# Official Journal L 106/2020

| | ISSN 1977-0677 |
| --- | --- |
| Official Journal
  of the European Union | L 106 |
| | |
| English edition | Legislation | Volume 636 April 2020 |

ISSN 1977-0677

Official Journal

of the European Union

L 106

English edition

Legislation

Volume 636 April 2020

---

| Contents | | II   Non-legislative acts | page |
| --- | --- | --- | --- |
| | | GUIDELINES |
| | * | Guideline (EU) 2020/496 of the European Central Bank of 19 March 2020 amending Guideline (EU) 2019/1265 on the euro short-term rate (€STR) (ECB/2020/15) | 1 |
| | * | Guideline (EU) 2020/497 of the European Central Bank of 20 March 2020 on the recording of certain data by national competent authorities in the Register of Institutions and Affiliates Data (ECB/2020/16) | 3 |

Contents

II   Non-legislative acts

page

GUIDELINES

*

Guideline (EU) 2020/496 of the European Central Bank of 19 March 2020 amending Guideline (EU) 2019/1265 on the euro short-term rate (€STR) (ECB/2020/15)

1

*

Guideline (EU) 2020/497 of the European Central Bank of 20 March 2020 on the recording of certain data by national competent authorities in the Register of Institutions and Affiliates Data (ECB/2020/16)

3

| | | Corrigenda |
| --- | --- | --- |
| | * | Corrigendum to definitive adoption (EU, Euratom) 2020/227 of the European Union’s general budget for the financial year 2020 ( OJ L 57, 27.2.2020 ) | 12 |
| | * | Corrigendum to Commission Implementing Regulation (EU) 2020/469 of 14 February 2020 amending Regulation (EU) No 923/2012, Regulation (EU) No 139/2014 and Regulation (EU) 2017/373 as regards requirements for air traffic management/air navigation services, design of airspace structures and data quality, runway safety and repealing Regulation No 73/2010 ( OJ L 104, 3.4.2020 ) | 14 |

Corrigenda

*

Corrigendum to definitive adoption (EU, Euratom) 2020/227 of the European Union’s general budget for the financial year 2020 ( OJ L 57, 27.2.2020 )

( OJ L 57, 27.2.2020 )

12

*

Corrigendum to Commission Implementing Regulation (EU) 2020/469 of 14 February 2020 amending Regulation (EU) No 923/2012, Regulation (EU) No 139/2014 and Regulation (EU) 2017/373 as regards requirements for air traffic management/air navigation services, design of airspace structures and data quality, runway safety and repealing Regulation No 73/2010 ( OJ L 104, 3.4.2020 )

( OJ L 104, 3.4.2020 )

14

| EN | Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.
  The titles of all other Acts are printed in bold type and preceded by an asterisk. |
| --- | --- |

EN

Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.

The titles of all other Acts are printed in bold type and preceded by an asterisk.

---

II Non-legislative acts

GUIDELINES

| 6.4.2020 | EN | Official Journal of the European Union | L 106/1 |
| --- | --- | --- | --- |

6.4.2020

EN

Official Journal of the European Union

L 106/1

---

GUIDELINE (EU) 2020/496 OF THE EUROPEAN CENTRAL BANK

of 19 March 2020

amending Guideline (EU) 2019/1265 on the euro short-term rate (€STR) (ECB/2020/15)

THE GOVERNING COUNCIL OF THE EUROPEAN CENTRAL BANK,

Having regard to the Treaty on the Functioning of the European Union and in particular Article 127(2) and (5) thereof,

Having regard to the Statute of the European System of Central Banks and of the European Central Bank, and in particular Article 12.1 and 14.3 thereof,

Whereas:

| (1) | Article 5(2) of Guideline (EU) 2019/1265 of the European Central Bank (ECB/2019/19) (1) provides that national central banks (NCBs) having one or more reporting agents resident in their Member State are required to carry out the euro short-term rate determination process and post-production procedures in accordance with the business procedures referred to in Article 6(3) of that Guideline. In the interests of the efficient allocation of resources, it is, however, appropriate that the ECB should carry out those tasks on behalf of NCBs which have only one reporting agent resident in their Member State and do not operate a local collection platform. |
| --- | --- |

(1)

Article 5(2) of Guideline (EU) 2019/1265 of the European Central Bank (ECB/2019/19) (1) provides that national central banks (NCBs) having one or more reporting agents resident in their Member State are required to carry out the euro short-term rate determination process and post-production procedures in accordance with the business procedures referred to in Article 6(3) of that Guideline. In the interests of the efficient allocation of resources, it is, however, appropriate that the ECB should carry out those tasks on behalf of NCBs which have only one reporting agent resident in their Member State and do not operate a local collection platform.

| (2) | To enhance the user-friendliness of the complaints procedure set out in Article 11 of Guideline (EU) 2019/1265 (ECB/2019/19), the possibility for electronic submission of complaints should be introduced. |
| --- | --- |

(2)

To enhance the user-friendliness of the complaints procedure set out in Article 11 of Guideline (EU) 2019/1265 (ECB/2019/19), the possibility for electronic submission of complaints should be introduced.

| (3) | Therefore, Guideline (EU) 2019/1265 (ECB/2019/19) should be amended accordingly, |
| --- | --- |

(3)

Therefore, Guideline (EU) 2019/1265 (ECB/2019/19) should be amended accordingly,

HAS ADOPTED THIS GUIDELINE:

Article 1

Amendments

Guideline (EU) 2019/1265 (ECB/2019/19) is amended as follows:

| 1. | in Article 5, the following paragraph 2a is inserted:

  ‘2a.   If an NCB has only one reporting agent resident in its Member State and does not operate a local collection platform, the ECB may with the prior agreement of that NCB carry out on its behalf the tasks that the NCB is required to carry out pursuant to Article 5(2) and that relate to the euro short-term rate determination process and post-production procedures. If the ECB carries out such tasks on behalf of an NCB, the ECB shall follow the business procedures referred to in Article 6(3).’; |
| --- | --- |

1.

in Article 5, the following paragraph 2a is inserted:

‘2a.   If an NCB has only one reporting agent resident in its Member State and does not operate a local collection platform, the ECB may with the prior agreement of that NCB carry out on its behalf the tasks that the NCB is required to carry out pursuant to Article 5(2) and that relate to the euro short-term rate determination process and post-production procedures. If the ECB carries out such tasks on behalf of an NCB, the ECB shall follow the business procedures referred to in Article 6(3).’;

| 2. | In Article 11, paragraph 1 is replaced by the following:

  ‘1.   Any person may submit to the ECB a written complaint about any aspect of the euro short-term rate determination process that they reasonably consider has significantly affected their interests. The complaint may be submitted either by post to European Central Bank, 60640 Frankfurt am Main, Germany, or electronically to euroshorttermrate_complaints@ecb.europa.eu.’. |
| --- | --- |

2.

In Article 11, paragraph 1 is replaced by the following:

‘1.   Any person may submit to the ECB a written complaint about any aspect of the euro short-term rate determination process that they reasonably consider has significantly affected their interests. The complaint may be submitted either by post to European Central Bank, 60640 Frankfurt am Main, Germany, or electronically to euroshorttermrate_complaints@ecb.europa.eu.’.

Article 2

Taking effect

This Guideline shall take effect on the day of its notification to the national central banks of the Member States whose currency is the euro.

Article 3

Addressees

This Guideline is addressed to all Eurosystem central banks.

Done at Frankfurt am Main, 19 March 2020.

For the Governing Council of the ECB

The President of the ECB

Christine LAGARDE

---

(1)  Guideline (EU) 2019/1265 of the European Central Bank of 10 July 2019 on the euro short-term rate (€STR) (ECB/2019/19) (OJ L 199, 26.7.2019, p. 8).

1

---

| 6.4.2020 | EN | Official Journal of the European Union | L 106/3 |
| --- | --- | --- | --- |

6.4.2020

EN

Official Journal of the European Union

L 106/3

---

GUIDELINE (EU) 2020/497 OF THE EUROPEAN CENTRAL BANK

of 20 March 2020

on the recording of certain data by national competent authorities in the Register of Institutions and Affiliates Data (ECB/2020/16)

the governing council of the European Central Bank,

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 6(1), Article 6(2) and Article 6(7) thereof,

Having regard to the proposal of the Supervisory Board and in consultation with the national competent authorities,

Whereas:

| (1) | The European Central Bank (ECB) maintains the Register of Institutions and Affiliates Data (RIAD). RIAD is the shared dataset of reference data on legal and other statistical institutional units, the collection of which supports business processes across the Eurosystem and the performance of the tasks of the European System of Central Banks (ESCB) and the specific tasks related to prudential supervision conferred on the ECB pursuant to Regulation (EU) No 1024/2013 carried out within the Single Supervisory Mechanism (SSM) composed of the ECB and the NCAs (‘supervisory tasks’). RIAD facilitates the integration of a variety of datasets, in particular by providing common identifiers. |
| --- | --- |

(1)

The European Central Bank (ECB) maintains the Register of Institutions and Affiliates Data (RIAD). RIAD is the shared dataset of reference data on legal and other statistical institutional units, the collection of which supports business processes across the Eurosystem and the performance of the tasks of the European System of Central Banks (ESCB) and the specific tasks related to prudential supervision conferred on the ECB pursuant to Regulation (EU) No 1024/2013 carried out within the Single Supervisory Mechanism (SSM) composed of the ECB and the NCAs (‘supervisory tasks’). RIAD facilitates the integration of a variety of datasets, in particular by providing common identifiers.

| (2) | RIAD contains a wide range of attributes on individual entities and relationships between such entities that enable the derivation of group structures. These structures may be composed differently for accounting and prudential consolidation purposes. This information is used to support a number of processes and business areas, e.g. collateral and risk management, financial stability and micro-prudential supervision. |
| --- | --- |

(2)

RIAD contains a wide range of attributes on individual entities and relationships between such entities that enable the derivation of group structures. These structures may be composed differently for accounting and prudential consolidation purposes. This information is used to support a number of processes and business areas, e.g. collateral and risk management, financial stability and micro-prudential supervision.

| (3) | Guideline (EU) 2018/876 of the European Central Bank (ECB/2018/16) (2) establishes the obligations of NCBs with respect to the reporting of reference data to, and the maintenance and data quality management of, RIAD, for the purpose of ESCB tasks, and sets out the governance framework. The aim of this Guideline is to complement it, establishing the responsibilities of each NCA to record, update and validate reference data reported to the ECB for the purpose of supervisory tasks, in line with the duty of cooperation in good faith and the obligation to exchange information established in Article 6(2) of Regulation (EU) No 1024/2013 and further specified in Article 21 of Regulation (EU) No 468/2014 of the European Central Bank (ECB/2014/17) (3). For greater efficiency and to minimise the reporting burden, the data collection within the SSM under these provisions follows what is known as a ‘sequential approach’, i.e. both significant and less significant credit institutions submit their data to NCAs, which then report to the ECB. |
| --- | --- |

(3)

Guideline (EU) 2018/876 of the European Central Bank (ECB/2018/16) (2) establishes the obligations of NCBs with respect to the reporting of reference data to, and the maintenance and data quality management of, RIAD, for the purpose of ESCB tasks, and sets out the governance framework. The aim of this Guideline is to complement it, establishing the responsibilities of each NCA to record, update and validate reference data reported to the ECB for the purpose of supervisory tasks, in line with the duty of cooperation in good faith and the obligation to exchange information established in Article 6(2) of Regulation (EU) No 1024/2013 and further specified in Article 21 of Regulation (EU) No 468/2014 of the European Central Bank (ECB/2014/17) (3). For greater efficiency and to minimise the reporting burden, the data collection within the SSM under these provisions follows what is known as a ‘sequential approach’, i.e. both significant and less significant credit institutions submit their data to NCAs, which then report to the ECB.

| (4) | Pursuant to Article 3(2) of Guideline (EU) 2018/876 (ECB/2018/16), each national central bank (NCB) must establish a local RIAD hub, which acts as the unique point of contact for reference data matters relating to RIAD in the Member State and coordinates activity, inter alia, with NCAs at national level to ensure the accuracy, timeliness and consistency of reference data and to ensure the consistent use of identifiers for entities. Recommendation ECB/2018/36 (4) invites NCBs of the Member States whose currency is not the euro to apply the provisions of Guideline (EU) 2018/876 (ECB/2018/16) addressed to NCBs of Member States whose currency is the euro. This Guideline accordingly establishes the responsibilities of each NCA to liaise with the NCB in its participating Member State. |
| --- | --- |

(4)

Pursuant to Article 3(2) of Guideline (EU) 2018/876 (ECB/2018/16), each national central bank (NCB) must establish a local RIAD hub, which acts as the unique point of contact for reference data matters relating to RIAD in the Member State and coordinates activity, inter alia, with NCAs at national level to ensure the accuracy, timeliness and consistency of reference data and to ensure the consistent use of identifiers for entities. Recommendation ECB/2018/36 (4) invites NCBs of the Member States whose currency is not the euro to apply the provisions of Guideline (EU) 2018/876 (ECB/2018/16) addressed to NCBs of Member States whose currency is the euro. This Guideline accordingly establishes the responsibilities of each NCA to liaise with the NCB in its participating Member State.

| (5) | Reference data recorded in RIAD remain subject to the specific legal provisions relating to confidentiality which apply to them and to their collection from entities by the NCAs. The ECB’s use of confidential information collected for the purpose of ESCB tasks and supervisory tasks is subject to the application of the principle of separation in accordance with Article 25 of Regulation (EU) No 1024/2013 and Decision ECB/2014/39 (5). |
| --- | --- |

(5)

Reference data recorded in RIAD remain subject to the specific legal provisions relating to confidentiality which apply to them and to their collection from entities by the NCAs. The ECB’s use of confidential information collected for the purpose of ESCB tasks and supervisory tasks is subject to the application of the principle of separation in accordance with Article 25 of Regulation (EU) No 1024/2013 and Decision ECB/2014/39 (5).

| (6) | Accurate, timely and comprehensive reference data on entities and the relationships between them are necessary for the performance of supervisory tasks. Hence, it is necessary to consolidate the requirements relating to data collection, quality management and dissemination under this Guideline, addressed to the NCAs, as regards the supervisory tasks, to complement those already consolidated in Guideline (EU) 2018/876 (ECB/2018/16) as regards the ESCB tasks, |
| --- | --- |

(6)

Accurate, timely and comprehensive reference data on entities and the relationships between them are necessary for the performance of supervisory tasks. Hence, it is necessary to consolidate the requirements relating to data collection, quality management and dissemination under this Guideline, addressed to the NCAs, as regards the supervisory tasks, to complement those already consolidated in Guideline (EU) 2018/876 (ECB/2018/16) as regards the ESCB tasks,

HAS ADOPTED THIS GUIDELINE:

Article 1

Subject matter and purpose

1.   This Guideline establishes the obligations of NCAs with respect to the recording, maintenance and quality management of reference data in RIAD for the purposes of supervisory tasks.

2.   This Guideline also establishes the responsibilities of NCAs to liaise with the NCBs of their participating Member States for recording reference data and entities in RIAD.

Article 2

Definitions

For the purposes of this Guideline, the following definitions apply:

| (1) | ‘entity’ means any of the following:






  (a) | an undertaking included in the scope of prudential consolidation in accordance with Chapter 2 of Title II of Part One of Regulation (EU) No 575/2013 of the European Parliament and the Council (6), or an undertaking that would have been included in such scope if it had not been granted a waiver in accordance with that Regulation; |
| --- | --- | --- |

(1)

‘entity’ means any of the following:

(a)

an undertaking included in the scope of prudential consolidation in accordance with Chapter 2 of Title II of Part One of Regulation (EU) No 575/2013 of the European Parliament and the Council (6), or an undertaking that would have been included in such scope if it had not been granted a waiver in accordance with that Regulation;

6

| (b) | an undertaking excluded from the scope of prudential consolidation in accordance with Article 19 of Regulation (EU) No 575/2013; |
| --- | --- |

(b)

an undertaking excluded from the scope of prudential consolidation in accordance with Article 19 of Regulation (EU) No 575/2013;

| (c) | a branch as defined in point 17 of Article 4(1) of Regulation (EU) No 575/2013 which is established in a participating Member State by a credit institution established in another participating Member State; |
| --- | --- |

(c)

a branch as defined in point 17 of Article 4(1) of Regulation (EU) No 575/2013 which is established in a participating Member State by a credit institution established in another participating Member State;

| (d) | a branch as defined in point 17 of Article 4(1) of Regulation (EU) No 575/2013 which is established in a participating Member State by a credit institution established in a non-participating Member State; |
| --- | --- |

(d)

a branch as defined in point 17 of Article 4(1) of Regulation (EU) No 575/2013 which is established in a participating Member State by a credit institution established in a non-participating Member State;

| (2) | ‘participating Member State’ means participating Member State as defined in point 1 of Article 2 of Regulation (EU) No 1024/2013; |
| --- | --- |

(2)

‘participating Member State’ means participating Member State as defined in point 1 of Article 2 of Regulation (EU) No 1024/2013;

| (3) | ‘non-participating Member State’ means a Member State that is not a participating Member State; |
| --- | --- |

(3)

‘non-participating Member State’ means a Member State that is not a participating Member State;

| (4) | ‘national competent authority’ or ‘NCA’ means national competent authority as defined in point 2 of Article 2 of Regulation (EU) No 1024/2013; |
| --- | --- |

(4)

‘national competent authority’ or ‘NCA’ means national competent authority as defined in point 2 of Article 2 of Regulation (EU) No 1024/2013;

| (5) | ‘reference data’ means the set of attributes of an individual entity and its relationships with other entities, as listed in Annexes I and II, or any one or more attributes or relationships in that set; |
| --- | --- |

(5)

‘reference data’ means the set of attributes of an individual entity and its relationships with other entities, as listed in Annexes I and II, or any one or more attributes or relationships in that set;

| (6) | ‘credit institution’ means credit institution as defined in point 1 of Article 4(1) of Regulation (EU) No 575/2013; |
| --- | --- |

(6)

‘credit institution’ means credit institution as defined in point 1 of Article 4(1) of Regulation (EU) No 575/2013;

| (7) | ‘group’ means group as defined in point 5 of Article 2 of Regulation (EU) No 468/2014 (ECB/2014/17); |
| --- | --- |

(7)

‘group’ means group as defined in point 5 of Article 2 of Regulation (EU) No 468/2014 (ECB/2014/17);

| (8) | ‘resident’ means resident as defined in point 4 of Article 1 of Council Regulation (EC) No 2533/98 (7); |
| --- | --- |

(8)

‘resident’ means resident as defined in point 4 of Article 1 of Council Regulation (EC) No 2533/98 (7);

7

| (9) | ‘compounding rule’ means compounding rule as defined in point 17 of Article 2 of Guideline (EU) 2018/876 (ECB/2018/16); |
| --- | --- |

(9)

‘compounding rule’ means compounding rule as defined in point 17 of Article 2 of Guideline (EU) 2018/876 (ECB/2018/16);

| (10) | ‘RIAD hub’ means RIAD hub as defined in point 18 of Article 2 of Guideline (EU) 2018/876 (ECB/2018/16); |
| --- | --- |

(10)

‘RIAD hub’ means RIAD hub as defined in point 18 of Article 2 of Guideline (EU) 2018/876 (ECB/2018/16);

| (11) | ‘working day’ means working day as defined in point 20 of Article 2 of Guideline (EU) 2018/876 (ECB/2018/16); |
| --- | --- |

(11)

‘working day’ means working day as defined in point 20 of Article 2 of Guideline (EU) 2018/876 (ECB/2018/16);

| (12) | ‘control’ means control as defined in point 37 of Article 4(1) of Regulation (EU) No 575/2013; |
| --- | --- |

(12)

‘control’ means control as defined in point 37 of Article 4(1) of Regulation (EU) No 575/2013;

| (13) | ‘Legal Entity Identifier’ or ‘LEI’ means an alphanumeric reference code in line with the ISO 17442 standard (8). |
| --- | --- |

(13)

‘Legal Entity Identifier’ or ‘LEI’ means an alphanumeric reference code in line with the ISO 17442 standard (8).

8

Article 3

Recording of reference data in RIAD

1.   Each NCA shall record in RIAD the reference data specified in Annex I for entities that are credit institutions established in its participating Member State unless those reference data have already been recorded in RIAD pursuant to Guideline (EU) 2018/876 (ECB/2018/16).

2.   Each NCA shall record in RIAD the reference data specified in Annex II for entities that are not credit institutions and are established in its participating Member State unless those reference data have already been recorded in RIAD pursuant to Guideline (EU) 2018/876 (ECB/2018/16).

3.   An NCA in whose jurisdiction an entity that is a credit institution at the highest level of consolidation within the participating Member States is established shall take all possible measures to accurately record in RIAD the reference data for entities established in non-participating Member States or third countries and that are part of the same group as that credit institution unless the relevant reference data has already been recorded in RIAD pursuant to Guideline (EU) 2018/876 (ECB/2018/16). For this purpose, NCAs shall take all possible measures to record in RIAD the reference data specified in Annex I for entities that are credit institutions and the reference data specified in Annex II for entities that are not credit institutions.

4.   RIAD enables the processing of reference data on entities provided by one or more sources. If there are two or more contradictory sources, the compounding rule shall rank the relevant data sources in accordance with Article 4(5) of Guideline (EU) 2018/876 (ECB/2018/16).

5.   In case of conflicting information on relationships between entities in cross-border group structures, the NCAs shall liaise with the NCA in whose jurisdiction a credit institution at the highest level of consolidation within the participating Member States is established.

6.   NCAs shall not be held responsible for the misuse of the reference data recorded by them in RIAD by any other NCA, by any NCB, or by the ECB.

7.   For the purpose of complying with the requirements laid down in this Guideline, each NCA shall make reasonable efforts to actively cooperate with the local RIAD hub established in the NCB in its participating Member State.

Article 4

Maintenance and revision policy

1.   NCAs shall make reasonable efforts to ensure that all reference data recorded in RIAD under this Guideline are kept up-to-date on an ongoing basis.

2.   NCAs shall ensure that the reference data recorded in RIAD pursuant to Article 3(1) and (2) is complete, accurate and up-to-date at the latest one working day preceding the remittance dates specified in Article 3 of Commission Implementing Regulation (EU) No 680/2014 (9).

Article 5

Recording of new entities

To fulfil its obligations under this Guideline, each NCA shall liaise with the NCB in its participating Member State if a new entity needs to be recorded in RIAD.

Article 6

Transmission standards

1.   The process for recording reference data in RIAD is described in the data exchange specifications, to which NCAs have access. Each NCA shall record information either via the standard ESCB facility, via online updates, or, depending on national arrangements, via the transmission channel already in use by the NCB in its participating Member State. In each case, the NCAs shall record the reference data required for resident entities under this Guideline via the dedicated ‘SUP’ source in RIAD.

2.   Prior to recording reference data in RIAD, NCAs shall carry out validation checks to ensure that the relevant reference data complies with the data exchange specifications. NCAs shall maintain an adequate set of controls to minimise operational errors and ensure the accuracy and consistency of the reference data recorded in RIAD.

3.   Where NCAs are unable to access RIAD due to a technical failure, they shall use the contingency facility envisaged for that eventuality or transmit the reference data by encrypted email to the following address: RIAD-Support@ecb.europa.eu.

4.   When recording reference data, NCAs may use their national character set, provided they use the Roman alphabet. They shall use Unicode (UTF-8) to correctly display all special character sets when receiving information from the ECB via RIAD.

5.   An NCA may make technical arrangements with the NCB in its participating Member State for the recording of the reference data in RIAD pursuant to this Guideline. However, even in such case, the NCA shall remain responsible for the accuracy and quality of the reference data.

Article 7

Acquisition and error acknowledgements

1.   When NCAs record reference data in RIAD, checks are automatically run to verify the quality of the information provided on the basis of agreed standards and validation rules.

2.   Once NCAs have recorded the reference data, the ECB shall provide an automated backflow including:

| (a) | an acquisition acknowledgement containing summary information on the updates which have been processed and implemented successfully in the relevant dataset; or |
| --- | --- |

(a)

an acquisition acknowledgement containing summary information on the updates which have been processed and implemented successfully in the relevant dataset; or

| (b) | an error acknowledgement containing detailed information on the updates and validation checks which have failed. On receipt of an error acknowledgement, the NCA shall take prompt action to correct the data and record them in RIAD. |
| --- | --- |

(b)

an error acknowledgement containing detailed information on the updates and validation checks which have failed. On receipt of an error acknowledgement, the NCA shall take prompt action to correct the data and record them in RIAD.

Article 8

Confidentiality of reference data

1.   Reference data recorded in RIAD are subject to the specific legal provisions relating to confidentiality which apply to them and their collection from entities by the NCAs. Reference data identified as confidential under those legal provisions shall not be published. Information from sources which are available to the public in accordance with national legislation shall not be considered confidential.

2.   NCAs shall declare the confidentiality status of reference data in accordance with Article 10 of Guideline (EU) 2018/876 (ECB/2018/16).

3.   The following reference data shall always be confidential, that is have the value ‘C’:

| (a) | SSM reporting requirements; |
| --- | --- |

(a)

SSM reporting requirements;

| (b) | liquidity sub-group code; and |
| --- | --- |

(b)

liquidity sub-group code; and

| (c) | head of the liquidity sub-group. |
| --- | --- |

(c)

head of the liquidity sub-group.

Article 9

Taking effect

1.   This Guideline shall take effect on the day of its notification to the NCAs.

2.   The NCAs shall comply with this Guideline from 31 March 2020.

Article 10

Addressees

This Guideline is addressed to the NCAs.

Done at Frankfurt am Main, 20 March 2020.

The President of the ECB

Christine LAGARDE

---

(1)  
  OJ L 287, 29.10.2013, p. 63.

1

(2)  Guideline (EU) 2018/876 of the European Central Bank of 1 June 2018 on the Register of Institutions and Affiliates Data (ECB/2018/16) (OJ L 154, 18.6.2018, p.3).

2

(3)  Regulation (EU) No 468/2014 of the European Central Bank of 16 April 2014 establishing the framework for cooperation within the Single Supervisory Mechanism between the European Central Bank and national competent authorities and with national designated authorities (SSM Framework Regulation) (ECB/2014/17) (OJ L 141, 14.5.2014, p. 1).

3

(4)  Recommendation ECB/2018/36 of the European Central Bank of 7 December 2018 on the Register of Institutions and Affiliates Data (OJ C 21, 17.1.2019, p. 1).

4

(5)  Decision ECB/2014/39 of the European Central Bank of 17 September 2014 on the implementation of separation between the monetary policy and supervision functions of the European Central Bank (OJ L 300, 18.10.2014, p. 57).

5

(6)  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).

6

(7)  Council Regulation (EC) No 2533/98 of 23 November 1998 concerning the collection of statistical information of the European Central Bank (OJ L 318, 27.11.1998, p. 8).

7

(8)  Available on the website of the International Organisation for Standardisation (ISO) at www.iso.org.

8

(9)  Commission Implementing Regulation (EU) No 680/2014 of 16 April 2014 laying down implementing technical standards with regard to supervisory reporting of institutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council (OJ L 191, 28.6.2014, p. 1).

9

---

ANNEX I

REFERENCE DATA TO BE RECORDED FOR ENTITIES THAT ARE CREDIT INSTITUTIONS

| Attribute or relationship | Description |
| --- | --- |
| RIAD code | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Birth date | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Closure date | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| LEI | As in Guideline (EU) 2018/876 ( ECB/2018/16) |
| National identifier (as available) | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| SUBA ID | Non-public entity identifier used for reporting of entities without an LEI |
| Liquidity sub-group code | Code of the liquidity sub-group to which the entity belongs (if applicable) |
| Name | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Country of residence | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Address | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| City | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Postal Code | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Legal form | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Institutional sector | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Institutional sector details | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Institutional sector control | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Flag Listed | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Reporting currency | Currency in which the entity reports to the NCA |
| Accounting Framework for Solo Reporting | Accounting framework used by the entity when reporting on a solo basis |
| Accounting Framework for Consolidated Reporting | Accounting framework used by the entity when reporting on a consolidated basis |
| Accounting year end | Month and day at the end of which the entity closes its yearly accounts. |
| Corporate action | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Date of corporate action | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| SSM reporting requirements | SSM reporting obligations to which an entity is subject (multiple values are possible for one entity) |
| Head of the liquidity sub-group | Flag identifying the entity representing the head of the liquidity sub-group |
| SSM entity type | Type of entity for supervision purposes |
| SSM country of supervision | Country where the entity is supervised |
| SSM EBA reporting | Institutions to be reported to the European Banking Authority (EBA) under the sequential approach pursuant to EBA Decision EBA/DC/2015/130 |
| EBA list for benchmarking portfolio | This attribute indicates the institutions included in the EBA list for benchmarking portfolio, pursuant to EBA Decision EBA/DC/2016/156 |
| Link to direct controlling parent | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Link to ultimate controlling parent | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Link to direct supervised ancestor | Parent entity that is a supervised entity and directly or indirectly owns/controls the entity |
| Link to ultimate supervised ancestor within SSM | Supervised entity that is domiciled in a participating Member State and is the highest supervised entity within a supervised group |
| Link to ultimate supervised ancestor outside SSM | The ultimate parent of the group domiciled in a non-participating Member State or in a non-EU country. An ultimate parent outside the SSM area should be reported only if this parent entity is an institution that is supervised by a credit institution’s supervisor in its respective country |

Attribute or relationship

Description

RIAD code

As in Guideline (EU) 2018/876 (ECB/2018/16)

Birth date

As in Guideline (EU) 2018/876 (ECB/2018/16)

Closure date

As in Guideline (EU) 2018/876 (ECB/2018/16)

LEI

As in Guideline (EU) 2018/876 ( ECB/2018/16)

National identifier (as available)

As in Guideline (EU) 2018/876 (ECB/2018/16)

SUBA ID

Non-public entity identifier used for reporting of entities without an LEI

Liquidity sub-group code

Code of the liquidity sub-group to which the entity belongs (if applicable)

Name

As in Guideline (EU) 2018/876 (ECB/2018/16)

Country of residence

As in Guideline (EU) 2018/876 (ECB/2018/16)

Address

As in Guideline (EU) 2018/876 (ECB/2018/16)

City

As in Guideline (EU) 2018/876 (ECB/2018/16)

Postal Code

As in Guideline (EU) 2018/876 (ECB/2018/16)

Legal form

As in Guideline (EU) 2018/876 (ECB/2018/16)

Institutional sector

As in Guideline (EU) 2018/876 (ECB/2018/16)

Institutional sector details

As in Guideline (EU) 2018/876 (ECB/2018/16)

Institutional sector control

As in Guideline (EU) 2018/876 (ECB/2018/16)

Flag Listed

As in Guideline (EU) 2018/876 (ECB/2018/16)

Reporting currency

Currency in which the entity reports to the NCA

Accounting Framework for Solo Reporting

Accounting framework used by the entity when reporting on a solo basis

Accounting Framework for Consolidated Reporting

Accounting framework used by the entity when reporting on a consolidated basis

Accounting year end

Month and day at the end of which the entity closes its yearly accounts.

Corporate action

As in Guideline (EU) 2018/876 (ECB/2018/16)

Date of corporate action

As in Guideline (EU) 2018/876 (ECB/2018/16)

SSM reporting requirements

SSM reporting obligations to which an entity is subject (multiple values are possible for one entity)

Head of the liquidity sub-group

Flag identifying the entity representing the head of the liquidity sub-group

SSM entity type

Type of entity for supervision purposes

SSM country of supervision

Country where the entity is supervised

SSM EBA reporting

Institutions to be reported to the European Banking Authority (EBA) under the sequential approach pursuant to EBA Decision EBA/DC/2015/130

EBA list for benchmarking portfolio

This attribute indicates the institutions included in the EBA list for benchmarking portfolio, pursuant to EBA Decision EBA/DC/2016/156

Link to direct controlling parent

As in Guideline (EU) 2018/876 (ECB/2018/16)

Link to ultimate controlling parent

As in Guideline (EU) 2018/876 (ECB/2018/16)

Link to direct supervised ancestor

Parent entity that is a supervised entity and directly or indirectly owns/controls the entity

Link to ultimate supervised ancestor within SSM

Supervised entity that is domiciled in a participating Member State and is the highest supervised entity within a supervised group

Link to ultimate supervised ancestor outside SSM

The ultimate parent of the group domiciled in a non-participating Member State or in a non-EU country. An ultimate parent outside the SSM area should be reported only if this parent entity is an institution that is supervised by a credit institution’s supervisor in its respective country

---

ANNEX II

REFERENCE DATA TO BE RECORDED FOR ENTITIES THAT ARE NOT CREDIT INSTITUTIONS

| Attribute or relationship | Description |
| --- | --- |
| RIAD code | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Birth date | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Closure date | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| LEI | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| National identifiers (as available) | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Liquidity sub-group code | Code of the liquidity sub-group to which the entity belongs (if applicable) |
| Name | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Country of residence | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Address | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| City | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Postal code | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Legal form | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Institutional sector | As in Guideline (EU) 2018/876 ECB/2018/16 |
| Institutional sector details | As in Guideline (EU) 2018/876 ECB/2018/16 |
| Institutional sector control | As in Guideline (EU) 2018/876 ECB/2018/16 |
| Flag Listed | As in Guideline (EU) 2018/876 ECB/2018/16 |
| Corporate action | As in Guideline (EU) 2018/876 ECB/2018/16 |
| Date of corporate action | As in Guideline (EU) 2018/876 ECB/2018/16 |
| Head of the liquidity sub-group | Flag identifying the entity representing the head of the liquidity sub-group (if applicable) |
| SSM entity type | Type of entity for supervision purposes |
| SSM country of supervision | Country where the entity is supervised |
| Link to direct controlling parent | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Link to ultimate controlling parent | As in Guideline (EU) 2018/876 (ECB/2018/16) |
| Link to direct supervised ancestor | Parent entity that is a supervised entity and directly or indirectly owns/controls the entity |
| Link to ultimate supervised ancestor within SSM | Supervised entity that is domiciled in a participating Member State and is the highest supervised entity within a supervised group |
| Link to ultimate supervised ancestor outside SSM | The ultimate parent of the group domiciled in a non-participating Member State or in a non-EU country. An ultimate parent outside the SSM area should be reported only if this parent entity is an institution that is supervised by a credit institution’s supervisor in its respective country |

Attribute or relationship

Description

RIAD code

As in Guideline (EU) 2018/876 (ECB/2018/16)

Birth date

As in Guideline (EU) 2018/876 (ECB/2018/16)

Closure date

As in Guideline (EU) 2018/876 (ECB/2018/16)

LEI

As in Guideline (EU) 2018/876 (ECB/2018/16)

National identifiers (as available)

As in Guideline (EU) 2018/876 (ECB/2018/16)

Liquidity sub-group code

Code of the liquidity sub-group to which the entity belongs (if applicable)

Name

As in Guideline (EU) 2018/876 (ECB/2018/16)

Country of residence

As in Guideline (EU) 2018/876 (ECB/2018/16)

Address

As in Guideline (EU) 2018/876 (ECB/2018/16)

City

As in Guideline (EU) 2018/876 (ECB/2018/16)

Postal code

As in Guideline (EU) 2018/876 (ECB/2018/16)

Legal form

As in Guideline (EU) 2018/876 (ECB/2018/16)

Institutional sector

As in Guideline (EU) 2018/876 ECB/2018/16

Institutional sector details

As in Guideline (EU) 2018/876 ECB/2018/16

Institutional sector control

As in Guideline (EU) 2018/876 ECB/2018/16

Flag Listed

As in Guideline (EU) 2018/876 ECB/2018/16

Corporate action

As in Guideline (EU) 2018/876 ECB/2018/16

Date of corporate action

As in Guideline (EU) 2018/876 ECB/2018/16

Head of the liquidity sub-group

Flag identifying the entity representing the head of the liquidity sub-group (if applicable)

SSM entity type

Type of entity for supervision purposes

SSM country of supervision

Country where the entity is supervised

Link to direct controlling parent

As in Guideline (EU) 2018/876 (ECB/2018/16)

Link to ultimate controlling parent

As in Guideline (EU) 2018/876 (ECB/2018/16)

Link to direct supervised ancestor

Parent entity that is a supervised entity and directly or indirectly owns/controls the entity

Link to ultimate supervised ancestor within SSM

Supervised entity that is domiciled in a participating Member State and is the highest supervised entity within a supervised group

Link to ultimate supervised ancestor outside SSM

The ultimate parent of the group domiciled in a non-participating Member State or in a non-EU country. An ultimate parent outside the SSM area should be reported only if this parent entity is an institution that is supervised by a credit institution’s supervisor in its respective country

---

Corrigenda

| 6.4.2020 | EN | Official Journal of the European Union | L 106/12 |
| --- | --- | --- | --- |

6.4.2020

EN

Official Journal of the European Union

L 106/12

---

Corrigendum to definitive adoption (EU, Euratom) 2020/227 of the European Union’s general budget for the financial year 2020

(
  Official Journal of the European Union L 57 of 27 February 2020
  )

On page 18, A. Introduction and financing of the general budget, Table 4:

Table 4 should read as follows:

‘TABLE 4

Calculation of the gross reduction in GNI contribution for Denmark, Netherlands and Sweden and its financing, pursuant to Article 2(5) of Decision 2014/335/EU, Euratom (Chapter 1 6)

| Member State | Gross reduction | Percentage share of GNI base | GNI key applied to the gross reduction | Financing of the reduction |
| --- | --- | --- | --- | --- |
| | (1) | (2) | (3) | (4) = (1) + (3) |
| Belgium | | 2,84 | 32 315 590 | 32 315 590 |
| Bulgaria | | 0,36 | 4 143 098 | 4 143 098 |
| Czechia | | 1,27 | 14 439 375 | 14 439 375 |
| Denmark | – 146 333 564 | 1,91 | 21 737 317 | – 124 596 247 |
| Germany | | 21,65 | 246 111 806 | 246 111 806 |
| Estonia | | 0,17 | 1 878 136 | 1 878 136 |
| Ireland | | 1,64 | 18 636 293 | 18 636 293 |
| Greece | | 1,16 | 13 208 785 | 13 208 785 |
| Spain | | 7,64 | 86 854 423 | 86 854 423 |
| France | | 14,94 | 169 899 670 | 169 899 670 |
| Croatia | | 0,32 | 3 689 222 | 3 689 222 |
| Italy | | 10,80 | 122 742 708 | 122 742 708 |
| Cyprus | | 0,13 | 1 469 414 | 1 469 414 |
| Latvia | | 0,19 | 2 200 219 | 2 200 219 |
| Lithuania | | 0,28 | 3 236 611 | 3 236 611 |
| Luxembourg | | 0,26 | 2 963 014 | 2 963 014 |
| Hungary | | 0,85 | 9 622 538 | 9 622 538 |
| Malta | | 0,08 | 888 410 | 888 410 |
| Netherlands | – 782 321 749 | 4,89 | 55 561 753 | – 726 759 996 |
| Austria | | 2,43 | 27 650 415 | 27 650 415 |
| Poland | | 3,15 | 35 857 741 | 35 857 741 |
| Portugal | | 1,24 | 14 093 655 | 14 093 655 |
| Romania | | 1,33 | 15 165 924 | 15 165 924 |
| Slovenia | | 0,30 | 3 397 489 | 3 397 489 |
| Slovakia | | 0,59 | 6 689 472 | 6 689 472 |
| Finland | | 1,46 | 16 644 634 | 16 644 634 |
| Sweden | – 208 243 919 | 2,88 | 32 713 177 | – 175 530 742 |
| United Kingdom | | 15,22 | 173 088 343 | 173 088 343 |
| Total | –1 136 899 232 | 100,00 | 1 136 899 232 | 0 |
| EU GDP price deflator, in EUR (spring 2019 economic forecast) : (a) 2011 EU-27 = 100,0000 / (b) 2013 EU-27 = 102,9958 (c) 2013 EU-28 = 102,9874 / (d) 2020 EU-28 = 112,5551 |
| Lump sum for Netherlands: in 2020 prices: 695 000 000 EUR × [ (b/a) × (d/c) ] = 782 321 749 EUR |
| Lump sum for Sweden: in 2020 prices: 185 000 000 EUR × [ (b/a) × (d/c) ] = 208 243 919 EUR |
| Lump sum for Denmark: in 2020 prices: 130 000 000 EUR × [ (b/a) × (d/c) ] = 146 333 564 EUR’ |

Member State

Gross reduction

Percentage share of GNI base

GNI key applied to the gross reduction

Financing of the reduction

(1)

(2)

(3)

(4) = (1) + (3)

Belgium

2,84

32 315 590

32 315 590

Bulgaria

0,36

4 143 098

4 143 098

Czechia

1,27

14 439 375

14 439 375

Denmark

– 146 333 564

1,91

21 737 317

– 124 596 247

Germany

21,65

246 111 806

246 111 806

Estonia

0,17

1 878 136

1 878 136

Ireland

1,64

18 636 293

18 636 293

Greece

1,16

13 208 785

13 208 785

Spain

7,64

86 854 423

86 854 423

France

14,94

169 899 670

169 899 670

Croatia

0,32

3 689 222

3 689 222

Italy

10,80

122 742 708

122 742 708

Cyprus

0,13

1 469 414

1 469 414

Latvia

0,19

2 200 219

2 200 219

Lithuania

0,28

3 236 611

3 236 611

Luxembourg

0,26

2 963 014

2 963 014

Hungary

0,85

9 622 538

9 622 538

Malta

0,08

888 410

888 410

Netherlands

– 782 321 749

4,89

55 561 753

– 726 759 996

Austria

2,43

27 650 415

27 650 415

Poland

3,15

35 857 741

35 857 741

Portugal

1,24

14 093 655

14 093 655

Romania

1,33

15 165 924

15 165 924

Slovenia

0,30

3 397 489

3 397 489

Slovakia

0,59

6 689 472

6 689 472

Finland

1,46

16 644 634

16 644 634

Sweden

– 208 243 919

2,88

32 713 177

– 175 530 742

United Kingdom

15,22

173 088 343

173 088 343

Total

–1 136 899 232

100,00

1 136 899 232

0

EU GDP price deflator, in EUR (spring 2019 economic forecast) : (a) 2011 EU-27 = 100,0000 / (b) 2013 EU-27 = 102,9958 (c) 2013 EU-28 = 102,9874 / (d) 2020 EU-28 = 112,5551

Lump sum for Netherlands: in 2020 prices: 695 000 000 EUR × [ (b/a) × (d/c) ] = 782 321 749 EUR

Lump sum for Sweden: in 2020 prices: 185 000 000 EUR × [ (b/a) × (d/c) ] = 208 243 919 EUR

Lump sum for Denmark: in 2020 prices: 130 000 000 EUR × [ (b/a) × (d/c) ] = 146 333 564 EUR’

---

| 6.4.2020 | EN | Official Journal of the European Union | L 106/14 |
| --- | --- | --- | --- |

6.4.2020

EN

Official Journal of the European Union

L 106/14

---

Corrigendum to Commission Implementing Regulation (EU) 2020/469 of 14 February 2020 amending Regulation (EU) No 923/2012, Regulation (EU) No 139/2014 and Regulation (EU) 2017/373 as regards requirements for air traffic management/air navigation services, design of airspace structures and data quality, runway safety and repealing Regulation No 73/2010

(
  Official Journal of the European Union L 104 of 3 April 2020
  )

On page 112, point (4)(a)(ii) of Annex III, in the amendments to point ATS.OR.405 of Annex IV to Implementing Regulation (EU) 2017/373:

for:

‘
  ATS.OR.405 Use and availability of the VHF emergency channel

ATS.OR.405 Use and availability of the VHF emergency channel

| (a) | As laid down in Article 3d, the VHF emergency channel (121,500 MHz) shall be used for genuine emergency purposes, including any of the following:’, |
| --- | --- |

(a)

As laid down in Article 3d, the VHF emergency channel (121,500 MHz) shall be used for genuine emergency purposes, including any of the following:’,

read:

‘
  ATS.OR.405 Use and availability of the VHF emergency frequency

ATS.OR.405 Use and availability of the VHF emergency frequency

| (a) | As laid down in Article 3d, the VHF emergency frequency (121,500 MHz) shall be used for genuine emergency purposes, including any of the following:’. |
| --- | --- |

(a)

As laid down in Article 3d, the VHF emergency frequency (121,500 MHz) shall be used for genuine emergency purposes, including any of the following:’.

---