Serious or repeated infringements
Article 9
1. The criteria laid down in Article 17(2), point (a), of Regulation (EU) 2023/956 shall be fulfilled where the applicant, the persons in charge of the applicant’s CBAM matters, the persons in charge of the applicant and the persons exercising control over the management of the applicant meet the following conditions: (a) there is no decision, taken after administrative or judicial proceedings, concluding that those persons have been involved, during the three years preceding the application, in serious or repeated infringements of customs legislation, taxation rules, market abuse rules, of Regulation (EU) 2023/956, or the delegated and implementing acts adopted pursuant to that Regulation; (b) they have no record of serious criminal offences in relation to their economic activities during the five years preceding the application. 2. Where the applicant has been established for less than five years, the competent authority of the Member State of establishment shall assess the application on the basis of the records and information that are available to it. 3. The competent authority shall request the following information, where necessary, to establish that the applicant has not been involved in serious or repeated infringements referred to in Article 17(2), point (a), of Regulation (EU) 2023/956: (a) the criminal record or any other document that is accepted under national law as a criminal record of the natural person applying for authorisation; (b) the criminal record, or any other document that is accepted under national law as a criminal record, of the beneficial owner of the legal person acting as applicant and the managers of that legal person. 4. Where the competent authority requests the criminal record or any other document that is accepted under national law as a criminal record referred to in paragraph 3, the competent authority shall record the reasons for such request. The competent authority shall not retain the criminal record, or any other document accepted under national law as criminal record after the decision to grant the authorisation has been taken. When a decision to refuse the application was taken pursuant to Article 6(4), those records or documents should only be retained for the duration of the appeal pursuant to Article 6(5), where applicable. The competent authority shall ensure that access to criminal records is limited to persons who are responsible in that competent authority for carrying out the assessment of serious or repeated infringements.