### for gas projects falling under the categories set out in point 2 of annex ii , each group shall be composed of representatives of the member states , national regulatory authorities , transmission system operators following their obligation to cooperate on a regional level in accordance with article 7 of directive 2009 / 73 / ec and article 12 of regulation no 715 / 2009 and project promoters concerned by each of the relevant priorities designated in annex 1 , as well as the commission , the agency and the entso for gas . ### for gas projects falling under the categories set out in point 2 of annex ii , each group shall be composed of representatives of the member states , national regulatory authorities , relevant regional authorities from all the member states concerned , transmission system operators following their obligation to cooperate on a regional level in accordance with article 7 of directive 2009 / 73 / ec and article 12 of regulation no 715 / 2009 , all the infrastructure operators concerned and the respective organisations representing them and project promoters concerned by each of the relevant priorities designated in annex 1 , as well as the commission , the agency and the entso for gas .


### for all union - wide lists of projects of common interest adopted after 1 august 2013 , proposed gas transmission and storage projects falling under the categories set out in point 2 of annex ii shall be part of the latest available ten - year network development plan for gas , developed by the entso for gas pursuant article 8 of regulation 715 / 2009 . ### for all union - wide lists of projects of common interest adopted after 1 august 2013 , proposed gas transmission reception , regasification or decompression facilities for liquefied natural gas and storage projects falling under the categories set out in point 2 of annex ii shall be part of the latest available ten - year network development plan for gas , developed by the entso for gas pursuant article 8 of regulation 715 / 2009 .


### by decision 2012 / 419 / eu3 , the european council amended the status of mayotte with regard to the union with effect from 1 january 2014 . therefore , from that date mayotte will cease to be an overseas territory to become an outermost region within the meaning of articles 349 and 355 tfeu . union law will apply to mayotte from 1 january 2014 . it is appropriate to provide for certain specific measures justified by the particular situation of mayotte in a number of areas . __________________ 3 oj l 204 , 31 . 7 . 2012 , p . 131 . ### by decision 2012 / 419 / eu3 , the european council amended the status of mayotte with regard to the union with effect from 1 january 2014 . therefore , from that date mayotte will cease to be an overseas country or territory within the meaning of article 198 of the treaty on the functioning of the european union and become an outermost region within the meaning of articles 349 and 355 of that treaty . union law will apply to mayotte from 1 january 2014 . it is appropriate to provide for certain specific measures , justified by the particular social and economic constraints obtaining in the outermost region of mayotte and its new status as an outermost region , in a number of areas . __________________ 4 oj l 204 , 31 . 7 . 2012 , p . 131 .


### draft legislative resolution ### - 1a . recalls its resolution of 8 june 2011 on investing in the future : a new multiannual financial framework for a competitive , sustainable and inclusive europe1 ; reiterates that sufficient additional resources are needed in the next multiannual financial framework to enable the union to fulfil its existing policy priorities and the new tasks provided for in the treaty of lisbon , as well as to respond to unforeseen events ; points out that , even with an increase in the level of resources for the next mff of at least 5 % compared to the 2013 level , only a limited contribution can be made to the achievement of the union ' s agreed objectives and commitments and the principle of union solidarity ; challenges the council , in case it does not share this approach , to clearly identify which of its political priorities or projects could be dropped altogether , despite their proven european added value ; ____________ 1 texts adopted , p7_ta0266 .


### assistance under this regulation should be provided in accordance with the enlargement policy framework defined by the union for each beneficiary country reflected in the annual enlargement package of the commission , which includes the progress reports and the enlargement strategy , in the stabilisation and association agreements and in the european or accession partnerships . assistance should mainly focus on a limited number of policy areas that will help beneficiary countries strengthen democratic institutions and the rule of law , reform the judiciary and public administration , respect fundamental rights and promote gender equality and non - discrimination . it should also enhance their economic and social development , underpinning a smart , sustainable and inclusive growth agenda in line with the europe 2020 strategy and to align progressively with the copenhagen criteria . the coherence between the financial assistance and the overall progress made in the implementation of the pre - accession strategy should be strengthened . ### assistance under this regulation should be provided in accordance with the enlargement policy framework defined by the union for each beneficiary country reflected in the annual enlargement package of the commission , which includes the progress reports and the enlargement strategy , in the stabilisation and association agreements and in the european or accession partnerships . assistance should mainly focus on a limited number of policy areas that will help beneficiary countries strengthen democratic institutions and the rule of law , reform the judiciary and public administration , respect fundamental rights and promote gender equality and non - discrimination . it should also enhance their economic and social development , underpinning a smart , sustainable and inclusive growth agenda in line with the europe 2020 strategy and to align progressively with the copenhagen criteria . special attention should be given to the flagship initiative ' european platform against poverty ' , while ensuring funding for social inclusion and cohesion , decent work and quality employment . the coherence between the financial assistance and the overall progress made in the implementation of the pre - accession strategy should be strengthened .


### in order to increase effectiveness and efficiency in the delivery of assistance and to prevent double funding , the commission shall , in liaison with the member states , take the necessary steps to ensure better coordination and complementarity with multilateral and regional organisations and entities , such as international financial institutions , united nations agencies , funds and programmes , and non - union donors . ### in order to increase effectiveness and efficiency in the delivery of assistance and to prevent double funding , the commission shall , in liaison with the member states , take the necessary steps to ensure better coordination and complementarity with the european investment bank , with multilateral and regional organisations and entities , such as international financial institutions , united nations agencies , funds and programmes , and non - union donors . in that respect donor coordination shall be established on a country level , with clearly established roles and responsibilities . both donors and beneficiaries shall take appropriate part in this type of coordination , and beneficiary ownership shall be sought on the basis of their administrative capacity .


### when preparing , implementing and monitoring assistance under this regulation , the commission shall in principle act in partnership with the beneficiary countries . the partnership shall involve , as appropriate , competent national , regional and local authorities , economic and social partners , civil society and non - state actors . ### when preparing , implementing and monitoring assistance under this regulation , the commission shall in principle act in partnership with the beneficiary countries . the partnership shall involve , as appropriate , competent national , regional and local authorities , economic and social partners , civil society and non - state actors . the commission shall establish eligibility criteria for participation by regional and local authorities and civil society in funding programmes , and shall ensure that there are no administrative obstacles impeding their involvement . special attention shall be given to the strengthening of the innovative capacities of community - based initiatives and direct engagement on the part of local and regional beneficiaries , with the aim of empowering them for the purposes of delivery of basic services .


### the financial reference amount for the implementation of this regulation for the period from 2014 to 2020 shall be eur 14&#160 ; 110 100 000 . up to 3% of the financial reference amount shall be allocated to cross - border cooperation programmes between beneficiary countries and eu member states . ### the financial reference amount &#8211 ; as defined in point 17 of the interinstitutional agreement of xx / 201z between the european parliament , the council and the commission on cooperation in budgetary matters and sound financial management &#8211 ; for the implementation of this regulation for the period from 2014 to 2020 shall be eur 14&#160 ; 110 100 000 . up to 3% of the financial reference amount shall be allocated to cross - border cooperation programmes between beneficiary countries and eu member states .


### the annual appropriations shall be authorised by the budgetary authority within the limits of the union multi - annual financial framework . ### the annual appropriations shall be authorised by the budgetary authority without prejudice to the provisions of the regulation laying down the multiannual financial framework for the years 2014 - 2020 and the interinstitutional agreement of xxx / 201z between the european parliament , the council and the commission on cooperation in budgetary matters and sound financial management .


### it is necessary to provide for transitional arrangements that allow making available on the market and putting into service of lifts that have already been placed on the market in accordance with directive 95 / 16 / ec . ### manufacturers and importers need to be given reasonable , but limited , time to exercise any rights under national rules in force before the date of application of national rules transposing this directive in order , for example , to sell their stocks of manufactured products . it is necessary to provide for transitional arrangements that allow making available on the market and putting into service of lifts that have already been placed on the market in accordance with directive 95 / 16 / ec .


### in order to safeguard financial stability it is necessary to identify , at an early stage , trends , potential risks and vulnerabilities stemming from the micro - prudential level , across borders and across sectors . the authority should monitor and assess such developments in the area of its competence and , where necessary , inform the european parliament , the council , the commission , the other european supervisory authorities and the european systemic risk board on a regular and , as necessary , ad hoc basis . the authority should also coordinate community - wide stress tests to assess the resilience of financial market participants to adverse market developments , ensuring an as consistent as possible methodology is applied at the national level to such tests . ### in order to safeguard financial stability it is necessary to identify , at an early stage , trends , potential risks and vulnerabilities stemming from the micro - prudential level , across borders and across sectors . the authority should monitor and assess such developments in the area of its competence and , where necessary , inform the european parliament , the council , the commission , the other european supervisory authorities and the european systemic risk board on a regular and , as necessary , ad hoc basis . the authority should also initiate and coordinate union - wide stress tests to assess the resilience of financial market participants to adverse market developments , ensuring an as consistent as possible methodology is applied at the national level to such tests . in order to inform the discharge of its functions , the authority should undertake economic analysis of markets and the impact of potential market developments on them .


### where appropriate , the authority should consult interested parties on technical standards , guidelines and recommendations and provide them with a reasonable opportunity to comment on proposed measures . for reasons of efficiency , a securities and markets stakeholder group should be established for that purpose , representing in balanced proportions community financial market participants , their employees , and consumers and other retail users of financial services , including smes . the securities and markets stakeholder group should actively work as an interface with other user groups in the financial services area established by the commission or community legislation . ### the authority should consult interested parties on technical standards , guidelines and recommendations and provide them with a reasonable opportunity to comment on proposed measures . before adopting draft technical standards , guidelines and recommendations the authority should carry out an impact assessment with a view to ensuring that the best practices for high - quality regulation are met . to provide effective external assistance , a securities and markets stakeholder group should be established for that purpose , representing in appropriate proportions eu financial market participants , trade unions , academics and consumers and other retail users of financial services , including smes . the securities and markets stakeholder group should actively work as an interface with other user groups in the financial services area established by the commission or eu legislation .


### where appropriate , the authority should consult interested parties on technical standards , guidelines and recommendations and provide them with a reasonable opportunity to comment on proposed measures . for reasons of efficiency , a securities and markets stakeholder group should be established for that purpose , representing in balanced proportions community financial market participants , their employees , and consumers and other retail users of financial services , including smes . the securities and markets stakeholder group should actively work as an interface with other user groups in the financial services area established by the commission or community legislation . ### where appropriate , the authority should consult interested parties on technical standards , guidelines and recommendations and provide them with a reasonable opportunity to comment on proposed measures . for reasons of efficiency , a securities and markets stakeholder group should be established for that purpose , representing eu financial market participants , their employees , and consumers and other retail users of financial services , including smes . the securities and markets stakeholder group should be composed at least of 15 representatives from consumers and users , of 5 independent top - ranking academics and of 10 representatives from the sector and its employees . the securities and markets stakeholder group should actively work as an interface with other user groups in the financial services area established by the commission or union legislation .


### where appropriate , the authority should consult interested parties on technical standards , guidelines and recommendations and provide them with a reasonable opportunity to comment on proposed measures . for reasons of efficiency , a securities and markets stakeholder group should be established for that purpose , representing in balanced proportions community financial market participants , their employees , and consumers and other retail users of financial services , including smes . the securities and markets stakeholder group should actively work as an interface with other user groups in the financial services area established by the commission or community legislation . ### where appropriate , the authority should consult interested parties on technical standards , guidelines and recommendations and provide them with a reasonable opportunity to comment on proposed measures . for reasons of efficiency , a securities and markets stakeholder group should be established for that purpose , representing in balanced proportions eu financial market participants , trade unions , academia , consumer organizations and other retail users of financial services , including smes . the securities and markets stakeholder group should actively work as an interface with other user groups in the financial services area established by the commission or union legislation .


### member states have a core responsibility in preserving financial stability in crisis management , in particular with regard to stabilising and resolving individual ailing financial market participants . measures by the authority in emergency or settlement situations affecting the stability of a financial market participant should not impinge on the fiscal responsibilities of member states . a mechanism should be established whereby member states may invoke this safeguard and ultimately bring the matter before the council for decision . it is appropriate to confer on the council a role in this matter given the particular responsibilities of the member states in this respect . ### member states have a core responsibility in preserving financial stability in crisis management , in particular with regard to stabilising and resolving individual ailing financial market participants . measures by the authority in emergency situations affecting the stability of a financial market participant should not impinge on the fiscal responsibilities of member states . a mechanism should be established whereby member states may invoke this safeguard .


### in order to guarantee its full autonomy and independence , the authority should be granted an autonomous budget with revenues mainly from obligatory contributions from national supervisory authorities and from the general budget of the european union . the community budgetary procedure should be applicable as far as the community contribution is concerned . the auditing of accounts should be undertaken by the court of auditors . ### in order to guarantee its full autonomy and independence , the authority should be granted an autonomous budget with revenues mainly from obligatory contributions from national supervisory authorities and from the general budget of the european union . union financing of the authority is subject to an agreement by the budgetary authority in accordance with point 47 of the interinstitutional agreement between the european parliament , the council and the commission of 17 may 2006 on budgetary discipline and sound financial management1 . the union budgetary procedure should be applicable . the auditing of accounts should be undertaken by the court of auditors . the overall budget is subject to the discharge procedure . 1 oj c 139 , 14 . 6 . 2006 , p . 1 .


### this regulation establishes a european securities and markets authority . ### this regulation establishes a european supervisory authority on securities and markets .


### the authority shall act within the scope of directive 97 / 9 / ec , directive 98 / 26 / ec , directive 2001 / 34 / ec , directive 2002 / 47 / ec , directive 2002 / 87 / ec , directive 2003 / 6 / ec , directive 2003 / 71 / ec , directive 2004 / 25 / ec , directive 2004 / 39 / ec , directive 2004 / 109 / ec , directive 2005 / 60 / ec , directive 2009 / 65 / ec , directive 2002 / 65 / ec , directive 2006 / 49 / ec , directive … [ future aifm directive ] , and regulation … [ future cra regulation ] , including all directives , regulations , and decisions based on these acts , and of any further community act which confers tasks on the authority . ### the authority shall act within the scope of directive 97 / 9 / ec , directive 98 / 26 / ec , directive 2001 / 34 / ec , directive 2002 / 47 / ec , directive 2002 / 87 / ec , directive 2003 / 6 / ec , directive 2003 / 71 / ec , directive 2004 / 39 / ec , directive 2004 / 109 / ec , directive 2009 / 65 / ec , directive 2002 / 65 / ec , directive 2007 / 36 / ec and directive 2006 / 49 / ec , , directive [ aifm ] , and regulation no 1060 / 2009 [ cra ] and within the relevant parts of directive 2005 / 60 / ec and 2002 / 65 / ec , to the extent that these apply to firms providing investment services or to collective investment undertakings marketing their units or shares , including all directives , regulations , and decisions based on these acts , and of any further union act which confers tasks on the authority .


### the authority shall act within the scope of directive 97 / 9 / ec , directive 98 / 26 / ec , directive 2001 / 34 / ec , directive 2002 / 47 / ec , directive 2002 / 87 / ec , directive 2003 / 6 / ec , directive 2003 / 71 / ec , directive 2004 / 25 / ec , directive 2004 / 39 / ec , directive 2004 / 109 / ec , directive 2005 / 60 / ec , directive 2009 / 65 / ec , directive 2002 / 65 / ec , directive 2006 / 49 / ec , directive … [ future aifm directive ] , and regulation … [ future cra regulation ] , including all directives , regulations , and decisions based on these acts , and of any further community act which confers tasks on the authority . ### the authority shall act within the scope of this regulation and directive 97 / 9 / ec , directive 98 / 26 / ec , directive 2001 / 34 / ec , directive 2002 / 47 / ec , directive 2002 / 87 / ec , directive 2003 / 6 / ec , directive 2003 / 71 / ec , directive 2004 / 25 / ec , directive 2004 / 39 / ec , directive 2004 / 109 / ec , directive 2005 / 60 / ec , directive 2009 / 65 / ec , directive 2002 / 65 / ec , directive 2006 / 49 / ec , directive … [ future aifm directive ] , and regulation … [ future cra regulation ] , including all directives , regulations , and decisions based on these acts , and of any further union act which confers tasks on the authority .


### the provisions of this regulation are without prejudice to the powers of the commission , in particular under article 226 of the treaty to ensure compliance with community law . ### the provisions of this regulation are without prejudice to the powers of the commission , in particular under article 258 of the treaty on the functioning of the european union to ensure compliance with union law .


### ' financial market participant ' means any person in relation to whom a requirement in the legislation referred to in article 1 or a national law implementing such legislation applies . ### ' financial market participant ' means any undertaking whose main business is to take deposits , grant credits , provide insurance services or other financial services to its clients or members or engage in financial investment or trading activities on its own account , and any other undertaking or entity operating in the european union , whose business is of a similar nature , even if they have no direct dealings with the public at large .


### contribute to the establishment of high quality common regulatory and supervisory standards and practices , in particular by providing opinions to the community institutions and by developing guidelines , recommendations , and draft technical standards which shall be based on the legislation referred to in article 1 ; ### contribute to the establishment of high quality common regulatory and supervisory standards and practices , in particular by providing opinions to the european union institutions and by developing guidelines , recommendations , and draft technical standards which shall be based on the present regulation and the legislation referred to in article 1 ;


### contribute to a consistent application of community legislation , in particular by contributing to a common supervisory culture , ensuring consistent , efficient and effective application of the legislation referred to in article 1 , preventing regulatory arbitrage , mediating and settling disagreements between competent authorities , promoting a coherent functioning of colleges of supervisors and taking actions in emergency situations ; ### contribute to a consistent application of standards and eu legislation , in particular by contributing to a common supervisory culture , ensuring consistent , efficient and effective application of the present regulation and the legislation referred to in article 1 , preventing regulatory arbitrage , mediating and settling disagreements between competent authorities , ensuring a coherent functioning of colleges of supervisors and taking actions , inter alia , in emergency situations ;


### facilitate the delegation of tasks and responsibilities between competent authorities ; ### stimulate and facilitate the delegation of tasks and responsibilities between competent authorities ;


### conduct peer review analysis of competent authorities , to strengthen consistency in supervisory outcomes ; ### organise and conduct peer review analysis of competent authorities , to strengthen consistency in supervisory outcomes ;


### the authority may develop technical standards in the areas specifically set out in the legislation referred to in article 1 . the authority shall submit its draft standards to the commission for endorsement . ### the authority shall develop technical standards in the areas specifically set out in this regulation and in the legislation referred to in article 1 or at the commission request . technical standards shall not include policy choices and shall reflect the principle of proportionality . the authority shall submit its draft standards to the commission for adoption as delegated acts or endorsement as implementing acts according to the present regulation and the legislation referred to in article 1 . the draft standards shall also be transmitted at the same time to the european parliament and the council .


### within three months of receipt of the draft standards , the commission shall decide whether to endorse the draft standards . the commission may extend that period by one month . the commission may endorse the draft standards only in part or with amendments where the community interest so requires . ### within three months of receipt of the draft technical standards , the commission shall endorse the draft supervisory standards if they comply with european legislation . within the same period , the commission may extend that period by one month . the commission may adopt the draft technical standards only in part or with amendments where they were drawn up as regulatory standards . in both cases , the commission may extend that period by one month .


### the authority shall , with a view to establishing consistent , efficient and effective supervisory practices within the esfs , and to ensuring the common , uniform and consistent application of community legislation , issue guidelines and recommendations addressed to competent authorities or financial market participants . ### the authority shall , with a view to establishing consistent , efficient and effective supervisory practices within the esfs , and to ensuring the common , uniform and consistent application of union legislation , issue guidelines and recommendations addressed to competent authorities or financial market participants . on matters where the authority is empowered by legislation to develop technical standards according to article 7 of this regulation , it shall issue guidelines and recommendations only after the standards have been adopted .


### where a competent authority has not correctly applied the legislation referred to in article 1 , in particular by failing to ensure that a financial market participant satisfies the requirements laid down in that legislation , the authority shall have the powers set out in paragraphs 2 , 3 and 6 of this article . ### where a competent authority has not applied or has applied the legally binding acts and legislation referred to in article 1 in a way which appears to be a breach of european union law , in particular by failing to ensure that a financial market participant satisfies the requirements laid down in that legislation , the authority shall have the powers set out in paragraphs 2 , 3 and 6 of this article .


### where the commission has adopted a decision pursuant to paragraph 1 , the authority may adopt individual decisions requiring competent authorities to take the necessary action in accordance with the legislation referred to in article 1 to address any risks that may jeopardise the orderly functioning and integrity of financial markets or the stability of the whole or part of the financial system by ensuring that financial market participants and competent authorities satisfy the requirements laid down in that legislation . ### where the esrb has issued a warning pursuant to paragraph 1 , or when the commission or the council , upon its own initiative or following a request by the authority , the european parliament or a member state , adopts a decision determining the existence of similar or justified circumstances where co - ordinated action by national authorities is necessary to respond to adverse developments which may seriously jeopardise the orderly functioning and integrity of financial markets or the stability of the whole or part of the financial system in the european union ; the authority may adopt , without further requirements , individual decisions in accordance with the legislation referred to in article 1 to address any risks that may jeopardise the orderly functioning and integrity of financial markets or the stability of the whole or part of the financial system by ensuring that financial market participants and competent authorities satisfy the requirements laid down in that legislation .


### where the commission has adopted a decision pursuant to paragraph 1 , the authority may adopt individual decisions requiring competent authorities to take the necessary action in accordance with the legislation referred to in article 1 to address any risks that may jeopardise the orderly functioning and integrity of financial markets or the stability of the whole or part of the financial system by ensuring that financial market participants and competent authorities satisfy the requirements laid down in that legislation . ### where the esrb takes the view that co - ordinated action by national authorities is necessary to respond to adverse developments which may jeopardise the orderly functioning and integrity of financial markets or the stability of the whole or part of the financial system , the authority shall adopt individual decisions requiring competent authorities to take the necessary action in accordance with the legislation referred to in article 1 to address any such developments by ensuring that financial market participants and competent authorities satisfy the requirements laid down in that legislation .


### without prejudice to the powers laid down in article 9 , where a competent authority disagrees on the procedure or content of an action or inaction by another competent authority in areas where the legislation referred to in article 1 requires cooperation , coordination or joint decision making by competent authorities from more than one member state , the authority , at the request of one or more of the competent authorities concerned , may assist the authorities in reaching an agreement in accordance with the procedure set out in paragraph 2 . ### without prejudice to the powers laid down in article 9 , where a competent authority disagrees on the procedure or content of an action or inaction by another competent authority in areas where the legislation referred to in article 1 requires cooperation , coordination or joint decision making by competent authorities from more than one member state , and does not assign the ultimate responsibility to the group supervisor , the authority , on its own initiative or at the request of one or more of the competent authorities concerned , may take the lead in assisting assist the authorities in reaching an agreement in accordance with the procedure set out in paragraph 2 .


### if , at the end of the conciliation phase , the competent authorities concerned have failed to reach an agreement , the authority may take a decision requiring them to take specific action or to refrain from action in order to settle the matter , in compliance with community law . ### if , at the end of the conciliation phase , the competent authorities concerned have failed to reach an agreement , the authority may take a decision requiring them to take specific action or to refrain from action in order to settle the matter , with binding effects for the competent authorities concerned , in order to ensure compliance with european union law .


### the authority shall facilitate the delegation of tasks and responsibilities between competent authorities by identifying those tasks and responsibilities that can be delegated or jointly exercised and by promoting best practices . ### the authority shall facilitate the delegation of tasks and responsibilities between competent authorities by identifying those tasks and responsibilities that can be delegated or jointly exercised and by promoting best practices and by preparing appropriate multilateral frameworks .


### the authority shall facilitate the delegation of tasks and responsibilities between competent authorities by identifying those tasks and responsibilities that can be delegated or jointly exercised and by promoting best practices . ### the authority shall stimulate and facilitate the delegation of tasks and responsibilities between competent authorities by identifying those tasks and responsibilities that can be delegated or jointly exercised and by promoting best practices .


### contribute to developing high quality and uniform supervisory standards , including reporting standards ; ### contribute advice to the appropriate european and international bodies to help facilitate the development of high quality and uniform supervisory standards , including reporting and accounting standards ;


### review the application of the relevant technical standards adopted by the commission , guidelines and recommendations issued by the authority and propose amendments where appropriate ; ### review the application of the relevant standards adopted or endorsed by the commission , guidelines and recommendations issued by the authority and propose amendments where appropriate ;


### the authority shall periodically conduct peer review analyses of some or all of the activities of competent authorities , to further enhance consistency in supervisory outcomes . to this end , the authority shall develop methods to allow for objective assessment and comparison between the authorities reviewed . ### the authority shall periodically organise and conduct peer review analyses of some or all of the activities of competent authorities , to further enhance consistency in supervisory outcomes . to this end , the authority shall develop methods to allow for objective assessment and comparison between the authorities reviewed .


### the adequacy of institutional arrangements , resourcing and staff expertise of the competent authority , with particular regard to the effective application of the legislation referred to in article 1 and to the capacity to respond to market developments ; ### the adequacy of resources and governance arrangements of the competent authority , with particular regard to the effective application of the standards and legislation referred to in article 1 and to the capacity to respond to market developments ;


### the degree of convergence reached in the application of community law and in supervisory practice , including technical standards , guidelines and recommendations adopted under articles 7 and 8 , and the extent to which the supervisory practice achieves the objectives set out in community law ; ### the degree of convergence reached in the application of european union law and in supervisory practice , including regulatory and supervisory standards , guidelines and recommendations adopted under articles 7 and 8 , and the extent to which the supervisory practice achieves the objectives set out in union law ;


### in particular , the authority shall , in cooperation with the esrb , initiate and coordinate community - wide assessments of the resilience of key financial market participants to adverse market developments to that end , it shall develop the following , for application by the competent authorities : ### the authority shall include in its analysis an economic analysis of the markets for insurance and occupational pensions , and the impact of potential market developments on them . in particular , the authority shall , in cooperation with the esrb , initiate and coordinate union - wide assessments of the resilience of key financial market participants to adverse market developments to that end , it shall develop the following , for application by the competent authorities :


### the authority shall ensure an adequate coverage of cross - sectoral developments , risks and vulnerabilities by closely cooperating with the european insurance and occupational pensions authority and the european banking authority . ### the authority shall ensure an adequate coverage of cross - sectoral developments , risks and vulnerabilities by closely cooperating with the european supervisory authority and the european supervisory authority through the european supervisory authority .


### with regard to prudential assessments of mergers and acquisitions falling under the terms of directive 2007 / 44 / ec , the authority may , on its own initiative or on application of any competent authorities , issue and publish an opinion on a prudential assessment to be carried out by any authority of a member state . article 20 shall apply . ### with regard to prudential assessments of mergers and acquisitions falling under the terms of directive 2007 / 44 / ec , the authority may , on its own initiative or on application of any competent authorities , monitor the assessments and provide guidance with a view to streamline and provide a level playing field , and issue and publish an opinion on a prudential assessment to be carried out by any authority of a member state . article 20 shall apply .


### 2 the authority shall cooperate closely with the esrb . it shall provide the esrb with regular and up - to - date information necessary for the achievement of its tasks . any data necessary for the achievement of its tasks that are not in summary or collective form shall be provided without delay to the esrb upon a reasoned request , as specified in article [ 15 ] of regulation no … . / … [ esrb ] . ### 2 the authority shall cooperate closely with the esrb . it shall provide the esrb with regular and up - to - date information necessary for the achievement of its tasks . any data necessary for the achievement of its tasks that are not in summary or collective form shall be provided without delay to the esrb upon a reasoned request , as specified in article [ 15 ] of regulation no … . / … [ esrb ] . the authority shall develop an adequate protocol for the disclosure of confidential information regarding individual financial institutions .


### the members of the securities and markets stakeholder group shall be appointed by the board of supervisors of the authority , following proposals from the relevant stakeholders . ### the members of the securities and markets stakeholder group shall be appointed by the board of supervisors of the authority , following proposals from the relevant stakeholders . stakeholders shall be effectively involved in the selection of their respective representatives .


### the authority shall ensure adequate secretarial support for the securities and markets stakeholder group . ### the authority shall ensure access to all information and adequate secretarial support for the securities and markets stakeholder group . non professional members shall be properly compensated for their work .


### members of the securities and markets stakeholder group shall serve for a period of two and a half years , following which a new selection procedure shall take place . ### members of the securities and markets stakeholder group shall serve for a period of five years , following which a new selection procedure shall take place .


### before taking the decisions provided for in article 9 , article 10 and and article 11 and , the authority shall inform the addressee of its intention to adopt the decision , setting a time limit within which the addressee may express its views on the matter , taking full account of the urgency of the matter . ### before taking the decisions provided for in this regulation , the authority shall inform the addressee of its intention to adopt the decision , setting a time limit within which the addressee may express its views on the matter , taking full account of the urgency , complexity and potential consequences of the matter .


### the head of the competent authority in each member state . if there is more than one competent authority in a member state , the authorities shall agree on one of the heads to be the representative on the board of supervisors ; ### the head of the competent authority in each member state . where there is more than one competent authority in the territory for which the member state is responsible for the application of eu law , the heads of those organisations shall be joint representatives on the board of supervisors and shall decide between themselves how to exercise their representation , including any votes under article 29 , which shall be shared ;


### for the purposes of article 11 , the board of supervisors shall convoke a panel to facilitate the settlement of the disagreement , consisting of the chairperson and two of its members , who are not representatives of the competent authorities which are parties to the disagreement . ### for the purposes of article 11 , the chairperson shall convoke a panel to facilitate the settlement of the disagreement , consisting of the chairperson and two of its members , who are not representatives of the competent authorities which are parties to the disagreement .


### the chairperson shall be appointed by the board of supervisors on the basis of merit , skills , knowledge of financial market participants and markets , and experience relevant to financial supervision and regulation , following an open selection procedure . ### the chairperson and the vice - chair shall be appointed by the board of supervisors on the basis of merit , skills , knowledge of financial market participants and markets , and experience relevant to financial supervision and regulation , following an open selection procedure .


### the board of supervisors shall also elect from among its members an alternate who shall carry out the functions of the chairperson in his absence . ### in the absence of the chairperson and the vice - chair , the board of supervisors shall also elect from among its members a temporary substitute who shall carry out the functions of the chairperson or the vice - chair in their absence .


### the executive director shall be appointed by the board of supervisors on the basis of merit , skills , knowledge of financial market participants and markets , and experience relevant to financial supervision and regulation and managerial experience , following an open selection procedure . ### the executive director shall be appointed by the board of supervisors on a proposal of the management board on the basis of merit , skills , knowledge of financial market participants and markets , and experience relevant to financial supervision and regulation and managerial experience , following an open selection procedure .


### a joint committee of the european supervisory authorities is hereby established . ### the european supervisory authority is hereby established and shall have its headquarters in brussels .


### the joint committee shall serve as a forum in which the authority shall cooperate regularly and closely and ensure cross - sectoral consistency with the european insurance and occupational pensions authority and the banking authority . ### the joint committee shall serve as overarching structure of the esfs in which the authority shall cooperate regularly and closely and ensure cross - sectoral consistency with the european insurance and occupational pensions authority and the banking authority .


### the authority shall contribute adequate resources to the administrative support of the joint committee of european supervisory authorities . this includes staff , administrative , infrastructure , and operational expenses . ### the joint committee shall have a permanent secretariat , staffed on secondment from the three european supervisory authorities . the authority shall contribute adequate resources to the administrative , infrastructure , and operational expenses .


### the joint committee shall be composed of the chairperson and the chairpersons of the european insurance and occupational pensions authority and the european banking authority , and , where applicable , the chairperson of a sub - committee established under article 43 . ### the joint committee shall have a board composed of the chairperson and the chairpersons of the european supervisory authorities , and , where applicable , the chairperson of a sub - committee established under article 43 .


### the executive director , the commission and the esrb shall be invited to the meetings of the joint committee of european supervisory authorities as well as the sub - committees mentioned in article 43 as observers . ### the executive director , a representative of the commission and the esrb shall be invited to the meetings of the board of the joint committee of european supervisory authorities as well as the sub - committees mentioned in article 43 as observers .


### the chair of the joint committee of european supervisory authorities shall be appointed on an annual rotational basis from among the chairpersons of the european banking authority , the european insurance and occupational pensions authority and the european securities and markets authority . ### the chair of the joint committee of european supervisory authorities shall be appointed on an annual rotational basis from among the chairpersons of the european supervisory authority , the european supervisory authority and the european supervisory authority . the chairperson of the joint committee shall be a vice - chair of the european systemic risk board .


### the joint committee of european supervisory authorities shall meet at least once every two months . ### the board of the joint committee of european supervisory authorities shall meet at least once every two months .


### a subsidy from the community , entered in the general budget of the european union ; ### a subsidy from the union , entered in the general budget of the european union , subject to an agreement by the budgetary authority as provided for by point 47 of the iia ;


### the european parliament , following a recommendation from the council acting by qualified majority , shall , before 15 may of the year n + 2 , grant a discharge to the authority for the implementation of the budget for the financial year n . ### the european parliament , following a recommendation from the council acting by qualified majority , shall , before 15 may of the year n + 2 , grant a discharge to the authority for the implementation of the budget comprising revenues from the general budget of the european union and national supervisory authorities for the financial year n .


### the management board , in agreement with the commission , shall adopt the necessary implementing measures , in accordance with the arrangements provided for in article 110 of the staff regulations . ### the management board , in agreement with the commission , shall adopt the necessary implementing measures , in accordance with the arrangements provided for in article 110 of the staff regulations . the implementing measures shall allow justified deviations in order to guarantee the most effective implementation of the tasks identified for the authority .


### when competent authorities organise their public passenger transport services they need to ensure that public service obligations and the geographical scope of public service contracts are appropriate , necessary and proportionate to achieve the objectives of the public passenger transport policy in their territory . this policy should be set out in public transport plans leaving scope for market based transport solutions . the process of defining public transport plans and public service obligations should be made transparent to relevant stakeholders including potential market entrants . ### under the treaty provisions on services of general economic interest , it is for the competent authorities to define public service obligations . only where the relevant judicial authorities find that there has been a manifest error of assessment may their scope for action be limited . in particular , the competent authorities may organise their public passenger transport services in a way that encourages network effects so as to achieve transport solutions that reflect the needs of users . they should be able to present the main features of their public transport policies in indicative public transport plans which are transparent to relevant stakeholders including potential market entrants .


### in view of creating framework conditions for enabling society to fully reap the benefits of effective opening of the market for domestic passenger transport services by rail it is important that member states ensure an adequate level of social protection for the staff of public service operators . ### in view of creating framework conditions for enabling all members of society to fully reap the benefits from a high - quality offer for domestic passenger transport services by rail that are in line with the social objectives set out in the teu and the objectives regarding services of general interest as set out in the protocol no 26 , it is important that member states ensure in any case good working conditions and a high level of social protection for the staff of public service operators against social dumping on a national , regional or local level , respecting collective agreements in the sector . the adequate level should be guaranteed at the latest at the opening of the domestic railway market by national law and / or sector - wide collective agreements by setting social standards and requiring the transfer of staff for the relevant sector . by establishing national collective agreements for the rail sector , but also by ensuring that staff is taken over under contract award procedures , the competent authorities will enable a high - quality social framework to be put in place .


### public transport plans and public service obligations ### public transport plans


### the competent authorities shall adopt the public transport plans after consultation of relevant stakeholders and publish them . for the purpose of this regulation , relevant stakeholders to be taken into consideration are at least transport operators , infrastructure managers if appropriate , and representative passenger and employee organisations . ### the competent authorities shall adopt the public transport plans after consultation of relevant stakeholders and publish them . for the purpose of this regulation , relevant stakeholders to be taken into consideration are at least transport operators , infrastructure managers and passenger and employee organisations and organisations representing people with disabilities and elderly people .


### the competent authorities shall adopt the public transport plans after consultation of relevant stakeholders and publish them . for the purpose of this regulation , relevant stakeholders to be taken into consideration are at least transport operators , infrastructure managers if appropriate , and representative passenger and employee organisations . ### the competent authorities should consult interested parties prior to adoption of the transport plans they publish . for the purpose of this regulation , relevant stakeholders to be taken into consideration are , in particular , transport operators , infrastructure managers if appropriate , and representative passenger and employee organisations .


### the competent authority shall in an appropriate manner consult relevant stakeholders such as a minimum , transport operators , infrastructure managers if appropriate and representative passenger and employee organisations on these specifications and take their positions into consideration . ### the competent authority shall in an appropriate manner consult relevant stakeholders such as a minimum , transport operators , infrastructure managers and passenger and employee organisations and organisations representing people with disabilities and elderly people on these specifications and take their positions into consideration .


### the competent authority shall in an appropriate manner consult relevant stakeholders such as a minimum , transport operators , infrastructure managers if appropriate and representative passenger and employee organisations on these specifications and take their positions into consideration . ### the competent authority shall consult relevant stakeholders such as a minimum , transport operators , infrastructure managers and representative passenger and employee organisations on these specifications and take their positions into consideration .


### in the case of public service contracts not awarded according to article 5 , these parameters shall be determined in such a way that no compensation payment may exceed the amount required to cover the net financial effect on costs incurred and revenues generated in discharging the public service obligations , taking account of revenue relating thereto kept by the public service operator and a reasonable profit ; ### in the case of public service contracts not awarded according to article 5 , these parameters shall be determined in such a way that no compensation payment may exceed the amount required to cover the net financial effect on costs incurred and revenues generated in discharging the public service obligations , taking account of revenue relating thereto kept by the public service operator and a reasonable profit and the amount necessary for investments needed to improve the availability , accessibility and the quality of the passenger services ;


### in the case of public service contracts not awarded according to article 5 , these parameters shall be determined in such a way that no compensation payment may exceed the amount required to cover the net financial effect on costs incurred and revenues generated in discharging the public service obligations , taking account of revenue relating thereto kept by the public service operator and a reasonable profit ; ### in the case of public service contracts not awarded according to article 5 , these parameters shall be determined in such a way that neither over - nor undercompensation payment shall exceed or fall below the amount required to cover the net financial effect on costs incurred and revenues generated in discharging the public service obligations , taking account of revenue relating thereto kept by the public service operator and a reasonable profit ;


### ' where competent authorities , in accordance with national law , require public service operators to comply with certain quality and social standards or establish social and qualitative criteria , these standards and criteria shall be included in the tender documents and in the public service contracts . ' ### the competent authorities shall , in accordance with national law , set the quality and social standards , determine appropriate social and qualitative criteria with a view to adopting a collective agreement at national level before 3 december 2019 and , irrespective of the award procedure , include these standards and criteria in the tender documents and in the public service contracts .


### competent authorities shall make available to all interested parties relevant information for the preparation of an offer under a competitive tender procedure . this shall include information on passenger demand , fares , costs and revenues related to the public passenger transport covered by the tender and details of the infrastructure specifications relevant for the operation of the required vehicles or rolling stock to enable them to draft well informed business plans . rail infrastructure managers shall support competent authorities in providing all relevant infrastructure specifications . non - compliance with the provisions set out above shall be subject to the legal review provided for in article 5 . ' ### whilst protecting business confidentiality , competent authorities shall make available to all interested parties relevant information for the preparation of an offer under a competitive tender procedure . this shall include information on passenger demand , fares , costs and revenues related to the public passenger transport covered by the tender and details of the infrastructure specifications relevant for the operation of the required vehicles or rolling stock to enable them to draft well informed business plans . they may stipulate that certain information , notably concerning passenger numbers and revenue related to the public passenger transport service , is given for information only and that interested parties draw on this information in the preparation of their tenders at their own risk . public service operators awarded public service contracts shall supply the competent authorities concerned each year with information on performance of the public service contract . this shall include information on passenger demand , fares , costs and revenue related to the public passenger transport service covered by the tender , and the specifications of the vehicles or rolling stock used . rail infrastructure managers shall provide competent authorities with all relevant infrastructure specifications , within three months of this being requested . the specifications for the network concerned shall include , as a minimum , the following information as well as their development projections as established in the contract between the competent authority and the infrastructure manager provided for in article 30of directive 2012 / 34 / eu of the european parliament and of the council of 21 november 2012 establishing a single european railway area : - relevant information in the register of infrastructure provided for in article 35 of directive 2008 / 57 / ec of the european parliament and of the council of 17 june 2008 on the interoperability of the rail system within the community ; - the network ' s capacity and the infrastructure capacity unavailable on account of maintenance and renewal work ; - the indicative rail infrastructure development strategy . non - compliance with the provisions set out in this paragraph may be subject to the review procedure provided for in article 5 .


### member states shall in compliance with state aid rules take the necessary measures to ensure effective and non - discriminatory access to suitable rolling stock for public passenger transport by rail for operators wishing to provide public passenger transport services by rail under public service contract . ### the competent authorities shall take the necessary measures to allow effective and non - discriminatory access to suitable rolling stock for public passenger transport by rail for operators wishing to provide public passenger transport services by rail under public service contracts within their jurisdiction .


### the competent authority may comply with the requirement set out in the first subparagraph in one of the following ways : ### where the competent authority decides to bear the residual value risk of the rolling stock , it may do so in one of the following ways :


### ' 1 . each competent authority shall make public once a year an aggregated report on the public service obligations for which it is responsible , the starting date and duration of the public service contracts , the selected public service operators and the compensation payments and exclusive rights granted to the said public service operators by way of reimbursement . the report shall distinguish between bus transport and rail transport , allow the performance , quality and financing of the public transport network to be monitored and assessed and , if appropriate , provide information on the nature and extent of any exclusive rights granted . member states shall facilitate central access to these reports , for instance through a common web portal . ' ### ' 1 . each competent authority shall make public once a year an aggregated report on the public service obligations for which it is responsible , the starting date and duration of the public service contracts , the selected public service operators and the compensation payments and exclusive rights granted to the said public service operators by way of reimbursement . the report shall assess performance in terms of compliance and specify all transport service indicators , including punctuality , reliability , cleanness , user satisfaction as measured by public opinion polls , and the minimum capacity utilisation rate . the report shall distinguish between bus transport and rail transport , allow the performance , quality and financing of the public transport network to be monitored and assessed and , if appropriate , provide information on the nature and extent of any exclusive rights granted . member states shall facilitate central access to these reports , for instance through a common web portal . the commission shall produce a summary of these reports and submit it , in all the working languages , to the european parliament and the council . '


### each competent authority shall make public once a year an aggregated report on the public service obligations for which it is responsible , the starting date and duration of the public service contracts , the selected public service operators and the compensation payments and exclusive rights granted to the said public service operators by way of reimbursement . the report shall distinguish between bus transport and rail transport , allow the performance , quality and financing of the public transport network to be monitored and assessed and , if appropriate , provide information on the nature and extent of any exclusive rights granted . member states shall facilitate central access to these reports , for instance through a common web portal . &#8221 ; ### each competent authority shall make public once a year an aggregated report on the public service obligations for which it is responsible , the starting date and duration of the public service contracts , the selected public service operators and the compensation payments and exclusive rights granted to the said public service operators by way of reimbursement . the report shall distinguish between bus transport and rail transport , allow the performance , quality and financing of the public transport network to be monitored and assessed and , if appropriate , provide information on the nature and extent of any exclusive rights granted . member states may organise central access to these reports , for instance through a common web portal . &#8221 ;


### the commission should assess whether to approve that contracting authorities / entities within the meaning of directives [ 2004 / 17 / ec , 2004 / 18 / ec and directive [ … . ] of the european parliament and the council of [ … . ] … . on the award of concession contracts ] exclude , for contracts with an estimated value equal or above eur 5 . 000 . 000 from procedures for the award of contracts goods and services not covered by the international commitments undertaken by the european union . ### contracting authorities / entities within the meaning of directives [ 2004 / 17 / ec , 2004 / 18 / ec and directive [ … . ] of the european parliament and the council of [ … . ] … . on the award of concession contracts ] may exclude from procedures for the award of contracts goods and services not covered by the international commitments undertaken by the european union .


### in view of the greater difficulty for contracting authorities / entities to assess , in the context of tenders comprising goods and / or services originating outside the european union , in which the value of the non - covered goods or services exceeds 50 % of the total value of these goods or services , the explanations of tenderers it is appropriate to provide for an increased transparency in the treatment of abnormally low tenders . in addition to the rules provided by article 69 of the directive on public procurement and article 79 of the directive on procurement by entities operating in the water , energy , transport and postal services sectors the contracting authority / entity that intends to accept such an abnormally low tender , should inform the other tenderers of this in writing including the reasons for the abnormally low character of the price or costs charged . this allows these tenderers to contribute to a more accurate assessment as to whether the successful tenderer will be able to fully perform the contract under the conditions spelled out in the tender documentation . therefore , this additional information would achieve a more level playing field on the eu public procurement market . ### in view of the greater difficulty for contracting authorities / entities to assess , in the context of tenders comprising goods and / or services originating outside the european union , in which the value of the non - covered goods or services exceeds 50 % of the total value of these goods or services , the explanations of tenderers it is appropriate to provide for an increased transparency in the treatment of abnormally low tenders . tenders that appear abnormally low in relation to the works , supplies or services might be based on technically , economically or legally unsound assumptions or practices . in addition to the rules provided by article 69 of directive 20xx / xxx / eu of the european parliament and of the council1 and article 79 of directive 20xx / xxx / eu of the european parliament and of the council2 the contracting authority / entity that intends to accept such an abnormally low tender , should inform the other tenderers of this in writing including the reasons for the abnormally low character of the price or costs charged . where the tenderer cannot provide a sufficient explanation , the contracting authority should be entitled to reject the tender . this allows these tenderers to contribute to a more accurate assessment as to whether the successful tenderer will be able to fully perform the contract under the conditions spelled out in the tender documentation . therefore , this additional information would achieve a more level playing field on the eu public procurement market . _________________ 1 directive 20xx / xxx / eu of the european parliament and of the council on public procurement ) . 2 directive 20xx / xxx / eu of the european parliament and of the council on procurement by entities operating in the water , energy , transport and postal services sectors ) .


### those new psychoactive substances which pose moderate health , social and safety risks should not be made available to consumers . ### on the basis of the existing evidence and on predefined criteria , those new psychoactive substances which pose moderate health , social and safety risks should not be made available to consumers .


### those new psychoactive substances which pose severe health , social and safety risks should not be made available on the market . ### on the basis of the existing evidence and on predefined criteria , those new psychoactive substances which pose severe health , social and safety risks should not be made available on the market .


### the commission shall not adopt restriction measures on a new psychoactive substance if , based on existing evidence , it poses , overall , low health , social and safety risks , in particular : ### the commission shall not adopt restriction measures on a new psychoactive substance if , based on the existing evidence and on the following criteria , it poses low health , social and safety risks :


### the commission shall , by means of a decision , without undue delay , prohibit the making available on the market to consumers of the new psychoactive substance if , based on existing evidence , it poses , overall , moderate health , social and safety risks , in particular : ### the commission shall , by means of a decision , without undue delay , prohibit the making available on the market to consumers of the new psychoactive substance if , based on the existing evidence and on the following criteria , it poses moderate health , social and safety risks :


### the commission shall , by means of a decision , without undue delay , prohibit the production , manufacture , making available on the market including importation to the union , transport , and exportation from the union of the new psychoactive substance if , based on existing evidence , it poses , overall , severe health , social and safety risks , in particular : ### the commission shall , by means of a decision , without undue delay , prohibit the production , manufacture , making available on the market including importation to the union , transport , and exportation from the union of the new psychoactive substance if , based on the existing evidence and on the following criteria , it poses severe health , social and safety risks :


### proposal for a regulation of the european parliament and of the council regarding public access to european parliament , council and commission documents ### proposal for a regulation of the european parliament and the council defining the general principles and limits governing the right of access to documents of union institutions , bodies , offices and agencies


### a number of substantive changes are to be made to regulation no 1049 / 2001 of 30 may 2001 regarding public access to european parliament , council and commission documents . in the interest of clarity , that regulation should be recast . ### following the entry into force of the teu and of the tfeu the right to access to documents coversall union institutions , bodies , offices and agencies , including the european external action service , so that substantial changes are to be made to regulation no 1049 / 2001 of 30 may 2001 regarding public access to european parliament , council and commission documents1 , whereby the experience of the initial implementation of that regulation , as well as of the relevant case - law of the court of justice of the european union and the european court of human rights , should be taken into account . _________________ 1 oj l 145 , 31 . 5 . 2001 , p . 43 .


### openness enables citizens to participate more closely in the decision - making process and guarantees that the administration enjoys greater legitimacy and is more effective and more accountable to the citizen in a democratic system . openness contributes to strengthening the principles of democracy and respect for fundamental rights as laid down in article 6 of the eu treaty and in the charter of fundamental rights of the european union . ### openness enables citizens to participate more closely in the decision - making process and guarantees that the administration enjoys greater legitimacy and is more effective and more accountable to the citizen in a democratic system . openness contributes to strengthening the principles of democracy , as outlined in articles 9 to 12 teu , as well as respect for fundamental rights as laid down in article 6 teu and in the charter of fundamental rights of the european union .


### with regard to the disclosure of personal data , a clear relationship should be established between this regulation and regulation no 45 / 2001 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 . ### union institutions , bodies , offices and agencies should treat personal data in compliance with the rights of data subjects as defined by article 16 tfeu as well as by article 8 of the charter , by relevant union legislation and by the case - law of the court of justice of the european union .


### clear rules should be established regarding the disclosure of documents originating from the member states and of documents of third parties which are part of judicial proceedings files or obtained by the institutions by virtue of specific powers of investigation conferred upon them by ec law . ### clear rules should be established regarding the disclosure of documents originating from the member states and of documents of third parties which are part of judicial proceedings files or obtained by the institutions , bodies , offices or agencies by virtue of specific powers of investigation conferred upon them by union law .


### wider access should be granted to documents in cases where the institutions are acting in their legislative capacity , including under delegated powers , while at the same time preserving the effectiveness of the institutions ' decision - making process . such documents should be made directly accessible to the greatest possible extent . ### in compliance with article 15 tfeu , full access should be granted to documents in cases where , according to the treaties , the institutions are acting in their legislative capacity , including under delegated powers in accordance with article 290 tfeu and implementing powers in accordance with article 291 tfeu when adopting measures of general scope . preparatory legislative documents and all related information on the different stages of the interinstitutional procedure , such as council working group documents , names and positions of member states delegations acting as members of the council and first - reading trilogue documents , should in principle be made immediately and directly accessible to the public on the internet .


### in order to bring about greater openness in the work of the institutions , access to documents should be granted by the european parliament , the council and the commission not only to documents drawn up by the institutions , but also to documents received by them . in this context , it is recalled that declaration no 35 attached to the final act of the treaty of amsterdam provides that a member state may request the commission or the council not to communicate to third parties a document originating from that state without its prior agreement . ### in order to bring about greater openness in the work of the institutions , bodies , offices and agencies , access to documents should be granted not only to documents drawn up by them , but also to documents received by them . a member state may request the institutions , bodies , offices or agencies not to communicate to third parties outside the institutions , bodies , offices or agencies themselves a document originating from that state without its prior agreement .


### all rules concerning access to documents of the institutions should be in conformity with this regulation . ### due to the fact that this regulation directly implements article 15 tfeu as well as article 42 of the charter , the defined principles and limits for access to documents should prevail over any rules , measures or practices adopted under a different legal base by an institution , body , office or agency and introducing additional or stricter exceptions than the ones provided in this regulation .


### in accordance with article 255 of the ec treaty , each institution lays down specific provisions regarding access to its documents in its rules of procedure , ### in accordance with article 15 tfeu and the principles and rules outlined in this regulation , each institution , body , office and agency lays down specific provisions regarding access to its documents in its rules of procedure , as well as to documents relating to its administrative tasks ,


### to define the principles , conditions and limits on grounds of public or private interest governing the right of access to european parliament , council and commission documents provided for in article 255 of the ec treaty in such a way as to grant the public the widest possible access to such documents ; ### to define in accordance with article 15 tfeu , the principles , conditions and limits on grounds of public or private interest governing the right of access to documents of union institutions , bodies , offices and agencies , in such a way as to grant the public the widest possible access to such documents ;


### to promote good administrative practice on access to documents . ### to promote transparent and good administrative practice in order to improve access to documents .


### for the purpose of this regulation : ' document ' means any content whatever its medium drawn - up by an institution and formally transmitted to one or more recipients or otherwise registered , or received by an institution ; data contained in electronic storage , processing and retrieval systems are documents if they can be extracted in the form of a printout or electronic - format copy using the available tools for the exploitation of the system ; ' third party ' means any natural or legal person , or any entity outside the institution concerned , including the member states , other community or non - community institutions and bodies and third countries . ### for the purpose of this regulation : ' document ' shall mean any content whatever its medium concerning a matter relating to the policies , activities and decisions falling within the sphere of responsibility of a union institution , body , office or agency ; data contained in electronic storage , processing and retrieval systems constitute a document if they can be extracted using any reasonably available tools for the exploitation of the system concerned . an institution , body , office or agency that intends to create a new electronic storage system , or to substantially change an existing system , shall evaluate the likely impact on the right of access guaranteed by this regulation and act so as to promote the objective of transparency . the functions for the retrieval of information stored in electronic storage systems shall be adapted in order to satisfy repeated requests from the public which cannot be satisfied using the tools currently available for the exploitation of those systems ; ' classified documents ' shall mean documents which have been totally or partially classified in accordance with article 3a of this regulation ; ' legislative act ' shall for the purposes of this regulation include documents drawn up or received in the course of legislative procedures for the adoption of legislative acts , including measures of general application under delegated and implementing powers , and acts of general application which are legally binding in or on the member states ; ' administrative task ' shall mean measures dealing with organisational , administrative or budgetary matters which are internal to the institution , body , office or agency concerned ; ' archive system ' shall mean a tool or a procedure of the institutions , bodies , offices and agencies for managing in a structured way the filing of all their documents referring to an ongoing or recently concluded procedure ; ' historical archives ' shall mean that part of the archives of the institutions , bodies , offices or agencies which has been selected , on the terms laid down in point , for permanent preservation ; a detailed list of all the categories of acts covered by the definitions in points to shall be published in the official journal of the european union and on the internet sites of the institutions , bodies , offices and agencies , which shall also agree and publish their common criteria for archiving . ' third party ' shall mean any natural or legal person , or any entity outside the institution , body , office or agency concerned , including the member states , other union or non - union institutions and bodies and third countries .


### public security including the safety of natural or legal persons ; ### public security of the union or of one or more of the member states ;


### the institutions shall refuse access to a document where disclosure would undermine the protection of : ### the institutions , bodies , offices and agencies shall refuse access to a document where disclosure would undermine the protection of :


### the objectivity and impartiality of selection procedures . ### the objectivity and impartiality of public procurement procedures until a decision has been taken by the contracting institution , body , office or agency , or the proceedings of a selection board leading to the recruitment of staff until a decision has been taken by appointing authority .


### names , titles and functions of public office holders , civil servants and interest representatives in relation with their professional activities shall be disclosed unless , given the particular circumstances , disclosure would adversely affect the persons concerned . other personal data shall be disclosed in accordance with the conditions regarding lawful processing of such data laid down in ec legislation on the protection of individuals with regard to the processing of personal data . ### personal data shall not be disclosed if such disclosure would harm the privacy or the integrity of the person concerned . such harm shall not be deemed to be caused : - if the data relate solely to the professional activities of the person concerned unless , given the particular circumstances , there is reason to assume that disclosure would adversely affect that person ; - if the data relate solely to a public person unless , given the particular circumstances , there is reason to assume that disclosure would adversely affect that person or other persons connected with him or her ; - if the data have already been published with the consent of the person concerned . personal data shall nevertheless be disclosed if an overriding public interest requires disclosure . in such a case , the institution , body , office or agency concerned shall be required to specify the public interest . it shall give reasons why , in the specific case , the public interest outweighs the interests of the person concerned . where an institution , body , office or agency refuses access to a document on the basis of this paragraph , it shall consider whether it is possible to grant partial access to that document .


### consultations as regards third - party documents , the institution shall consult the third party with a view to assessing whether an exception referred to&#160 ; in article 4 is applicable , unless it is clear that the document shall or shall not be disclosed . 2 . where an application concerns a document originating from a member state , other than documents transmitted in the framework of procedures leading to a legislative act or a non - legislative act of general application , the authorities of that member state shall be consulted . the institution holding the document shall disclose it unless the member state gives reasons for withholding it , based on the exceptions referred to in article 4 or on specific provisions in its own legislation preventing disclosure of the document concerned . the institution shall appreciate the adequacy of reasons given by the member state insofar as they are based on exceptions laid down in this regulation . 3 . where a member state receives a request for a document in its possession , which originates from an institution , unless it is clear that the document shall or shall not be disclosed , the member state shall consult with the institution concerned in order to take a decision that does not jeopardise the objectives of this regulation . the member state may instead refer the request to the institution . ### consultation of third parties as regards third - party documents , the institution , bodies , offices and agencies , shall consult the third party with a view to assessing whether an exception referred to&#160 ; in article 4 is applicable , unless it is clear that the document shall or shall not be disclosed . documents provided to institutions , bodies , offices or agencies for the purpose of influencing policy - making by lobbyists and other interested parties should be made public . 2 . where an application concerns a document originating from a member state , other than documents transmitted in the framework of procedures leading to a legislative act or a delegated or implementing act of general application the authorities of that member state shall be consulted . the institution holding the document shall disclose it unless the member state gives reasons for withholding it , based on the exceptions referred to in article 4 or on specific provisions in its own legislation preventing disclosure of the document concerned . the institution shall appreciate the adequacy of reasons given by the member state insofar as they are based on exceptions laid down in this regulation . 3 . where a member state receives a request for a document in its possession , which originates from an institution , body , office or agency , unless it is clear that the document shall or shall not be disclosed , the member state shall consult with the institution concerned in order to take a decision that does not jeopardise the objectives of this regulation . the member state may instead refer the request to the institution .


### a confirmatory application shall be handled promptly . within 30 working days from registration of such an application , the institution shall either grant access to the document requested and provide access in accordance with article 10 within that period or , in a written reply , state the reasons for the total or partial refusal . in the event of a total or partial refusal , the institution shall inform the applicant of the remedies open to him or her applications : ### a confirmatory application shall be handled promptly . within a maximum of 15 working days from registration of such an application , the institution , body , office or agency shall either grant access to the document requested and provide access in accordance with article 10 within that period or , in a written reply , state the reasons for the total or partial refusal . in the event of a total or partial refusal , the institution , body , office or agency shall inform the applicant of the remedies open to him or her .


### failure by the institution to reply within the prescribed time limit shall be considered as a negative reply and shall entitle the applicant to institute court proceedings against the institution and / or make a complaint to the ombudsman , under the relevant provisions of the ec treaty . ### failure by the institution , body , office or agency to reply within the prescribed time limit shall be considered as a definitive negative reply and shall entitle the applicant to institute court proceedings against the institution and / or make a complaint to the ombudsman , under the relevant provisions of the treaties .


### documents drawn up or received in the course of procedures for the adoption of&#160 ; eu legislative&#160 ; acts or non - legislative acts of general application shall , subject to articles 4 and 9 , be made directly accessible&#160 ; to the public . ### the institutions , bodies , offices and agencies shall make documents directly accessible to the public in electronic form or through registers , particularly those drawn up or received in the course of procedures for the adoption of union legislative acts or non - legislative acts of general application .


### each institution shall define in its rules of procedure which other categories of documents are directly accessible to the public . ### each institution shall define in its rules of procedure which other categories of documents shall be proactively made directly accessible to the public .


### common positions adopted by the council in accordance with the procedures referred to in articles 251 and 252 of the ec treaty and the reasons underlying those common positions , as well as the european parliament ' s positions in these procedures ; ### positions adopted by the council in accordance with the procedure referred to in article 294 tfeu and the reasons underlying those common positions , as well as the european parliament ' s positions in these procedures ;


### international agreements concluded by the community or in accordance with article 24 of the eu treaty . ### international agreements concluded by the european union in accordance with article 37 teu and article 207 and 218 tfeu .


### administrative practice in the institutions ### administrative transparency practice in the institutions , bodies , offices and agencies


### the criteria to list invasive alien species considered to be of union concern is the core instrument to apply these new rules . the commission will do its utmost to submit a proposal for a list based on those criteria within one year of the entry into force of this legislation to the committee . the criteria should include a risk assessment pursuant to the applicable provisions under the agreements of the world trade organisation on placing trade restriction on species . ### the criteria to list invasive alien species considered to be of union concern are the core instrument to apply these new rules . the commission will do its utmost to submit a proposal for a list based on those criteria within one year of the entry into force of this legislation to the committee . the criteria should include a risk assessment pursuant to the applicable provisions under the agreements of the world trade organisation on placing trade restrictions on species . they are to be laid down by a panel of experts to be appointed by the commission , the council , and the european parliament .


### some of the species that are invasive in the union may be native in some of the union’s outermost regions and vice versa . in the communication from the commission on “the outermost regions : an asset for europe”18 it was recognised that the remarkable biodiversity of the outermost regions calls for the development and implementation of measures to prevent and manage invasive alien species in those regions as defined by the treaty on the functioning of the european union taking into account european council decisions 2010 / 718 / eu of 29 october 2010 amending the status with regard to the european union of the island of saint - barthélemy19 and 2012 / 419 / eu of 11 july 2012 amending the status of mayotte with regard to the european union20 . therefore all the provisions of these new rules should apply to the union’s outermost regions except for provisions relating to invasive alien species of union concern which are native to those regions . in addition , to allow for the necessary protection of the biodiversity in such regions , it is necessary that the concerned member states draw up , as a complement to the list of invasive alien species of union concern , specific lists of invasive alien species for their outermost regions to which these new rules should also apply . __________________ 18 com 642 final . 19 oj l 325 , 9 . 12 . 2010 , p . 4 . 20 oj l 204 , 31 . 7 . 2012 , p . 131 . ### some of the species that are invasive in the union may be native in some of the union’s outermost regions and vice versa . in the communication from the commission on “the outermost regions : an asset for europe”18 it was recognised that the remarkable biodiversity of the outermost regions calls for the development and implementation of measures to prevent and manage invasive alien species in those regions as defined by the treaty on the functioning of the european union taking into account european council decisions 2010 / 718 / eu of 29 october 2010 amending the status with regard to the european union of the island of saint - barthélemy19 and 2012 / 419 / eu of 11 july 2012 amending the status of mayotte with regard to the european union20 . therefore all the provisions of these new rules should apply to the union’s outermost regions except for provisions relating to invasive alien species of union concern which are native to those regions . in addition , to allow for the necessary protection of the biodiversity in such regions , it is necessary that the member states concerned draw up , as a complement to the list of invasive alien species of union concern , specific lists of invasive alien species for their outermost regions to which these new rules should also apply . some of the alien species that are invasive in the union may be native to parts of the union and to outermost regions and vice versa . __________________ 18 com 642 final . 19 oj l 325 , 9 . 12 . 2010 , p . 4 . 20 oj l 204 , 31 . 7 . 2012 , p . 131 .


### the provision of accurate and reliable positioning information is an essential element of the effective operation of the ecall in - vehicle system . therefore , it is appropriate to require its compatibility with the services provided by satellite navigation programmes , including the systems established under the galileo and egnos programmes set out in regulation no 683 / 2008 of the european parliament and of the council of 9 july 2008 on the further implementation of the european satellite navigation programmes 8 . __________________ 8 oj l 196 , 24 . 7 . 2008 , p . 1 . ### the provision of accurate and reliable positioning information in the event of an emergency is an essential element of the effective operation of the ecall in - vehicle system . therefore , it is appropriate to require its compatibility with the services provided by satellite navigation programmes , including the systems established under the galileo and egnos programmes set out in regulation no 683 / 2008 of the european parliament and of the council of 9 july 2008 on the further implementation of the european satellite navigation programmes 8 . __________________ 8 oj l 196 , 24 . 07 . 08 , p . 1 .


### in order to ensure open choice for customers and fair competition , as well as encourage innovation and boost the competitiveness of the union’s information technology industry on the global market , the ecall in - vehicle system should be accessible free of charge and without discrimination to all independent operators and based on an interoperable and open - access platform for possible future in - vehicle applications or services . ### in order to ensure open choice for customers and fair competition , as well as encourage innovation and boost the competitiveness of the union’s information technology industry on the global market , private or added value ecall in - vehicle systems should be based on the principle of data portability .


### according to the recommendations made by the article 29 data protection working party and contained in the ' working document on data protection and privacy implications in ecall initiative ' , adopted on 26 september 2006 , any processing of personal data through the ecall in - vehicle system should comply with the personal data protection rules provided for in 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 data10 and in directive 2002 / 58 / ec of the european parliament and of the council of 12 july 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector 11 , in particular to guarantee that vehicles equipped with ecall in - vehicle systems , in their normal operational status related to 112 ecall , are not traceable and are not subject to any constant tracking and that the minimum set of data sent by the in - vehicle ecall system includes the minimum information required for the appropriate handling of emergency calls . __________________ 9 1609 / 06 / en – wp 125 . 10 oj l 281 , 23 . 11 . 1995 , p . 31 . 11 oj l 201 , 31 . 7 . 2002 , p . 37 . ### according to the recommendations made by the article 29 data protection working party and contained in the ' working document on data protection and privacy implications in ecall initiative ' , adopted on 26 september 2006 , any processing of personal data through the ecall in - vehicle system should comply with the personal data protection rules provided for in 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 data10 and in directive 2002 / 58 / ec of the european parliament and of the council of 12 july 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector 11 , and articles 7 and 8 of the charter of fundamental rights11 a , in particular to guarantee that vehicles equipped with ecall in - vehicle systems , in their normal operational status related to 112 ecall , are not traceable and are not subject to any constant tracking and that the minimum set of data sent by the in - vehicle ecall system includes the minimum information required for the appropriate handling of emergency calls . __________________ 9 1609 / 06 / en – wp 125 . 10 oj l 281 , 23 . 11 . 1995 , p . 31 . 11 oj l 201 , 31 . 7 . 2002 , p . 37 . 11a oj c 364 / 1 , 18 . 12 . 2000 .


### vehicle manufacturers should be allowed sufficient time to adapt to the technical requirements of this regulation . ### when complying with technical requirements , vehicle manufacturers should integrate technical forms of data protection into in - vehicle systems and should comply with the principle of ‘ privacy by design’ .