COMMISSION REGULATION (EU) No 1213/2010THE EUROPEAN COMMISSION,

of 16 December 2010

establishing common rules concerning the interconnection of national electronic registers on road transport undertakings

(Text with EEA relevance)

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

Having regard to Regulation (EC) No 1071/2009 of the European Parliament and of the Council of 21 October 2009 establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC ( 1 ), and in particular Article 16 thereof,

Whereas:

(1) In order to facilitate the interconnection of the national electronic registers as required by Article 16(5) of Regulation (EC) No 1071/2009, the Commission should adopt common rules for the implementation of this interconnection in accordance with Article 16(6) of Regulation (EC) No 1071/2009.

(2) The provisions on personal data protection, as laid down in particular by Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data ( 2 ), apply to the processing of any personal data pursuant to Regulation (EC) No 1071/2009. In particular, Member States should implement appropriate security measures to prevent misuse of personal data.

(3) Where applicable, the provisions on personal data protection, as laid down by Regulation (EC) No 45/2001 of the European Parliament and of the Council 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 ( 3 ) apply to the processing of any personal data pursuant to Regulation (EC) No 1071/2009.

(4) The measures provided for in this Regulation are in accordance with the opinion of the Committee set up by Article 18(1) of Council Regulation (EEC) No 3821/85 ( 4 ),

HAS ADOPTED THIS REGULATION:

Article 1

The common rules to enable the interconnection of the national electronic registers shall be as set out in the Annex to this Regulation.

Article 2

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 31 December 2012.

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

Done at Brussels, 16 December 2010.

For the Commission

The President

José Manuel BARROSOEN 18.12.2010 Official Journal of the European Union L 335/21

( 1 ) OJ L 300, 14.11.2009, p. 51.

( 2 ) OJ L 281, 23.11.1995, p. 31.

( 3 ) OJ L 8, 12.1.2001, p. 1.

( 4 ) OJ L 370, 31.12.1985, p. 8.ANNEX

The system of interconnection of national electronic registers shall be called the ERRU (European Registers of Road Transport Undertakings).

1. INFORMATION EXCHANGE

1.1. Exchange on infringements1.1.1. Infringement Notification Message

When exchanging information according to Article 13(1) of Regulation (EC) No 1072/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international road haulage market ( 1 ), or Article 23(1) of Regulation (EC) No 1073/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international market for coach and bus services, and amending Regulation (EC) No 561/2006 ( 2 ), Member States shall use messages of the following format (Infringement Notification Message): Data type

Data item

Mandatory or optional

Additional description of data field

Notifying Member State

Notifying Member State

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Notifying competent authority

Notifying competent authority identifier

Mandatory

Free text alpha-numeric field

Destination Member State

Destination Member State

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Notification details

Notification number

Mandatory

Free text alpha-numeric field

Date of notification

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Time of notification

Mandatory

Numeric data entry in form HH:MM:SS

Transport undertaking

Name

Optional

Free text alpha-numeric field

Authorisation

Serial number of certified true copy of Community licence

Mandatory

Free text alpha-numeric field

Vehicle registration number

Optional

Free text alpha-numeric field

Serious infringement

Category

Mandatory

Type

Mandatory

EN L 335/22 Official Journal of the European Union 18.12.2010

( 1 ) OJ L 300, 14.11.2009, p. 72.

( 2 ) OJ L 300, 14.11.2009, p. 88.Data type

Data item

Mandatory or optional

Additional description of data field

Date of infringement

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Date of check where infringement has been ascertained

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Penalties imposed and executed

Final decision date

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Penalty type imposed

Mandatory

Declaration of either: ‘Warning’ ‘Temporary ban on cabotage operations’ ‘Fine’ ‘Prohibition’ ‘Immobilisation’ ‘Other’

If applicable: start date of penalty imposed

Optional

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

If applicable: end date of penalty imposed

Optional

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Penalties executed

Mandatory

Declaration of either: ‘Yes’ ‘No’ ‘Unknown’

Penalties requested

Type of administrative penalty requested

Optional

Declaration of either: ‘Warning’ ‘Temporary withdrawal of some or all of the certified true copies of the Community licence’ ‘Permanent withdrawal of some or all of the certified true copies of the Community licence’ ‘Temporary withdrawal of the Community licence’ ‘Permanent withdrawal of the Community licence’ ‘Suspension of the issue of driver attestations’ ‘Withdrawal of driver attestations’ ‘Issue of driver attestations subject to add- itional conditions in order to prevent misuse’

Requested penalty duration (calendar days)

Optional

Numeric data entry DDDDD

EN 18.12.2010 Official Journal of the European Union L 335/231.1.2. Infringement Response Message

When exchanging information according to Article 12(3) of Regulation (EC) No 1072/2009 or Article 22(2) of Regulation (EC) No 1073/2009, Member States shall use messages of the following format (Infringement Response Message): Data type

Data item

Mandatory or optional

Additional description of data field

Responding Member State

Responding Member State

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Responding competent authority

Responding competent authority identifier

Mandatory

Free text alpha-numeric field

Destination Member State

Destination Member State

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Destination competent authority

Destination competent authority identifier

Mandatory

Free text alpha-numeric field

Response details

Notification number

Mandatory

Free text alpha-numeric field

Date of response

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Time of response

Mandatory

Numeric data field in form HH:MM:SS

Transport undertaking

Name

Mandatory

Free text alpha-numeric field

Authority imposing penalty

Authority imposing penalty name

Mandatory

Free text alpha-numeric field

Penalties imposed

Confirm penalty imposed

Mandatory

Declaration of either: ‘Yes’ ‘No’

Penalty imposed

Mandatory

Declaration of either: ‘Warning’ ‘Temporary withdrawal of some or all of the certified true copies of the Community licence’ ‘Permanent withdrawal of some or all of the certified true copies of the Community licence’ ‘Temporary withdrawal of the Community licence’ ‘Permanent withdrawal of the Community licence’ ‘Suspension of the issue of driver attestations’ ‘Withdrawal of driver attestations’ ‘Issue of driver attestations subject to additional conditions in order to prevent misuse’ ‘Other’

EN L 335/24 Official Journal of the European Union 18.12.2010Data type

Data item

Mandatory or optional

Additional description of data field

Penalty imposed date

Optional

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Penalty imposed end date

Optional

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Reason penalty not imposed

Optional

Free text alpha-numeric field

1.2. Checking the good repute of transport managers1.2.1. Search Request Message

When verifying in accordance with Article 11(4) of Regulation (EC) No 1071/2009 whether a transport manager is declared in one of the Member States unfit to manage the transport activities of an undertaking, Member States shall use messages of the following format (Search Request Message): Data category

Data item

Mandatory or optional

Additional description of data field

Requesting Member State

Requesting Member State

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Requesting competent authority

Requesting competent authority identifier

Mandatory

Free text alpha-numeric field

Search request details

Number of search request message

Mandatory

Date of search request

Mandatory

Time of search request

Mandatory

Transport manager

Given name

Mandatory

Free text alpha-numeric field

Family name(s)

Mandatory

Free text alpha-numeric field

Date of birth

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Place of birth

Optional

Free text alpha-numeric field

Number of certificate of professional competence

Mandatory

Free text alpha-numeric field

Date of issuance of the certificate of professional competence

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Country of issue of the certificate of professional competence

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

EN 18.12.2010 Official Journal of the European Union L 335/251.2.2. Search Response Message

When replying to a Search Request Message as foreseen under 1.2.1., Member States shall use messages of the following format (Search Response Message): Data type

Data item

Mandatory or optional

Additional description of data field

Requesting Member State

Requesting Member State

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Requesting competent authority

Requesting competent authority identifier

Mandatory

Free text alpha-numeric field

Replying Member State

Replying Member State

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Replying competent authority

Replying competent authority identifier

Mandatory

Free text alpha-numeric field

Search response details

Number of search request message

Mandatory

Free text alpha-numeric field

Date of response

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Time of response

Mandatory

Numeric data field in format (HH:MM:SS)

Search results

Status

Mandatory

Declaration of either: — Found — Not found

Transport manager

First given name

Mandatory

Free text alpha-numeric field

Family name(s)

Mandatory

Free text alpha-numeric field

Date of birth

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Place of birth

Mandatory

Free text alpha-numeric field

Number of certificate of professional competence

Mandatory

Free text alpha-numeric field

Date of issuance of the certificate of professional competence

Mandatory

Numeric data entry in ISO 8601 format (YYYY-MM-DD)

Country of issue of the certificate of professional competence

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Number of undertakings managed

Mandatory

Numeric data entry

EN L 335/26 Official Journal of the European Union 18.12.2010Data type

Data item

Mandatory or optional

Additional description of data field

Number of vehicles managed

Mandatory

Numeric data entry

Fitness

Fitness

Mandatory

Declaration of either — ‘Unfit’ — ‘Fit’

End date till when the person is declared unfit

Optional

Numeric data entry in ISO 8601 format (YYYY-MM-DD) Applicable if the Fitness is ‘Unfit’

1.3. AcknowledgementWhen acknowledging the receipt of a message, Member States shall use messages of the following format (Acknowledgement Message): Data type

Data item

Mandatory or optional

Additional description of data field

Acknowledging Member State

Acknowledging Member State

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Acknowledging competent authority

Acknowledging competent authority identifier

Mandatory

Free text alpha-numeric field

Destination Member State

Destination Member State

Mandatory

Selected from two letter code ISO 3166-1 alpha 2

Destination competent authority

Destination competent authority identifier

Mandatory

Free text alpha-numeric field

Original message details

Original message identifier

Mandatory

Free text alpha-numeric field

Acknowledgement details

Acknowledgement message identifier

Mandatory

Free text alpha-numeric field

Date of acknowledgement

Mandatory

Numeric data entry in form YYYY-MM-DD

Time of acknowledgement

Mandatory

Numeric data entry in form HH:MM:SS

2. THE ERRU ARCHITECTURE

The interconnection shall take the form of an XML messaging framework providing services to Member States by means of XML messages exchanged in a reliable, secure and in a choreographed (workflow) way.

The ERRU system shall consist of a system comprising a ‘central hub’ architecture (client-server with an intelligent router) and a ‘peer to peer’ architecture. Member States can choose to use any of the above two architectures to exchange XML messages on sTESTA network (using HTTPS).EN 18.12.2010 Official Journal of the European Union L 335/27The ERRU system is depicted in figure 1 below:

Figure 1

ERRU systemMemberStatePeertopeerCentralhubBrokerCentralhubMemberStateMemberStateMemberStateMemberStateMemberStateMemberStateMemberStateMemberStateBrokerBrokerBroker

Member States shall have two options to communicate messages, depending on the architecture which is being used by the Member States involved in the exchange: Using central hub architecture or using peer-to-peer architecture.

The central hub shall be managed by the Commission. The Commission shall be responsible for the technical operation, the maintenance and the overall security of the sTESTA network and of the central hub. Only logging data shall be stored on this central hub. The Commission shall have no access to business data except for maintenance and debugging purposes.

Member States shall be responsible for their national system. Member States using a peer-to-peer architecture shall be responsible for the interoperability of the peer-to-peer architecture with the central hub.

Member States shall use for the interconnection through ERRU:

— Standard Internet protocols (XML, HTTPS, XML Web Services), and

— sTESTA private network of the European Commission.

3. STATISTICS AND LOGGING

Member States using peer-to-peer connections shall place at the disposal of the Commission the information necessary for statistical purposes on a weekly basis.

In order to ensure privacy, the data for statistical purposes shall be anonymous.

Logging information shall keep track of all transactions for monitoring and debugging purposes, and to be able to generate statistics about these transactions. The following types of logging data shall be stored and monitored:

— Application log (such as messages exchanged, including type of message, date, message structure),

— Security log (such as logon attempts, accessing of files),

— System log (such as system failures).EN L 335/28 Official Journal of the European Union 18.12.2010Logging information shall not be retained for more than 6 months.

Member States using a peer-to-peer architecture shall be responsible for logging information concerning transactions carried out through the peer-to-peer connections.

The national contact points designated by Member States according to Article 18(1) of Regulation (EC) No 1071/2009 shall be responsible for access to exchanged data and further use and updating of data after access.

4. MINIMUM LEVEL OF SERVICE

Member States shall apply the following minimum service standards with regards to ERRU:

4.1. Service time frame and coverage24 hours/7 days

4.2. Availability rate of the technical system98 %

System Availability rate represents the percentage of successful transactions per month.

4.3. System response timeMaximum 60 seconds.

If a system does not meet the requested response time the Member State shall undertake all necessary steps to bring the system back to normal response time as quickly as possible.

4.4. Maintenance procedureMember States shall notify other Member States and the Commission of any routine maintenance activities via the maintenance portal 1 week before.

4.5. Incident escalationAn incident is a situation where a Member State’s system is not available due to unforeseeable reasons.

In case an incident cannot be corrected within 30 minutes the following escalation procedure shall be applied by the Member State whose system is at the origin of the incident:

(a) notification of the incident to the other Member States and to the Commission by e-mail within 30 minutes;

(b) immediately after the system has been restored a further message shall be sent by e-mail to inform the other Member States and the Commission that the system is back to normal.EN 18.12.2010 Official Journal of the European Union L 335/29