></td><td><p>92,5</p></td></tr><tr><td><p>EG</p></td><td><p>85,5</p></td></tr><tr><td><p>TR</p></td><td><p>93,7</p></td></tr><tr><td><p>ZZ</p></td><td><p>90,6</p></td></tr><tr><td><p>0808 10 80</p></td><td><p>CN</p></td><td><p>145,5</p></td></tr><tr><td><p>US</p></td><td><p>124,9</p></td></tr><tr><td><p>ZZ</p></td><td><p>135,2</p></td></tr><tr><td><p>0808 30 90</p></td><td><p>CN</p></td><td><p>93,3</p></td></tr><tr><td><p>TR</p></td><td><p>154,0</p></td></tr><tr><td><p>ZA</p></td><td><p>84,4</p></td></tr><tr><td><p>ZZ</p></td><td><p>110,6</p></td></tr></tbody></table>
<note>
( 1 ) Nomenclature of countries laid down by Commission Regulation (EU) No 1106/2012 of 27 November 2012 implementing Regulation (EC) No 471/2009 of the European Parliament and of the Council on Community statistics relating to external trade with non-member countries, as regards the update of the nomenclature of countries and territories ( OJ L 328, 28.11.2012, p. 7 ). Code ‘ZZ’ stands for ‘of other origin’.
</note> | ENG | 32017R0130 |
<table><col/><col/><col/><col/><tbody><tr><td><p>14.9.2016   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 246/329</p></td></tr></tbody></table>
DECISION (EU) 2016/1554 OF THE EUROPEAN PARLIAMENT
of 28 April 2016
on the closure of the accounts of the European Training Foundation for the financial year 2014
THE EUROPEAN PARLIAMENT,
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the final annual accounts of the European Training Foundation for the financial year 2014,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Court of Auditors’ report on the annual accounts of the European Training Foundation for the financial year 2014, together with the Foundation’s reply<a> (<span>1</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the statement of assurance<a> (<span>2</span>)</a> as to the reliability of the accounts and the legality and regularity of the underlying transactions provided by the Court of Auditors for the financial year 2014, pursuant to Article 287 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the Council’s recommendation of 12 February 2016 on discharge to be given to the Foundation in respect of the implementation of the budget for the financial year 2014 (05584/2016 — C8-0071/2016),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Article 319 of the Treaty on the Functioning of the European Union,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002<a> (<span>3</span>)</a>, and in particular Article 208 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Regulation (EC) No 1339/2008 of the European Parliament and of the Council of 16 December 2008 establishing a European Training Foundation<a> (<span>4</span>)</a>, and in particular Article 17 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Commission Regulation (EC, Euratom) No 2343/2002 of 19 November 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the general budget of the European Communities<a> (<span>5</span>)</a>,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Commission Delegated Regulation (EU) No 1271/2013 of 30 September 2013 on the framework financial regulation for the bodies referred to in Article 208 of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council<a> (<span>6</span>)</a>, and in particular Article 108 thereof,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to Rule 94 of and Annex V to its Rules of Procedure,</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>—</p></td><td><p>having regard to the report of the Committee on Budgetary Control and the opinion of the Committee on Employment and Social Affairs (A8-0116/2016),</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>1.</p></td><td><p>Notes that the final annual accounts of the European Training Foundation are as annexed to the Court of Auditors’ report;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>2.</p></td><td><p>Approves the closure of the accounts of the European Training Foundation for the financial year 2014;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>3.</p></td><td><p>Instructs its President to forward this decision to the Director of the European Training Foundation, the Council, the Commission and the Court of Auditors, and to arrange for its publication in the<span>Official Journal of the European Union</span> (L series).</p></td></tr></tbody></table>
The President
Martin SCHULZ
The Secretary-General
Klaus WELLE
<note>
( 1 ) OJ C 409, 9.12.2015, p. 266 .
( 2 ) See footnote 1.
( 3 ) OJ L 298, 26.10.2012, p. 1 .
( 4 ) OJ L 354, 31.12.2008, p. 82 .
( 5 ) OJ L 357, 31.12.2002, p. 72 .
( 6 ) OJ L 328, 7.12.2013, p. 42 .
</note> | ENG | 32016B1554 |
<table><col/><col/><col/><col/><tbody><tr><td><p>11.11.2019   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 290/8</p></td></tr></tbody></table>
COMMISSION IMPLEMENTING REGULATION (EU) 2019/1881
of 8 November 2019
amending Regulation (EU) No 37/2010 to classify the substance diflubenzuron as regards its maximum residue limit
(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 470/2009 of the European Parliament and of the Council of 6 May 2009 laying down Community procedures for the establishment of residue limits of pharmacologically active substances in foodstuffs of animal origin, repealing Council Regulation (EEC) No 2377/90 and amending Directive 2001/82/EC of the European Parliament and of the Council and Regulation (EC) No 726/2004 of the European Parliament and the Council ( 1 ) , and in particular Article 14 in conjunction with Article 17 thereof,
Having regard to the opinion of the European Medicines Agency formulated by the Committee for Medicinal Products for Veterinary Use,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 17 of Regulation (EC) No 470/2009 requires that the maximum residue limit (‘MRL’) for pharmacologically active substances intended for use in the Union in veterinary medicinal products for food-producing animals or in biocidal products used in animal husbandry is established in a Regulation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>Table 1 of the Annex to Commission Regulation (EU) No 37/2010 <a>(<span>2</span>)</a> sets out the pharmacologically active substances and their classification regarding MRLs in foodstuffs of animal origin.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Diflubenzuron is already included in that table as an allowed substance for salmonidae species, applicable to muscle and skin.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>On 7 May 2014, the Commission requested the European Medicines Agency (‘EMA’) to issue a new opinion on diflubenzuron in accordance with Article 11 of Regulation (EC) No 470/2009, taking into account the genotoxic potential of diflubenzuron’s metabolite 4-chloroaniline as well as the results of the more recent evaluations of diflubenzuron as a pesticide, undertaken by the European Food Safety Authority EFSA) <a>(<span>3</span>)</a>, and as a biocide, coordinated by the Joint Research Centre of the Commission <a>(<span>4</span>)</a>.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>In its opinion of 7 May 2015, the Committee for Medicinal Products for Veterinary Use (‘CVMP’) concluded that the genotoxic metabolite has not been confirmed to be present in fish muscle and adopted an opinion noting that further data on 4-chloroaniline formation and depletion in fish muscle was required in order to fully characterise the risk, if any, to the consumer from exposure to diflubenzuron. Publicly available reports about pharmacology of diflubenzuron indicated that in sheep, swine and chicken, 4-chloroaniline has been found as a minor metabolite. Based on that opinion, EMA recommended to amend the existing entry for diflubenzuron in salmonidae species in table 1 of the Annex to Commission Regulation (EU) No 37/2010 and to establish a provisional MRL, pending provision of additional residue data.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>Having considered the recommendation from EMA, the Commission clarified in March 2017 that Regulation (EC) No 470/2009 only allows the establishment of a provisional MRL in cases where scientific data are incomplete and where there are no grounds for supposing that residues of the substance at the level proposed constitute a hazard to human health. In the case of diflubenzuron there is a possibility that the genotoxic metabolite 4-chloroaniline is present in treated fish at levels that could be hazardous to human health, and consequently the establishment of a provisional MRL was not considered appropriate, according to the Commission. The Commission also highlighted the EFSA 2015 conclusion <a>(<span>5</span>)</a> relating to the use of diflubenzuron in plant protection products, indicating that the available data were not sufficient to demonstrate that the representative uses were safe for consumers. For those reasons, the Commission invited the CVMP to revise its opinion of 7 May 2015.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>On 15 March 2018, CVMP adopted its revised opinion on the establishment of maximum residue limits for diflubenzuron <a>(<span>6</span>)</a>. Based on that opinion, EMA has recommended that the existing entry for diflubenzuron in salmonidae species in table 1 of the Annex to Commission Regulation (EU) No 37/2010 be amended so that the MRL is reduced. The MRL value is set at 10 µg/kg in order to ensure that consumer exposure to 4-chloroaniline remains at an acceptable level.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>According to Article 5 of Regulation (EC) No 470/2009, EMA is to consider using MRLs established for a pharmacologically active substance in a particular foodstuff for another foodstuff derived from the same species, or MRLs established for a pharmacologically active substance in one or more species for other species.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>EMA has considered that the extrapolation of the entry for diflubenzuron to fin fish is not appropriate at this time due to a lack of evidence that the metabolite 4-chloroaniline is not formed in any relevant amount in every species concerned.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>Pursuant to the CVMP opinions and the EMA recommendation, it appears necessary for the protection of human health to reduce the MRL for diflubenzuron from 1 000 μg/kg to 10 μg/kg.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>Regulation (EU) No 37/2010 should therefore be amended accordingly.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>It is appropriate to grant the stakeholders concerned a reasonable period of time to take measures that may be required to comply with the new MRL for diflubenzuron.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(13)</p></td><td><p>The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Veterinary Medicinal Products,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The Annex to Regulation (EU) No 37/2010 is amended as set out in 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 .
It shall apply from 10 January 2020.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 8 November 2019.
For the Commission
The President
Jean-Claude JUNCKER
( 1 ) OJ L 152, 16.6.2009, p. 11 .
( 2 ) Commission Regulation (EU) No 37/2010 of 22 December 2009 on pharmacologically active substances and their classification regarding maximum residue limits in foodstuffs of animal origin ( OJ L 15, 20.1.2010, p. 1 ).
( 3 ) EFSA Journal 2012;10(9):2870. Conclusion on the peer review of the pesticide risk assessment of confirmatory data submitted for the active substance Diflubenzuron
( 4 ) Diflubenzuron assessment report, available at http://dissemination.echa.europa.eu/Biocides/ActiveSubstances/0062-18/0062-18_Assessment_Report.pdf
( 5 ) EFSA Journal 2015;13(12):4222.Peer review on the review of the approval of the active substance diflubenzuron regarding the metabolite PCA
( 6 ) EMA/CVMP/153976/2018 MRL summary opinion Diflubenzuron 16 March 2018.
ANNEX
In Table 1 of the Annex to Regulation (EU) No 37/2010, the entry for the substance ‘diflubenzuron’ is replaced by the following:
<table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Pharmacologically active Substance</p></td><td><p>Marker residue</p></td><td><p>Animal Species</p></td><td><p>MRLs</p></td><td><p>Target Tissues</p></td><td><p>Other Provisions (according to Article 14(7) of Regulation (EC) No 470/2009)</p></td><td><p>Therapeutic Classification</p></td></tr><tr><td><p>‘Diflubenzuron</p></td><td><p>Diflubenzuron</p></td><td><p><span>Salmonidae</span></p></td><td><p>10 µg/kg</p></td><td><p>Muscle and skin in natural proportions</p></td><td><p>NO ENTRY</p></td><td><p>Antiparasitic agents/Agents against ectoparasites’</p></td></tr></tbody></table> | ENG | 32019R1881 |
<table><col/><col/><col/><col/><tbody><tr><td><p>5.11.2018   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 274/6</p></td></tr></tbody></table>
COMMISSION DELEGATED REGULATION (EU) 2018/1638
of 13 July 2018
supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to regulatory technical standards specifying further how to ensure that input data is appropriate and verifiable, and the internal oversight and verification procedures of a contributor that the administrator of a critical or significant benchmark has to ensure are in place where the input data is contributed from a front office function
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014 ( 1 ) , and in particular the fourth subparagraph of Article 11(5) thereof,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>Article 11(1) of Regulation (EU) 2016/1011 requires the input data used for a benchmark to be appropriate to represent accurately and reliably the market or economic reality that the benchmark is intended to measure, and it also requires the data to be verifiable. In addition, where the input data is contributed from a front office function, Article 11(3)(b) of that Regulation requires the administrator to ensure that the contributor has adequate internal oversight and verification procedures in place.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>The correct calculation of a benchmark requires not only that the accurate values of the input data are submitted but also that they are in the unit of measurement and reflect the relevant features of the underlying assets.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Whether input data is verifiable is linked to its level of accuracy, which in turn is highly dependent on the type of input data used. Input data which is neither transaction data nor comes from a regulated data source listed in point (24) of Article 3(1) of Regulation (EU) 2016/1011 may still meet the requirement of being verifiable if sufficient information is available to the administrator to enable it to conduct sufficient checks on the data. The administrator should therefore be required to ensure that it has available to it the information necessary to enable it to carry out the appropriate checks.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(4)</p></td><td><p>In order to ensure that input data is appropriate and verifiable, the administrator should be required to monitor input data on a regular basis, to a degree that reflects the vulnerability of the particular input data type. In the case of regulated data, existing regulation and supervision of the relevant data provider already ensure the integrity of regulated data. That type of data should therefore be subject to less extensive monitoring requirements. Other types of input data require more verification and should be subject to more extensive checks, notably input data that is not transaction data and especially if it is contributed from a front-office function.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(5)</p></td><td><p>When input data is contributed, one important monitoring check is to ensure that the contributions are provided within a time-period set by the administrator. This is to ensure consistency between contributions from different contributors. When input data is not contributed, the time at which the input data is considered also has to be checked in order to ensure consistency between different input data. The administrator should therefore be required to check that input data is contributed, or selected from a specified source, within the time-period set by it.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(6)</p></td><td><p>It is of particular importance that core features such as the currency, the tenor and the time to maturity of the underlying asset or the types of counterparties as specified by the benchmark methodology are properly checked.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(7)</p></td><td><p>Effective internal oversight of the contribution of input data from a front office function relies on the establishment and maintenance of appropriate structures within the contributor's organisation. These structures should normally include three levels of control unless the size of the contributor's organisation does not reasonably allow for that number. The first level of control should include processes to ensure the effective checking of input data.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(8)</p></td><td><p>Contributions from a front office function present a particular risk as a result of the inherent conflict of interest that exists between the commercial role of the front office and its role in contributing input data for a benchmark. It is therefore important for the contributor to establish, maintain and operate a conflict of interest policy as part of its second level of control, and to perform regular checks on the input data used. In addition, a notable tool that may be useful in bringing to light and escalating any misconduct, or in detecting activities potentially affecting the integrity of the benchmark, is the establishment of a whistle-blowing procedure that permits any staff member to report any instance of misconduct to the relevant compliance function or other appropriate internal function. The administrator should therefore be satisfied that the internal oversight and verification procedures of a contributor include the establishment, maintenance and operation of a conflict of interest policy and the establishment and maintenance of a whistle-blowing procedure.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(9)</p></td><td><p>This Regulation applies to administrators of critical and significant benchmarks. In accordance with the principle of proportionality, it avoids putting an excessive burden on administrators of significant benchmarks by allowing these administrators to choose to apply the conflict of interest requirements solely for actual or potential conflicts of interest that are or would be material. In addition, administrators should be afforded additional discretion in how they ensure internal oversight and verification procedures at contributor level. In particular, they should be allowed to relax certain requirements for those procedures, having regard to the nature, scale and complexity of the contributor's organisation.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(10)</p></td><td><p>Administrators should be given sufficient time to ensure compliance with the requirements of this Regulation. This Regulation should therefore start to apply two months after it enters into force.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(11)</p></td><td><p>This Regulation is based on the draft regulatory technical standards submitted by the European Securities and Markets Authority (ESMA) to the Commission.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(12)</p></td><td><p>ESMA has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established by Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council <a>(<span>2</span>)</a>,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
Scope
This Regulation does not cover or apply to administrators of non-significant benchmarks.
Article 2
Ensuring appropriate and verifiable input data
1. The administrator of a benchmark shall ensure that it has available to it all information necessary to enable it to check the following matters in relation to any input data that it uses for the benchmark, insofar as these matters are applicable to the input data in question:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>whether the submitter is authorised to contribute the input data on behalf of the contributor in accordance with any requirement for authorisation under Article 15(2)(b) of Regulation (EU) 2016/1011;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>whether the input data is provided by the contributor, or selected from a source specified by the administrator, within the time-period prescribed by the administrator;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>whether the input data is provided by the contributor in a format specified by the administrator;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>whether the source of the input data is one of the sources listed Article 3(1)(24) of Regulation (EU) 2016/1011;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(e)</p></td><td><p>whether the source of the input data is reliable;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(f)</p></td><td><p>whether the input data meets the requirements set out in the methodology of the benchmark, in particular the requirements on the currency or unit of measurement, the tenor, and the types of counterparties;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(g)</p></td><td><p>whether any relevant thresholds for the quantity of the input data and any relevant standards for the quality of the input data are met in accordance with the methodology;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(h)</p></td><td><p>whether the priority of use of different types of input data is applied in accordance with the methodology;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>whether any discretion or judgement exercised in contributing the input data is exercised in accordance with the clear rules set out in the methodology and with the policies required to be established by the code of conduct for the benchmark.</p></td></tr></tbody></table>
2. Administrators shall conduct the checks listed in paragraph 1 on a regular basis. Administrators of critical benchmarks shall conduct the checks listed in points (a), (b), (c) and (d) of paragraph 1 prior to any publication of the benchmark or any instance when the benchmark is made available to the public.
Article 3
Internal oversight and verification procedures of a contributor
1. The internal oversight and verification procedures of a contributor that the administrator has to ensure are in place in compliance with Article 11(3)(b) of Regulation (EU) 2016/1011 shall include at least the following:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>establishment and maintenance of an internal function to serve as the first level of control for the contribution of input data and to be responsible for carrying out the following duties:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>undertaking an effective check of input data prior to its contribution, including ensuring compliance with any requirement for the validation of input data to which the contributor is subject pursuant to Article 15(2)(d)(iii) of Regulation (EU) 2016/1011, and reviewing input data prior to its contribution with respect to its integrity and accuracy;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>checking that the submitter is authorised to contribute input data on behalf of the contributor in accordance with any requirement imposed under Article 15(2)(b) of Regulation (EU) 2016/1011;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>ensuring that access to contributions of input data is restricted to persons involved in the contribution process, except where access is necessary for audit purposes, investigation purposes or purposes required by law;</p></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>establishment and maintenance of an internal function to serve as the second level of control for the contribution of input data and to be responsible for carrying out the following duties:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>conducting a review of input data after its contribution, independent of the review carried out by the first level control function, in order to confirm the integrity and accuracy of the contribution;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>establishing and maintaining a whistle-blowing procedure that includes appropriate safeguards for whistle-blowers;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>establishing and maintaining procedures for the internal reporting of any attempted or actual manipulation of the input data, for any failure to comply with the contributor's own benchmark-related policies and for the investigation of such events as soon as they become apparent;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iv)</p></td><td><p>establishing and maintaining internal reporting procedures for reporting any operational problems in the contribution process as soon as they arise;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(v)</p></td><td><p>ensuring regular presence in person of a staff member from the second level control function in the office area where the front office function is based;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(vi)</p></td><td><p>maintaining oversight of relevant communications between front office function staff directly involved in contributing input data and also of relevant communications between such staff and other internal functions or external bodies;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(vii)</p></td><td><p>establishing, maintaining and operating a conflict of interest policy that ensures:</p><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the identification and disclosure to the administrator of actual or potential conflicts of interest concerning any of the contributor's front office function staff who are involved in the contribution process,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the absence of any direct or indirect link between the remuneration of a submitter and the value of the benchmark, the value of specific submissions made or the performance of any activity carried on by the contributor that might give rise to a conflict of interest related to the contribution of input data to the benchmark,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>a clear segregation of duties between front office function staff involved in contributing input data and other front office function staff,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>a physical separation between front office function staff involved in contributing input data and other front office function staff,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>effective controls over the exchange of information between front office function staff and other staff of the contributor involved in activities that may create a risk of conflicts of interest, insofar as the information being exchanged is information that may affect the input data contributed,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the existence of contingency provisions in case of temporary disruption of the controls regarding the exchange of information referred to in the fifth indent,</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>—</p></td><td><p>the taking of measures to prevent any person from exercising inappropriate influence over the way in which front office function staff involved in contributing input data carry out their activities;</p></td></tr></tbody></table></td></tr></tbody></table></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>establishment and maintenance of an internal function, independent from the first and second level control functions, to serve as the third level of control for the contribution of input data and to be responsible for performing checks, on a regular basis, on the controls exercised by the other two control functions;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(d)</p></td><td><p>procedures governing:</p><table><col/><col/><tbody><tr><td><p>(i)</p></td><td><p>the means of cooperation and flow of information between the three control functions required by points (a), (b) and (c) of this paragraph;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(ii)</p></td><td><p>regular reporting to the senior management of the contributor on the duties carried out by those three control functions;</p></td></tr></tbody></table><table><col/><col/><tbody><tr><td><p>(iii)</p></td><td><p>communication to the administrator, upon request, of information requested by the administrator relating to the contributor's internal oversight and verification procedures.</p></td></tr></tbody></table></td></tr></tbody></table>
2. The administrator may choose to waive any of the requirements specified in point (b)(v) or in the third, fourth or sixth indents of point (b)(vii) of paragraph 1, having regard to the following matters:
<table><col/><col/><tbody><tr><td><p>(a)</p></td><td><p>the nature, scale and complexity of the activities of the contributor;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(b)</p></td><td><p>the likelihood of a conflict of interest arising between the contribution of input data to the benchmark and trading activity or other activities performed by the contributor;</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(c)</p></td><td><p>the level of discretion involved in the process of contribution.</p></td></tr></tbody></table>
3. Having regard primarily to the small size of a contributor's organisation and also to the matters listed in points (a), (b) and (c) of paragraph 2, the administrator may permit the contributor to have in place a simpler organisational control structure than the one required by paragraph 1. The simpler control structure shall, however, ensure that all the duties listed in points (a), (b) and (c) of that paragraph 1 are performed, except for any duties in respect of which a waiver is granted under paragraph 2. Points (i) and (ii) of point (d) of paragraph 1 shall be applied in a manner reflecting the simpler control structure.
4. An administrator of a significant benchmark may choose to apply the requirements specified in paragraph 1(b)(vii) in relation solely to actual or potential conflicts of interest that are or would be material conflicts of interest.
Article 4
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 25 January 2019.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 13 July 2018.
For the Commission
The President
Jean-Claude JUNCKER
<note>
( 1 ) OJ L 171, 29.6.2016, p. 1 .
( 2 ) Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC ( OJ L 331, 15.12.2010, p. 84 ).
</note> | ENG | 32018R1638 |
<table><col/><col/><col/><col/><tbody><tr><td><p>29.9.2023   </p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>L 241/16</p></td></tr></tbody></table>
COUNCIL IMPLEMENTING REGULATION (EU) 2023/2081
of 28 September 2023
implementing Regulation (EU) 2023/1214 amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EU) 2023/1214 of 23 June 2023 amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine ( 1 ) , and in particular Article 1(33) thereof,
Having regard to the proposal from the High Representative of the Union for Foreign Affairs and Security Policy,
Whereas:
<table><col/><col/><tbody><tr><td><p>(1)</p></td><td><p>On 31 July 2014, the Council adopted Regulation (EU) No 833/2014 <a>(<span>2</span>)</a>, which concerns restrictive measures in view of Russia’s actions destabilising the situation in Ukraine.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(2)</p></td><td><p>On 23 June 2023, the Council adopted Regulation (EU) 2023/1214, which amended Regulation (EU) No 833/2014 and introduced further restrictive measures to suspend the broadcasting activities in the Union, or directed at the Union, of certain media outlets referred to in Annex IV to Regulation (EU) 2023/1214. Pursuant to Article 1, point (33), of Regulation (EU) 2023/1214, the applicability of such measures in respect of one or several of those media outlets is subject to the adoption of implementing acts by the Council.</p></td></tr></tbody></table>
<table><col/><col/><tbody><tr><td><p>(3)</p></td><td><p>Having examined the respective cases, the Council has concluded that the restrictive measures referred to in Article 2f of Regulation (EU) No 833/2014 should apply as of 1 October 2023 in respect of all entities referred to in Annex IV to Regulation (EU) 2023/1214,</p></td></tr></tbody></table>
HAS ADOPTED THIS REGULATION:
Article 1
The restrictive measures referred to in Article 2f of Regulation (EU) No 833/2014 shall apply as of 1 October 2023 in respect of all entities referred to in Annex IV to Regulation (EU) 2023/1214.
Article 2
This Regulation shall enter into force on the 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, 28 September 2023.
For the Council
The President
F. GRANDE-MARLASKA GÓMEZ
<note>
( 1 ) OJ L 159 I, 23.6.2023, p. 1 .
( 2 ) Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine ( OJ L 229, 31.7.2014, p. 1 ).
</note> | ENG | 32023R2081 |