Article 1 Subject matter
1. This Regulation establishes the legal framework for the e-CODEX system. 2. This Regulation lays down rules on the following: (a) the definition, composition, functions and management of the e-CODEX system; (b) the responsibilities of the European Union Agency for the Operational Management of Large-Scale IT Systems in the Area of Freedom, Security and Justice (eu-LISA) regarding the e-CODEX system; (c) the responsibilities of the Commission, Member States and the entities operating authorised e-CODEX access points; (d) the legal framework for the security of the e-CODEX system.
Article 2 Scope
This Regulation applies to the cross-border electronic exchange of data in the area of judicial cooperation in civil and criminal matters by means of the e-CODEX system in accordance with the Union legal acts adopted in that area.
Article 3 Definitions
For the purposes of this Regulation, the following definitions apply: (1) ‘e-CODEX system’ (e-Justice Communication via Online Data Exchange system) means a decentralised and interoperable system for cross-border communication for the purpose of facilitating the electronic exchange of data, which includes any content transmissible in electronic form, in a swift, secure and reliable manner in the area of judicial cooperation in civil and criminal matters; (2) ‘e-CODEX access point’ means the software packages installed on hardware infrastructure which are able to transmit information to and receive information from other e-CODEX access points in a secure and reliable manner; (3) ‘authorised e-CODEX access point’ means an e-CODEX access point which has been authorised by the Commission or a Member State and notified to eu-LISA in accordance with Article 6(4) or Article 8(1) and which applies at least one digital procedural standard; (4) ‘entity operating an authorised e-CODEX access point’ means a national public authority or legal person authorised under national law or a Union institution, body, office or agency which operates an authorised e-CODEX access point; (5) ‘e-CODEX correspondent’ means a natural person, designated by a Member State or the Commission, who can request and receive technical support as referred to in Article 7(1), point (f), from eu-LISA concerning all the components of the e-CODEX system in accordance with Article 7(3); (6) ‘connected system’ means an IT system which is connected to an e-CODEX access point for the purpose of exchanging data with other such IT systems; (7) ‘central testing platform’ means a component of the e-CODEX system, used exclusively for testing, which provides a set of functions which can be used by entities operating authorised e-CODEX access points to verify whether their authorised e-CODEX access points are correctly operating and whether the digital procedural standards in the connected systems associated with those authorised e-CODEX access points are correctly being used; (8) ‘business process model’ means a graphical and textual representation of a conceptual model of several related, structured activities or tasks, along with the relevant data models, and the sequence in which the activities or tasks have to be performed in order to achieve a standardised and meaningful interaction between two or more parties; (9) ‘digital procedural standard’ means the technical specifications for business process models and data schemas which set out the electronic structure of the data exchanged through the e-CODEX system based on the EU e-Justice Core Vocabulary.
Article 4 Non-discrimination and respect for fundamental rights
The fundamental rights and freedoms of all persons affected by the electronic exchange of data through the e-CODEX system, in particular the right to effective access to justice, the right to a fair trial, the principle of non-discrimination, the right to the protection of personal data and the right to privacy, shall be fully respected in accordance with Union law.
Article 5 Composition of the e-CODEX system
1. The e-CODEX system shall be composed of: (a) an e-CODEX access point; (b) digital procedural standards; and (c) the supporting software products, documentation and other assets listed in the Annex. 2. e-CODEX access points shall be composed of: (a) a gateway consisting of software, based on a common set of protocols, enabling the secure exchange of information over a telecommunications network with other gateways using the same common set of protocols; (b) a connector, making it possible to link connected systems to the gateway referred to in point (a), consisting of software, based on a common set of open protocols, enabling the following: (i) the structuring, logging and linking of messages; (ii) the verification of the integrity and authenticity of messages; (iii) the creation of time-linked evidence of receipt for exchanged messages.
Article 6 Responsibilities of the Commission
1. By 31 December 2022, the Commission shall establish, by means of implementing acts: (a) the minimum technical specifications and standards, including for security and methods for integrity and authenticity verification, underpinning the components of the e-CODEX system referred to in Article 5; (b) the service level requirements for the activities to be carried out by eu-LISA referred to in Article 7 and other necessary technical specifications for those activities, including the number of e-CODEX correspondents; (c) the specific arrangements for the handover and takeover process referred to in Article 10. 2. The Commission may adopt, by means of implementing acts, digital procedural standards, unless the adoption of digital procedural standards is provided for in other Union legal acts in the area of judicial cooperation in civil and criminal matters. 3. The implementing acts referred to in paragraphs 1 and 2 of this Article shall be adopted in accordance with the examination procedure referred to in Article 19(2). 4. The Commission shall maintain a list of authorised e-CODEX access points which are operated by Union institutions, bodies, offices and agencies and of the digital procedural standards which each of those authorised e-CODEX access points applies. The Commission shall notify that list and any changes thereto to eu-LISA without delay. 5. The Commission shall designate a number of e-CODEX correspondents in proportion to the number of e-CODEX access points which it has authorised and to the number of digital procedural standards which those authorised e-CODEX access points apply. Only those e-CODEX correspondents shall be entitled to request and receive technical support as referred to in Article 7(1), point (f), in relation to the e-CODEX system operated by Union institutions, bodies, offices and agencies, under the terms set out in implementing acts adopted pursuant to paragraph 1, point (b), of this Article. The Commission shall notify a list of the e-CODEX correspondents it has designated and any changes thereto to eu-LISA.
Article 7 Responsibilities of eu-LISA
1. eu-LISA shall be responsible for the components of the e-CODEX system referred to in Article 5, with the exception of the gateway, and, in particular, for the following tasks: (a) developing, maintaining, fixing bugs in and updating, including as regards security, software products and other assets and distributing them to the entities operating authorised e-CODEX access points; (b) preparing, maintaining and updating the documentation relating to the components of the e-CODEX system, its supporting software products and other assets, and distributing that documentation to the entities operating authorised e-CODEX access points; (c) developing, maintaining and updating a configuration file containing an exhaustive list of authorised e-CODEX access points, including the digital procedural standards which each of those authorised e-CODEX access points applies, and distributing it to the entities operating authorised e-CODEX access points; (d) making technical changes and adding new features, published as new software versions, to the e-CODEX system in order to respond to emerging requirements, such as those resulting from the implementing acts referred to in Article 6(2), or where requested by the e-CODEX Advisory Group; (e) supporting and coordinating testing activities, including connectivity, involving the authorised e-CODEX access points; (f) providing technical support for the e-CODEX correspondents in relation to the e-CODEX system; (g) developing, deploying, maintaining and updating the digital procedural standards and distributing them to the entities operating authorised e-CODEX access points; (h) publishing on its website a list of the authorised e-CODEX access points which have been notified to it and the digital procedural standards which each of those authorised e-CODEX access points applies; (i) responding to requests for technical advice and support from the Commission services in the context of the preparation of the implementing acts referred to in Article 6(2); (j) evaluating the need for, and assessing and preparing, new digital procedural standards, including by organising and facilitating workshops with the e-CODEX correspondents; (k) developing, maintaining and updating the EU e-Justice Core Vocabulary on which the digital procedural standards are based; (l) developing and distributing security operating standards, as provided for in Article 11; (m) providing training, including to all relevant stakeholders, on the technical use of the e-CODEX system in accordance with Regulation (EU) 2018/1726, including providing online training materials. 2. eu-LISA shall be responsible for the following additional tasks: (a) providing, operating and maintaining the hardware and software IT infrastructure in its technical sites necessary for carrying out its tasks; (b) providing, operating and maintaining a central testing platform, while ensuring the integrity and availability of the rest of the e-CODEX system; (c) informing the general public about the e-CODEX system by means of a set of large-scale communication channels, including websites or social media platforms; (d) preparing, updating and distributing online non-technical information relating to the e-CODEX system and the activities it carries out. 3. For the purposes of point (f) of paragraph 1, eu-LISA shall make resources available on an on-call basis during business hours to provide e-CODEX correspondents with a single point of contact for technical support, including for the gateway.
Article 8 Responsibilities of the Member States
1. Member States shall authorise e-CODEX access points for the connected systems in their territory in accordance with applicable national and Union law. Member States shall maintain a list of those authorised e-CODEX access points and of the digital procedural standards which each authorised e-CODEX access point applies. Member States shall notify that list and any changes thereto to eu-LISA without delay. Member States shall supervise their authorised e-CODEX access points, ensuring that the conditions under which authorisation was granted are continuously met. Member States shall not operate their authorised e-CODEX access points in third countries. 2. Each Member State shall designate a number of e-CODEX correspondents in proportion to the number of e-CODEX access points which it has authorised and to the number of digital procedural standards which those authorised e-CODEX access points apply. Only those e-CODEX correspondents shall be entitled to request and receive technical support as referred to in Article 7(1), point (f), under the terms set out in implementing acts adopted pursuant to Article 6(1), point (b). Each Member State shall notify a list of the e-CODEX correspondents it has designated and any changes thereto to eu-LISA.
Article 9 Responsibilities of entities operating authorised e-CODEX access points
1. An entity operating an authorised e-CODEX access point shall be responsible for setting it up securely and operating it securely. That responsibility shall include the necessary adaptations to the connector referred to in Article 5(2), point (b), to make it compatible with any connected systems. 2. An entity operating an authorised e-CODEX access point shall provide the Member State which has authorised the e-CODEX access point with the statistical data set out in Article 15(1) and in the relevant Union legal acts adopted in the area of judicial cooperation in civil and criminal matters. 3. The responsibility for any damage resulting from the operation of an authorised e-CODEX access point and any connected systems shall be borne, on the basis of the applicable law, by the entity operating that authorised e-CODEX access point.
Article 10 Handover and takeover
1. The entity managing the e-CODEX system shall, by 31 December 2022, submit a common handover document to eu-LISA specifying the detailed arrangements for the transfer of the e-CODEX system, including the criteria for a successful handover process and for the successful completion of that process and related documentation, as established by the implementing acts adopted pursuant to Article 6(1), point (c). The handover document shall also include provisions on intellectual property rights or usage rights relating to the e-CODEX system and the supporting software products, documentation and other assets listed in the Annex, enabling eu-LISA to carry out its responsibilities in accordance with Article 7. 2. Within the six-month period following the delivery of the handover document referred to in paragraph 1, a handover and takeover process shall take place between the entity managing the e-CODEX system and eu-LISA. Until the handover, the entity managing the e-CODEX system shall retain full responsibility for it and shall ensure that no changes to the e-CODEX system are made and that no new software release is delivered other than for the purpose of carrying out corrective maintenance of the e-CODEX system. 3. The Commission shall monitor the handover and takeover process in order to ensure that the detailed arrangements for the transfer of the e-CODEX system are correctly implemented by the entity managing the e-CODEX system and by eu-LISA, on the basis of the criteria referred to in paragraph 1. The Commission shall update the European Parliament and the Council by 31 July 2023 on the handover and takeover process. 4. eu-LISA shall take over responsibility for the e-CODEX system on the date on which the Commission declares the successful completion of the handover and takeover process, between 1 July 2023 and 31 December 2023, after consulting the entity managing the e-CODEX system and eu-LISA.
Article 11 Security
1. After the successful takeover of the e-CODEX system, eu-LISA shall be responsible for maintaining a high level of security when carrying out its tasks, including the security of the hardware and software IT infrastructure referred to in Article 7(2). In particular, eu-LISA shall establish and maintain an e-CODEX security plan and ensure that the e-CODEX system is operated in accordance with that security plan, taking into account the classification of the information processed in the e-CODEX system and eu-LISA’s information security rules. The security plan shall provide for regular security inspections and audits, including software security assessments, of the e-CODEX system with the participation of the entities operating authorised e-CODEX access points. 2. When carrying out its responsibilities, eu-LISA shall implement the principles of security by design and data protection by design and by default. 3. Entities operating authorised e-CODEX access points shall have the exclusive responsibility for setting them up securely and operating them securely, including for the security of data transmitted through them, taking into consideration the technical standards set out in the implementing acts adopted pursuant to Article 6(1), point (a), and the security rules and guidance referred to in paragraph 6 of this Article. 4. Entities operating authorised e-CODEX access points shall notify, without delay, any security incident to eu-LISA and, in the case of authorised e-CODEX access points operated by a national public authority or legal person authorised under national law, to the Member State that maintains the list on which those authorised e-CODEX access points are listed or, in the case of authorised e-CODEX access points operated by a Union institution, body, office or agency, to the Commission. 5. Where eu-LISA detects any vulnerabilities or security incidents or on receipt of a notification of a security incident as provided for in paragraph 4, eu-LISA shall analyse the security incident and inform the entities operating authorised e-CODEX access points impacted by it and the e-CODEX Advisory Group without delay. 6. eu-LISA shall develop security rules and guidance regarding authorised e-CODEX access points. Entities operating authorised e-CODEX access points shall provide eu-LISA with statements proving their compliance with the security rules regarding authorised e-CODEX access points. Those statements shall be updated on a yearly basis or whenever a change is otherwise required.
Article 12 e-CODEX Advisory Group
1. As from 1 January 2023, the e-CODEX Advisory Group, established pursuant to Article 27(1), point (dc), of Regulation (EU) 2018/1726, shall provide eu-LISA with the necessary expertise related to the e-CODEX system, in particular in the context of the preparation of its annual work programme and its annual activity report. The e-CODEX Advisory Group may set up sub-groups, composed of some of its members, for the purpose of examining specific matters, including specific digital procedural standards. 2. The e-CODEX Advisory Group shall, in particular: (a) follow up on the state of implementation of the e-CODEX system in the Member States; (b) evaluate the need for, and assess and prepare, new digital procedural standards; (c) promote knowledge sharing; (d) monitor eu-LISA’s compliance with the service level requirements set out in the implementing act adopted pursuant to Article 6(1), point (b); (e) provide an opinion on a draft version of the report referred to in Article 16. 3. During the handover and takeover process referred to in Article 10, the e-CODEX Advisory Group shall meet regularly, at least every second month until the handover and takeover process is successfully completed and at least every six months thereafter. 4. The e-CODEX Advisory Group shall report after each meeting to the e-CODEX Programme Management Board. The e-CODEX Advisory Group shall provide technical expertise to support the tasks of the e-CODEX Programme Management Board. 5. The e-CODEX Advisory Group shall involve relevant stakeholders and experts in its work, including members of the judiciary, legal practitioners and professional organisations, which are affected by, use, or participate in the e-CODEX system.
Article 13 e-CODEX Programme Management Board
1. By 1 January 2023, eu-LISA’s Management Board shall establish a permanent e-CODEX Programme Management Board. The e-CODEX Programme Management Board shall: (a) advise eu-LISA’s Management Board on the long-term sustainability of the e-CODEX system, in particular during the handover and takeover process referred to in Article 10, with regard to the prioritisation of activities, and other strategic commitments; (b) ensure the adequate management of the e-CODEX system; and (c) monitor respect for the principle of the independence of the judiciary and prompt preventive or corrective action, where necessary. The e-CODEX Programme Management Board shall not have a mandate to represent the members of eu-LISA’s Management Board. 2. The e-CODEX Programme Management Board shall be composed of the following ten members: (a) the chairperson of the e-CODEX Advisory Group referred to in Article 12; (b) eight members appointed by eu-LISA’s Management Board; and (c) one member appointed by the Commission. Each member of the e-CODEX Programme Management Board shall have an alternate. eu-LISA’s Management Board shall ensure that the members of the e-CODEX Programme Management Board and the alternates which it appoints have the necessary experience, including in the field of justice, and expertise regarding the performance of their tasks. 3. The term of office of the members of the e-CODEX Programme Management Board and their alternates shall be four years and shall be renewable. 4. eu-LISA shall participate in the work of the e-CODEX Programme Management Board. To that end, one representative of eu-LISA shall attend the meetings of the e-CODEX Programme Management Board in order to report on work regarding the e-CODEX system and on any other related work and activities. 5. The e-CODEX Programme Management Board shall meet at least once every six months and more often when necessary. The e-CODEX Programme Management Board shall submit written reports regularly, and at least after every meeting, to eu-LISA’s Management Board on the status and progress of the e-CODEX system. 6. The e-CODEX Programme Management Board shall establish its rules of procedure, which shall include, in particular, rules on: (a) the choice of the chairperson and of the deputy chairperson and their terms of office; (b) meeting venues; (c) the preparation of meetings; (d) the admission of stakeholders and experts to meetings, including members of the judiciary, legal practitioners, and professional organisations which are affected by, use, or participate in the e-CODEX system; (e) communication plans ensuring that members of eu-LISA’s Management Board who are not members of the e-CODEX Programme Management Board are kept fully informed of the work of the e-CODEX Programme Management Board. 7. Article 21(1) of Regulation (EU) 2018/1726 shall apply mutatis mutandis as regards the chairperson and the deputy chairperson of the e-CODEX Programme Management Board. 8. All travel and subsistence expenses incurred by the members of the e-CODEX Programme Management Board and their alternates shall be reasonable and proportionate and be paid by eu-LISA in accordance with its rules of procedure. 9. eu-LISA shall provide the secretariat for the e-CODEX Programme Management Board.
Article 14 Independence of the judiciary
1. When carrying out their responsibilities under this Regulation, all entities shall respect the principle of the independence of the judiciary, having regard to the principle of separation of powers. 2. For that purpose, eu-LISA shall commit the resources provided to it for the e-CODEX system in their entirety to its operation under this Regulation and shall ensure the involvement of justice representatives in the management of the e-CODEX system, pursuant to Articles 12 and 13.
Article 15 Notifications
1. By 31 January of every year after eu-LISA successfully takes over responsibility for the e-CODEX system, Member States shall notify eu-LISA of the following statistical data: (a) the number of technical messages sent and received through each authorised e-CODEX access point for the connected systems within their territory, grouped by corresponding authorised e-CODEX access point and digital procedural standard, unless an equivalent notification procedure applies under another Union legal act; (b) the number and type of incidents encountered by entities operating authorised e-CODEX access points for the connected systems within their territory which have impacted the security of the e-CODEX system, unless an equivalent notification procedure applies under another Union legal act. 2. By 31 January of every year after eu-LISA successfully takes over responsibility for the e-CODEX system, the Commission shall notify eu-LISA of the following statistical data: (a) the number of technical messages sent and received through each authorised e-CODEX access point operated by a Union institution, body, office or agency, grouped by corresponding authorised e-CODEX access point and digital procedural standard, unless an equivalent notification procedure applies under another Union legal act; (b) the number and type of incidents encountered by entities operating authorised e-CODEX access points, where those entities are Union institutions, bodies, offices and agencies, which have impacted the security of the e-CODEX system, unless an equivalent notification procedure applies under another Union legal act. 3. Notifications under paragraphs 1 and 2 of this Article shall confirm whether the lists of authorised e-CODEX access points and digital procedural standards referred to in Article 6(4) and Article 8(1) are up to date.
Article 16 Monitoring and reporting
1. Two years after it takes over responsibility for the e-CODEX system, and every two years thereafter, eu-LISA shall submit a report to the Commission on the technical functioning and use of the e-CODEX system, including the security of the e-CODEX system. 2. eu-LISA shall consolidate the data received from the Commission and the Member States pursuant to Article 6(4), Article 8(1) and Article 15 and provide the following indicators as part of the report provided for in paragraph 1 of this Article: (a) the list and number of digital procedural standards for which the e-CODEX system has been used during the reporting period; (b) the number of authorised e-CODEX access points for each Member State and for each digital procedural standard; (c) the number of technical messages sent through the e-CODEX system for each digital procedural standard between each of the authorised e-CODEX access points; (d) the number and type of incidents impacting the security of the e-CODEX system and information on compliance with the e-CODEX security plan. 3. Three years after eu-LISA takes over responsibility for the e-CODEX system, and every four years thereafter, the Commission shall produce an overall evaluation of the e-CODEX system. That overall evaluation shall include an assessment of the application of this Regulation and an examination of results achieved against objectives pursued and may propose possible future actions. When producing its evaluations, the Commission shall also re-examine the role of the e-CODEX Programme Management Board and its continuation based on objective grounds and, if necessary, shall propose improvements. The Commission shall transmit the overall evaluation to the European Parliament and to the Council.
Article 17 Cooperation with international organisations
1. eu-LISA may conclude working arrangements with international organisations or their subordinate bodies, governed by public international law, or other relevant entities or bodies, which are set up by, or on the basis of, an agreement between two or more countries, in order to allow them to request and receive technical support when using the e-CODEX system. Those working arrangements shall be concluded in accordance with Article 43 of Regulation (EU) 2018/1726. 2. The working arrangements referred to in paragraph 1 of this Article may allow for the designation of one natural person per international organisation, body or entity to serve as a correspondent who shall be entitled to request and receive technical support as referred to in Article 7(1), point (f), under the terms set out in the implementing acts adopted pursuant to Article 6(1), point (b), provided that such technical support does not affect the costs referred to in Article 20(1).
Article 18 Amendments to Regulation (EU) 2018/1726
Regulation (EU) 2018/1726 is amended as follows: (1) Article 1 is amended as follows: (a) the following paragraph is inserted: ‘4a. The Agency shall be responsible for the development and operational management, including technical evolutions, of the computerised system for the cross-border electronic exchange of data in the area of judicial cooperation in civil and criminal matters (the “e-CODEX system”).’; (b) paragraph 5 is replaced by the following: ‘5. The Agency may be made responsible for the preparation, development or operational management of large-scale IT systems in the area of freedom, security and justice other than those referred to in paragraphs 3, 4 and 4a of this Article, including existing systems, only if so provided by relevant Union legal acts governing those systems, based on Articles 67 to 89 TFEU, taking into account, where appropriate, the developments in research referred to in Article 14 of this Regulation and the results of pilot projects and proofs of concept referred to in Article 15 of this Regulation.’;
Article 19 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.
Article 20 Costs
1. The costs incurred in the performance of the tasks referred to in Article 7 shall be borne by the general budget of the Union. 2. The costs for the tasks referred to in Articles 8 and 9 shall be borne by the Member States or the entities operating authorised e-CODEX access points.
Article 21 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 .