# CE2004077EN.01026201.xml

| 26.3.2004 | EN | Official Journal of the European Union | CE 77/262 |
| --- | --- | --- | --- |

26.3.2004

EN

Official Journal of the European Union

CE 77/262

---

MINUTES

(2004/C 77 E/04)

PROCEEDINGS OF THE SITTING

IN THE CHAIR: Renzo IMBENI

Vice-President

1.   Opening of sitting

The sitting opened at 10.05.

2.   Activities of the European Ombudsman in 2002 (debate)

(debate)

Report on the annual report on the activities of the European Ombudsman for the year 2002 [C5-0271/2003 — 2003/2068(INI)] — Committee on Petitions.

Rapporteur: Stockton (A5-0229/2003)

The President welcomed Jacob Söderman, the former European Ombudsman, who had taken his seat in the official gallery.

Nikiforos Diamandouros (Ombudsman) spoke.

The Earl of Stockton introduced the report.

Loyola de Palacio (Vice-President of the Commission) spoke.

The following spoke: Vitaliano Gemelli, on behalf of the PPE-DE Group, Astrid Thors, on behalf of the ELDR Group, Jan Dhaene, on behalf of the Verts/ALE Group, and Nikiforos Diamandouros.

The debate closed.

Vote: Item 14.

Item 14

3.   Deliberations of the Committee on Petitions 2002-2003 (debate)

(debate)

Report on the deliberations of the Committee on Petitions during the parliamentary year 2002-2003 [2003/2069(INI)] — Committee on Petitions

Rapporteur: Laura González Álvarez (A5-0239/2003)

Vitaliano Gemelli (chairman of the PETI Committee) introduced the report.

Loyola de Palacio (Vice-President of the Commission) spoke.

The following spoke: Marie-Hélène Descamps, on behalf of the PPE-DE Group, Astrid Thors, on behalf of the ELDR Group, Uma Aaltonen, on behalf of the Verts/ALE Group, Roy Perry and Véronique Mathieu, on behalf of the EDD Group.

IN THE CHAIR: Alejo VIDAL-QUADRAS ROCA

Vice-President

Loyola de Palacio spoke.

The debate closed.

Vote: point 15.

point 15

4.   Lloyd's Petitions (debate)

(debate)

Report on the petition declared admissible on the Lloyd's Petitions (Petitions 1273/1997, 71/1999, 207/2000, 318/2000, 709/2000, 127/2002) [2002/2208(INI)] — Committee on Petitions.

Rapporteur: Roy Perry (A5-0203/2003)

Roy Perry introduced the report.

Frits Bolkestein (Member of the Commission) spoke.

The following spoke: Vitaliano Gemelli, on behalf of the PPE-DE Group, Michael Cashman, on behalf of the PSE Group, Diana Wallis, on behalf of the ELDR Group, Jan Dhaene, on behalf of the Verts/ALE Group, Gerard Collins, on behalf of the UEN Group, Stockton, Ioannis Koukiadis, Ioannis Marinos, Margot Keßler, Frits Bolkestein, Roy Perry who, referring to Michael Cashman's remarks, asked the President to confirm the admissibility of his report (the President did so), and Michael Cashman on the previous speaker's remarks.

The debate closed.

Vote: Item 16.

Item 16

IN THE CHAIR: David W. MARTIN

Vice-President

5.   Agenda

Parliament approved the following changes to the agenda:

| — | Oral question B5-0278/2003 on market regulations and competition rules for the liberal professions was postponed to the sitting of Wednesday 8 October 2003; |
| --- | --- |

—

Oral question B5-0278/2003 on market regulations and competition rules for the liberal professions was postponed to the sitting of Wednesday 8 October 2003;

| — | report A5-0265/2003 on taxation of passenger cars in the European Union was postponed to the November part-session in Brussels; |
| --- | --- |

—

report A5-0265/2003 on taxation of passenger cars in the European Union was postponed to the November part-session in Brussels;

| — | the report by Emilio Menéndez del Valle on peace and dignity in the Middle East was withdrawn from the agenda for Thursday 9 October; the statement by Mr Solana on the same subject remained on the agenda; |
| --- | --- |

—

the report by Emilio Menéndez del Valle on peace and dignity in the Middle East was withdrawn from the agenda for Thursday 9 October; the statement by Mr Solana on the same subject remained on the agenda;

| — | Parliament would hold a formal sitting on 9 October from 11.30 to 12.00 for the visit by Mrs Vike-Freiberga, President of the Republic of Latvia. Voting time would take place from 11.00 to 11.30 and 12.00 to 13.00; |
| --- | --- |

—

Parliament would hold a formal sitting on 9 October from 11.30 to 12.00 for the visit by Mrs Vike-Freiberga, President of the Republic of Latvia. Voting time would take place from 11.00 to 11.30 and 12.00 to 13.00;

| — | report A5-0310/2003 on credit for consumers, due to be voted on Thursday 9 October 2003 pursuant to Rule 110a, was postponed and added, with debate, to the draft agenda of 5 November 2003. |
| --- | --- |

—

report A5-0310/2003 on credit for consumers, due to be voted on Thursday 9 October 2003 pursuant to Rule 110a, was postponed and added, with debate, to the draft agenda of 5 November 2003.

6.   Official welcome

On behalf of Parliament, the President welcomed members of a delegation from the Russian Federal Assembly, led by Vladimir Lukin, Vice-President of the Duma and co-chairman of the EU-Russia Parliamentary Cooperation Committee, and Alexander Evstifeev, member of the Council of the Federation, who had taken their seats in the official gallery.

VOTING TIME

Details of voting (amendments, separate and split votes, etc.) appear in Annex I to the Minutes.

7.   Re-use of public sector documents ***II (vote)

(vote)

Recommendation for second reading on the common position adopted by the Council with a view to adopting a directive of the European Parliament and of the Council on the re-use of public sector documents [7946/1/2003 — C5-0251/2003 — 2002/0123(COD)] — Committee on Industry, External Trade, Research and Energy.

Rapporteur: W.G. van Velzen (A5-0284/2003)

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 1)

(Voting record: Annex I, Item 1)

COMMON POSITION OF THE COUNCIL

Declared approved as amended (P5_TA(2003)0408).

(P5_TA(2003)0408)

8.   Modinis (2003-2005) ***II (vote)

(vote)

Recommendation for second reading on the common position of the Council with a view to adopting a European Parliament and Council decision on adopting a multi-annual programme (2003-2005) for the monitoring of the eEurope 2005 Action plan, dissemination of good practices and the improvement of network and information security (Modinis) [7948/1/2003 — C5-0252/2003 — 2002/0187(COD)] — Committee on Industry, External Trade, Research and Energy.

Rapporteur: Imelda Mary Read (A5-0269/2003)

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 2)

(Voting record: Annex I, Item 2)

COMMON POSITION OF THE COUNCIL

Declared approved as amended (P5_TA(2003)0409).

(P5_TA(2003)0409)

9.   Investment services and regulated markets ***I (vote)

(vote)

Report on a proposal for a directive of the European Parliament and of the Council on investment services and regulated markets, and amending Council Directives 85/611/EEC, Council Directive 93/6/EEC and European Parliament and Council Directive 2000/12/EC [COM(2002) 625 — C5-0586/2002 — 2002/0269(COD)] — Committee on Economic and Monetary Affairs.

Rapporteur: Theresa Villiers (A5-0287/2003)

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 3)

(Voting record: Annex I, Item 3)

COMMISSION PROPOSAL

Approved as amended (P5_TA(2003)0410)

(P5_TA(2003)0410)

DRAFT LEGISLATIVE RESOLUTION

Adopted (P5_TA(2003)0410)

(P5_TA(2003)0410)

The following spoke:

The following spoke:

| — | the rapporteur, who moved an oral amendment to amendment 152, and Robert Goebbels, who supported that oral amendment. |
| --- | --- |

—

the rapporteur, who moved an oral amendment to amendment 152, and Robert Goebbels, who supported that oral amendment.

10.   Solvents in decorative paints and varnishes ***I (vote)

(vote)

Report on the proposal for a European Parliament and Council directive on the limitation of emissions of volatile organic compounds due to the use of organic solvents in decorative paints and varnishes and vehicle refinishing products and amending Directive 1999/13/EC [COM(2002) 750 — C5-0632/2002 — 2002/0301(COD)] — Committee on the Environment, Public Health and Consumer Policy.

Rapporteur: Giorgio Lisi (A5-0292/2003)

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 4)

(Voting record: Annex I, Item 4)

COMMISSION PROPOSAL

Approved as amended (P5_TA(2003)0411)

(P5_TA(2003)0411)

DRAFT LEGISLATIVE RESOLUTION

Adopted (P5_TA(2003)0411).

(P5_TA(2003)0411)

11.   Outcome of the World Trade Organisation Ministerial (Cancun, 10-14 September 2003) (vote)

(vote)

Motions for resolution B5-0399/REV1, 0400, 0401/REV1, 0402, 0404 and 0405/2003

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 5)

(Voting record: Annex I, Item 5)

JOINT MOTION FOR A RESOLUTION RC-B5-0399/2003

(replacing motions for resolutions B5-0399/REV1, 0400, 0401/REV1 and 0405/2003):

tabled by the following Members:

| — | W.G. van Velzen, Ilkka Suominen, Concepció Ferrer, Paul Rübig, Konrad K. Schwaiger and John Alexander Corrie, on behalf of the PPE-DE Group; |
| --- | --- |

—

W.G. van Velzen, Ilkka Suominen, Concepció Ferrer, Paul Rübig, Konrad K. Schwaiger and John Alexander Corrie, on behalf of the PPE-DE Group;

| — | Margrietus J. van den Berg, Luis Berenguer Fuster, Eryl Margaret McNally, Erika Mann and Glenys Kinnock, on behalf of the PSE Group; |
| --- | --- |

—

Margrietus J. van den Berg, Luis Berenguer Fuster, Eryl Margaret McNally, Erika Mann and Glenys Kinnock, on behalf of the PSE Group;

| — | Elly Plooij-van Gorsel, Maria Johanna (Marieke) Sanders-ten Holte and Willy C.E.H. De Clercq, on behalf of the ELDR Group; |
| --- | --- |

—

Elly Plooij-van Gorsel, Maria Johanna (Marieke) Sanders-ten Holte and Willy C.E.H. De Clercq, on behalf of the ELDR Group;

| — | Seán Ó Neachtain and Luís Queiró, on behalf of the UEN Group. |
| --- | --- |

—

Seán Ó Neachtain and Luís Queiró, on behalf of the UEN Group.

Adopted(P5_TA(2003)0412)

(P5_TA(2003)0412)

(Motions for resolutions B5-0402/2003 and B5-0404/2003 fell.)

The following spoke:

The following spoke:

Renzo Imbeni, who moved an oral amendment to paragraph 32.

12.   Access to EP, Council and Commission documents (vote)

(vote)

Report on public access to Parliament, Council and Commission documents (implementation of Regulation 1049/2001/EC in the year 2002) [2003/2022(INI)] — Committee on Citizens' Freedoms and Rights, Justice and Home Affairs.

Rapporteur: Michael Cashman (A5-0298/2003)

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 6)

(Voting record: Annex I, Item 6)

MOTION FOR A RESOLUTION

Adopted (P5_TA(2003)0413)

(P5_TA(2003)0413)

The following spoke:

The following spoke:

Maurizio Turco, who questioned the admissibility of the erratum to the Cashman report (the President confirmed that this erratum was in accordance with the Rules of Procedure and necessary for the admissibility of the text). The rapporteur endorsed the President's remarks.

13.   Progress report on European Union participation in the plan of implementation of the world summit on sustainable development (Johannesburg 2002) (vote)

(vote)

Motion for a resolution B5-0403/2003

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 7)

(Voting record: Annex I, Item 7)

MOTION FOR A RESOLUTION

Adopted(P5_TA(2003)0414).

(P5_TA(2003)0414)

14.   Activities of the European Ombudsman in 2002 (vote)

(vote)

Report on the annual report on the activities of the European Ombudsman for the year 2002 [C5-0271/2003 — 2003/2068(INI)] — Committee on Petitions.

Rapporteur: Stockton (A5-0229/2003)

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 8)

(Voting record: Annex I, Item 8)

MOTION FOR A RESOLUTION

Adopted (P5_TA(2003)0415).

(P5_TA(2003)0415)

15.   Deliberations of the Committee on Petitions 2002-2003 (vote)

(vote)

Report on the deliberations of the Committee on Petitions during the parliamentary year 2002-2003 [2003/2069(INI)] — Committee on Petitions.

Rapporteur: Laura González Alvarez (A5-0239/2003)

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 9)

(Voting record: Annex I, Item 9)

MOTION FOR A RESOLUTION

Adopted (P5_TA(2003)0416).

(P5_TA(2003)0416)

16.   Lloyd's Petitions (vote)

(vote)

Report on the petition declared admissible on the Lloyd's Petitions (Petitions 1273/1997, 71/1999, 207/2000, 318/2000, 709/2000, 127/2002) [2002/2208(INI)] — Committee on Petitions.

Rapporteur: Roy Perry (A5-0203/2003)

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 10)

(Voting record: Annex I, Item 10)

MOTION FOR A RESOLUTION

Adopted (P5_TA(2003)0417)

(P5_TA(2003)0417)

The following spoke:

The following spoke:

Michael Cashman, who asked for clarification concerning the wording of paragraph 5, which the President provided.

17.   Explanations of vote

Written explanations of vote:

Written explanations of vote:

Explanations of vote submitted in writing under Rule 137(3) appear in the verbatim report of proceedings for this sitting.

Explanations of vote submitted in writing under Rule 137(3) appear in the verbatim report of proceedings for this sitting.

Oral explanations of vote:

Oral explanations of vote:

Report Villiers — A5-0287/2003: Jean-Louis Bourlanges

Report Lisi — A5-0292/2003: Robert Goodwill

Report Roy Perry — A5-0203/2003: Bill Newton Dunn

18.   Corrections to votes

Voting corrections were submitted by the following Members:

Report Villiers — A5-0287/2003

| — | legislative resolution

  for: Brigitte Wenzel-Perillo |
| --- | --- |

—

legislative resolution

for: Brigitte Wenzel-Perillo

for:

Report Lisi — A5-0292/2003

| — | amendment 80

  for: W.G. van Velzen |
| --- | --- |

—

amendment 80

for: W.G. van Velzen

for:

| — | legislative resolution

  against: Christopher J.P. Beazley |
| --- | --- |

—

legislative resolution

against: Christopher J.P. Beazley

against:

Motion for a resolution — RC-B5-0399/2003

| — | amendment 1

  against: Liam Hyland and Dorette Corbey |
| --- | --- |

—

amendment 1

against: Liam Hyland and Dorette Corbey

against:

| — | paragraph 20

  for: Wolfgang Kreissl-Dörfler |
| --- | --- |

—

paragraph 20

for: Wolfgang Kreissl-Dörfler

for:

| — | resolution (as a whole)

  for: Emmanouil Mastorakis, Harald Ettl

  abstention: Anne Ferreira |
| --- | --- |

—

resolution (as a whole)

for: Emmanouil Mastorakis, Harald Ettl

for:

abstention: Anne Ferreira

abstention:

END OF VOTING TIME

(The sitting was suspended at 12.50 and resumed at 15.00.)

(The sitting was suspended at 12.50 and resumed at 15.00.)

IN THE CHAIR: Alonso José PUERTA

Vice-President

19.   Approval of Minutes of previous sitting

Corrections to votes were submitted by the following Members:

Report Sterckx — A5-0278/2003

| — | resolution

  for: María Sornosa Martínez |
| --- | --- |

—

resolution

for: María Sornosa Martínez

for:

Report Andersson — A5-0259/2003

| — | resolution

  for: Catherine Guy-Quint |
| --- | --- |

—

resolution

for: Catherine Guy-Quint

for:

Report McCarthy — A5-0238/2003

| — | amendment 16, first part

  against: Anne Ferreira |
| --- | --- |

—

amendment 16, first part

against: Anne Ferreira

against:

Report Gil-Robles Gil-Delgado and Tsatsos — A5-0299/2003

| — | amendment 78

  against: Gilles Savary |
| --- | --- |

—

amendment 78

against: Gilles Savary

against:

| — | amendment 82

  for: Gilles Savary |
| --- | --- |

—

amendment 82

for: Gilles Savary

for:

| — | amendment 23

  for: Ingo Friedrich |
| --- | --- |

—

amendment 23

for: Ingo Friedrich

for:

| — | amendment 79

  for: Anne Ferreira |
| --- | --- |

—

amendment 79

for: Anne Ferreira

for:

| — | amendment 69

  for: Anne Ferreira |
| --- | --- |

—

amendment 69

for: Anne Ferreira

for:

| — | amendment 72

  for: Anne Ferreira, Gilles Savary |
| --- | --- |

—

amendment 72

for: Anne Ferreira, Gilles Savary

for:

| — | paragraph 19

  for: Gilles Savary |
| --- | --- |

—

paragraph 19

for: Gilles Savary

for:

| — | amendment 20

  for: Anne Ferreira |
| --- | --- |

—

amendment 20

for: Anne Ferreira

for:

| — | paragraph 32

  against: Anne Ferreira |
| --- | --- |

—

paragraph 32

against: Anne Ferreira

against:

The Minutes of the previous sitting were approved.

20.   Arms exports (debate)

(debate)

Report on the Council's Fourth annual report according to Operative Provision 8 of the European Union Code of Conduct on Arms Exports [2003/2010(INI)] — Committee on Foreign Affairs, Human Rights, Common Security and Defence Policy.

Rapporteur: Karl von Wogau (A5-0244/2003).

Karl von Wogau introduced the report.

Michel Barnier (Member of the Commission) spoke.

The following spoke: Eija-Riitta Anneli Korhola, on behalf of the PPE-DE Group, Jo Leinen, on behalf of the PSE Group, Efstratios Korakas, on behalf of the GUE/NGL Group, Elisabeth Schroedter, on behalf of the Verts/ALE Group, Armonia Bordes, Nelly Maes and Michel Barnier.

The debate closed.

Vote: Item 23.

Item 23

21.   The European Union and the campaign against torture (Commission statement)

(Commission statement)

Commission statement: The European Union and the campaign against torture

Michel Barnier (Member of the Commission) made the statement.

The following spoke: Bernd Posselt, on behalf of the PPE-DE Group, Karin Junker, on behalf of the PSE Group, Nelly Maes, on behalf of the Verts/ALE Group, Koldo Gorostiaga Atxalandabaso, Carlos Lage on Koldo Gorostiaga Atxalandabaso's remarks, Koldo Gorostiaga Atxalandabaso, who made a personal statement following Carlos Lage's remarks, and Michael Gahler.

IN THE CHAIR: David W. MARTIN

Vice-President

The following spoke: Anna Karamanou and Michel Barnier.

The debate closed.

22.   Difficulties encountered by European beekeeping (oral question with debate)

(oral question with debate)

Oral question by Astrid Lulling and Dominique F.C. Souchet, on behalf of the Committee on Agriculture and Rural Development, to the Commission, on the difficulties encountered by European beekeeping (B5-0276/2003).

Astrid Lulling moved the oral question.

Michel Barnier (Member of the Commission) answered the question.

The following spoke: Bernd Posselt, Georges Berthu, Michel Barnier and Astrid Lulling.

The debate closed.

Vote: Thursday 9 October 2003.

Thursday 9 October 2003

23.   Arms exports (vote)

(vote)

Report on the Council's Fourth annual report according to Operative Provision 8 of the European Union Code of Conduct on Arms Exports [2003/2010(INI)] — Committee on Foreign Affairs, Human Rights, Common Security and Defence Policy.

Rapporteur: Karl von Wogau (A5-0244/2003).

(Simple majority)

(Simple majority)

(Voting record: Annex I, Item 11)

(Voting record: Annex I, Item 11)

MOTION FOR A RESOLUTION

Adopted (P5_TA(2003)0418).

(P5_TA(2003)0418)

24.   Membership of Parliament

Lord Bethell had given notice in writing of his resignation as Member of Parliament, with effect from 30 September 2003.

Pursuant to Rule 8 of its Rules of Procedure and Article 12(2), second subparagraph, of the Act concerning the election of the representatives of the European Parliament by direct universal suffrage, Parliament established the vacancy and informed the Member State concerned accordingly.

Jonathan Evans paid tribute to Lord Bethell's contribution as Member of Parliament; he recalled that Lord Bethell had, amongst other things, played a key role in the creation of the Sakharov prize.

*

- *

Hanja Maij-Weggen had given notice in writing of her resignation as Member of Parliament, with effect from 1 October 2003.

Pursuant to Rule 8 of its Rules of Procedure and Article 12(2), second subparagraph, of the Act concerning the election of the representatives of the European Parliament by direct universal suffrage, Parliament established the vacancy and informed the Member State concerned accordingly.

Hanja Maij-Weggen had been appointed Queen's Commissioner for the Province of North Brabant. The President congratulated her on her appointment.

*

- *

The competent Slovak authorities had informed the President of the appointment of Jozef Heriban as observer in place of Imrich Béres, with effect from 9 September 2003.

25.   Membership of committees

At the request of the PPE-DE Group Group, Parliament ratified the following appointment:

Robert Goodwill to the Delegation to the EU-Russia Parliamentary Cooperation Committee, in place of Lord Bethell.

Jozef Heriban was appointed observer to the ECON Committee.

26.   Request for defence of parliamentary immunity

Giuseppe Gargani had written to the President requesting that Parliament intercede with the Italian competent authorities in defence of his parliamentary immunity in legal proceedings in Milan.

Pursuant to Rule 6(3), the request had been referred to the committee responsible, the JURI Committee.

27.   Written declarations included in the register (Rule 51)

(Rule 51)

Number of signatures obtained by the written declarations in the register (Rule 51(3)):

| Document No | Author | Signatures |
| --- | --- | --- |
| 15/2003 | Mario Borghezio | 11 |
| 16/2003 | Othmar Karas | 25 |
| 17/2003 | Struan Stevenson, Bob van den Bos, Nelly Maes, Mihail Papayannakis, Phillip Whitehead | 84 |
| 18/2003 | André Brie, Willi Görlach, Joost Lagendijk, Philippe Morillon | 16 |
| 19/2003 | Marie Anne Isler Béguin, Alexander de Roo | 19 |
| 20/2003 | Philip Claeys, Koenraad Dillen | 8 |

Document No

Document No

Author

Author

Signatures

Signatures

15/2003

Mario Borghezio

11

16/2003

Othmar Karas

25

17/2003

Struan Stevenson, Bob van den Bos, Nelly Maes, Mihail Papayannakis, Phillip Whitehead

84

18/2003

André Brie, Willi Görlach, Joost Lagendijk, Philippe Morillon

16

19/2003

Marie Anne Isler Béguin, Alexander de Roo

19

20/2003

Philip Claeys, Koenraad Dillen

8

28.   Enhanced cooperation between committees

CULT:

CULT:

| — | Community action programme to promote bodies active at European level in the field of culture (COM(2003) 275 — C5-0262/2003 — 2003/0115(COD))
  (Asked for opinion: BUDG, CONT)
  Procedure pursuant to Rule 162a between CULT and BUDG
  (Following the Conference of Presidents' decision of 25 September 2003) |
| --- | --- |

—

Community action programme to promote bodies active at European level in the field of culture (COM(2003) 275 — C5-0262/2003 — 2003/0115(COD))

(Asked for opinion: BUDG, CONT)

Procedure pursuant to Rule 162a between CULT and BUDG

(Following the Conference of Presidents' decision of 25 September 2003)

| — | Community action programme to promote bodies active at European level in the field of youth (COM(2003) 272 — C5-0257/2003 — 2003/0113(COD))
  (Asked for opinion: BUDG, CONT)
  Procedure pursuant to Rule 162a between CULT and BUDG
  (Following the Conference of Presidents' decision of 25 September 2003) |
| --- | --- |

—

Community action programme to promote bodies active at European level in the field of youth (COM(2003) 272 — C5-0257/2003 — 2003/0113(COD))

(Asked for opinion: BUDG, CONT)

Procedure pursuant to Rule 162a between CULT and BUDG

(Following the Conference of Presidents' decision of 25 September 2003)

| — | Community action programme to promote bodies active at European level and support specific activities in the field of education and training (COM(2003) 273 — C5-0255/2003 — 2003/0114(COD))
  (Asked for opinion: BUDG, LIBE, CONT)
  Procedure pursuant to Rule 162a between CULT and BUDG
  (Following the Conference of Presidents' decision of 25 September 2003) |
| --- | --- |

—

Community action programme to promote bodies active at European level and support specific activities in the field of education and training (COM(2003) 273 — C5-0255/2003 — 2003/0114(COD))

(Asked for opinion: BUDG, LIBE, CONT)

Procedure pursuant to Rule 162a between CULT and BUDG

(Following the Conference of Presidents' decision of 25 September 2003)

LIBE:

LIBE:

| — | Community action programme to promote active European citizenship (COM(2003) 276 — C5-0321/2003 — 2003/0116(CNS))
  (Asked for opinion: AFCO, BUDG, CULT, EMPL, CONT)
  Procedure pursuant to Rule 162a between LIBE and BUDG
  (Following the Conference of Presidents' decision of 25 September 2003) |
| --- | --- |

—

Community action programme to promote active European citizenship (COM(2003) 276 — C5-0321/2003 — 2003/0116(CNS))

(Asked for opinion: AFCO, BUDG, CULT, EMPL, CONT)

Procedure pursuant to Rule 162a between LIBE and BUDG

(Following the Conference of Presidents' decision of 25 September 2003)

AFET:

AFET:

| — | Community action programme for bodies promoting reciprocal understanding of relations between the European Union and certain non-industrialised regions in the world (COM(2003) 280 — C5-0350/2003 — 2003/0110(CNS))
  (Asked for opinion: BUDG, DEVE, ITRE, CONT)
  Procedure pursuant to Rule 162a between AFET and BUDG
  (Following the Conference of Presidents' decision of 25 September 2003) |
| --- | --- |

—

Community action programme for bodies promoting reciprocal understanding of relations between the European Union and certain non-industrialised regions in the world (COM(2003) 280 — C5-0350/2003 — 2003/0110(CNS))

(Asked for opinion: BUDG, DEVE, ITRE, CONT)

Procedure pursuant to Rule 162a between AFET and BUDG

(Following the Conference of Presidents' decision of 25 September 2003)

FEMM:

FEMM:

| — | Community action programme to promote organisations active at European level in the field of equality between men and women (COM(2003) 279 — C5-0261/2003 — 2003/0109(COD))
  (Asked for opinion: BUDG, CONT)
  Procedure pursuant to Rule 162a between FEMM and BUDG
  (Following the Conference of Presidents' decision of 25 September 2003) |
| --- | --- |

—

Community action programme to promote organisations active at European level in the field of equality between men and women (COM(2003) 279 — C5-0261/2003 — 2003/0109(COD))

(Asked for opinion: BUDG, CONT)

Procedure pursuant to Rule 162a between FEMM and BUDG

(Following the Conference of Presidents' decision of 25 September 2003)

29.   Action taken on Parliament's positions and resolutions

The Commission communication on the action taken on the positions and resolutions adopted by Parliament during the June 2003 part-session had been distributed.

30.   Forwarding of texts adopted during the sitting

Pursuant to Rule 148(2), the Minutes of that day's sitting would be submitted to Parliament for its approval at the beginning of the next sitting.

With Parliament's agreement, the texts that had been adopted would be forwarded forthwith to the bodies named therein.

31.   Dates for next sittings

The next sittings would be held on 8 and 9 October 2003.

32.   Adjournment of session

The session of the European Parliament was adjourned.

The sitting closed at 16.40.

Julian Priestley

Secretary-General

Pat Cox

President

---

ATTENDANCE REGISTER

The following signed:

Aaltonen, Ahern, Ainardi, Almeida Garrett, Alyssandrakis, Andersen, Andreasen, André-Léonard, Andrews, Andria, Angelilli, Aparicio Sánchez, Arvidsson, Atkins, Auroi, Averoff, Avilés Perea, Ayuso González, Bakopoulos, Baltas, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Belder, Berend, Berenguer Fuster, van den Berg, Bergaz Conesa, Berger, Berlato, Bernié, Berthu, Blak, Blokland, Bodrato, Böge, Bösch, von Boetticher, Bonde, Bonino, Boogerd-Quaak, Bordes, Borghezio, van den Bos, Boudjenah, Bouwman, Bowe, Bowis, Bradbourn, Breyer, Brie, Brok, Buitenweg, Bullmann, van den Burg, Bushill-Matthews, Busk, Butel, Callanan, Camisón Asensio, Camre, Cappato, Carnero González, Carrilho, Casaca, Cashman, Caudron, Caullery, Cauquil, Cederschiöld, Celli, Cercas, Cerdeira Morterero, Ceyhun, Chichester, Philip Claeys, Cocilovo, Coelho, Cohn-Bendit, Collins, Colom i Naval, Corbett, Corbey, Cornillet, Corrie, Cossutta, Raffaele Costa, Cox, Crowley, Cunha, Cushnahan, van Dam, Dary, Daul, Davies, Decourrière, Dehousse, Dell'Alba, Della Vedova, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dhaene, Díez González, Dillen, Dimitrakopoulos, Doorn, Dover, Duff, Duin, Dupuis, Dybkjær, Ebner, Elles, Esclopé, Ettl, Jonathan Evans, Färm, Farage, Fatuzzo, Fava, Ferber, Fernández Martín, Ferrández Lezaun, Ferreira, Ferrer, Fiebiger, Figueiredo, Fiori, Fitzsimons, Flautre, Flesch, Folias, Formentini, Foster, Fourtou, Fraisse, Frassoni, Friedrich, Fruteau, Gahler, Galeote Quecedo, Garaud, García-Orcoyen Tormo, Garot, Garriga Polledo, Gasòliba i Böhm, Gebhardt, Gemelli, Ghilardotti, Gill, Gil-Robles Gil-Delgado, Glante, Glase, Gobbo, Goebbels, Goepel, Görlach, Gollnisch, Gomolka, Goodwill, Gorostiaga Atxalandabaso, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Gutiérrez-Cortines, Hänsch, Hager, Hannan, Hansenne, Hatzidakis, Haug, Heaton-Harris, Hedkvist Petersen, Helmer, Hermange, Herranz García, Herzog, Hieronymi, Honeyball, Hortefeux, Howitt, Hughes, Huhne, van Hulten, Hume, Hyland, Iivari, Ilgenfritz, Imbeni, Isler Béguin, Izquierdo Collado, Izquierdo Rojo, Jackson, Jarzembowski, Jeggle, Jensen, Jonckheer, Jové Peres, Junker, Karamanou, Karas, Katiforis, Kaufmann, Kauppi, Keppelhoff-Wiechert, Keßler, Kindermann, Glenys Kinnock, Klamt, Klaß, Knolle, Koch, Konrad, Korakas, Korhola, Koukiadis, Koulourianos, Krarup, Kratsa-Tsagaropoulou, Krehl, Kreissl-Dörfler, Krivine, Kronberger, Kuckelkorn, Kuhne, Kuntz, Lage, Lagendijk, Lalumière, Lamassoure, Lang, Langen, Langenhagen, Lannoye, de La Perriere, Laschet, Lavarra, Lechner, Lehne, Leinen, Liese, Linkohr, Lisi, Lombardo, Lucas, Lulling, Lund, Lynne, Maat, McAvan, McCarthy, McCartin, Maes, Maij-Weggen, Malliori, Malmström, Manders, Manisco, Erika Mann, Thomas Mann, Marinho, Marinos, Markov, Marques, Marset Campos, Martens, David W. Martin, Hans-Peter Martin, Martinez, Martínez Martínez, Mastorakis, Mathieu, Matikainen-Kallström, Mauro, Hans-Peter Mayer, Xaver Mayer, Medina Ortega, Meijer, Méndez de Vigo, Mendiluce Pereiro, Menéndez del Valle, Mennitti, Menrad, Messner, Miguélez Ramos, Miller, Miranda de Lage, Modrow, Mombaur, Monsonís Domingo, Montfort, Moraes, Moreira Da Silva, Morillon, Emilia Franziska Müller, Müller, Mulder, Murphy, Musotto, Napoletano, Napolitano, Naranjo Escobar, Nassauer, Newton Dunn, Nicholson, Nicholson of Winterbourne, Niebler, Nobilia, Nordmann, Obiols i Germà, Ojeda Sanz, Olsson, Ó Neachtain, Onesta, Oomen-Ruijten, Oostlander, Oreja Arburúa, Paasilinna, Pacheco Pereira, Paciotti, Pack, Pannella, Papayannakis, Parish, Pasqua, Pastorelli, Patakis, Patrie, Paulsen, Pérez Álvarez, Pérez Royo, Roy Perry, Pesälä, Pex, Piecyk, Piétrasanta, Pirker, Piscarreta, Plooij-van Gorsel, Podestà, Pohjamo, Pomés Ruiz, Poos, Posselt, Prets, Pronk, Puerta, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Randzio-Plath, Rapkay, Raschhofer, Raymond, Read, Ribeiro e Castro, Ries, Riis-Jørgensen, Ripoll y Martínez de Bedoya, Rodríguez Ramos, de Roo, Rothe, Roure, Rovsing, Rübig, Rühle, Rutelli, Sacconi, Sacrédeus, Saint-Josse, Salafranca Sánchez-Neyra, Sandberg-Fries, Sandbæk, Sanders-ten Holte, Santer, Santini, dos Santos, Sartori, Sauquillo Pérez del Arco, Savary, Sbarbati, Scarbonchi, Scheele, Schleicher, Gerhard Schmid, Herman Schmid, Olle Schmidt, Schmitt, Schnellhardt, Schörling, Ilka Schröder, Jürgen Schröder, Schroedter, Schulz, Schwaiger, Segni, Seppänen, Sichrovsky, Simpson, Sjöstedt, Skinner, Smet, Soares, Sörensen, Sommer, Sornosa Martínez, Souladakis, Sousa Pinto, Speroni, Staes, Stauner, Stenmarck, Stenzel, Sterckx, Stevenson, Stihler, Stirbois, Stockmann, Stockton, Sturdy, Sudre, Suominen, Swiebel, Swoboda, Sylla, Sørensen, Tajani, Tannock, Terrón i Cusí, Theato, Theorin, Thomas-Mauro, Thorning-Schmidt, Thors, Thyssen, Titford, Titley, Torres Marques, Trakatellis, Trentin, Turchi, Turco, Uca, Vachetta, Väyrynen, Vairinhos, Valdivielso de Cué, Valenciano Martínez-Orozco, Van Hecke, Van Lancker, Van Orden, Varaut, Varela Suanzes-Carpegna, Vatanen, Vattimo, van Velzen, Vermeer, Vidal-Quadras Roca, Villiers, Virrankoski, Voggenhuber, Volcic, Wachtmeister, Wallis, Walter, Watson, Watts, Weiler, Wenzel-Perillo, Whitehead, Wieland, Wiersma, Wijkman, von Wogau, Wuermeling, Wuori, Wurtz, Wynn, Zabell, Zacharakis, Zappalà, Zimeray, Zimmerling, Zissener, Zorba, Zrihen.

Observers:

A. Nagy László, Bastys Mindaugas, Bauer Edit, Biela Adam, Bobelis Kazys Jaunutis, Bonnici Josef, Chronowski Andrzej, Gemniak Grażyna, Cilevičs Boriss, Cybulski Zygmunt, Czinege Imre, Didžiokas Gintaras, Drzęla Bernard, Ékes József, Eörsi Mátyás, Fazakas Szabolcs, Figeľ Jan, Filipek Krzysztof, Gadzinowski Piotr, Giertych Maciej, Grabowska Genowefa, Grzyb Andrzej, Hegyi Gyula, Ilves Toomas Hendrik, Iwiński Tadeusz, Jakič Roman, Jaskiernia Jerzy, Kacin Jelko, Kamiński Michał Tomasz, Kelemen András, Klich Bogdan, Kłopotek Eugeniusz, Klukowski Wacław, Kolář Robert, Konečná Kateřina, Kósá Kovács Magda, Kowalska Bronisława, Kriščiūnas Kęstutis, Kroupa Daniel, Kuzmickas Kęstutis, Kvietkauskas Vytautas, Landsbergis Vytautas, Lepper Andrzej, Libicki Marcin, Lisak Janusz, Lydeka Arminas, Łyżwiński Stanisław, Maldeikis Eugenijus, Maštálka Jiří, Matsakis Marios, Mavrou Eleni, Pęczak Andrzej, Peterle Alojz, Pieniążek Jerzy, Plokšto Artur, Podgórski Bogdan, Podobnik Janez, Pospíšil Jiří, Protasiewicz Jacek, Reiljan Janno, Rutkowski Krzysztof, Sefzig Luděk, Smorawiński Jerzy, Surján László, Szczygło Aleksander, Tabajdi Csaba, Vaculík Josef, Valys Amanas, Vareikis Egidijus, Vella George, Vėsaitė Birutė, Wenderlich Jerzy, Wiśniowska Genowefa, Wittbrodt Edmund, Záborská Anna, Žiak Rudolf.

---

ANNEX I

RESULTS OF VOTES

Abbreviations and symbols

| + | adopted |
| --- | --- |
| - | rejected |
| ↓ | lapsed |
| W | withdrawn |
| RCV (..., ..., ...) | roll-call vote (for, against, abstentions) |
| EV (..., ..., ...) | electronic vote (for, against, abstentions) |
| split | split vote |
| sep | separate vote |
| am | amendment |
| CA | compromise amendment |
| CP | corresponding part |
| D | deleting amendment |
| = | identical amendments |
| § | paragraph |
| art | article |
| rec | recital |
| MOT | motion for a resolution |
| JT MOT | joint motion for a resolution |
| SEC | secret ballot |

+

adopted

-

rejected

↓

lapsed

W

withdrawn

RCV (..., ..., ...)

roll-call vote (for, against, abstentions)

EV (..., ..., ...)

electronic vote (for, against, abstentions)

split

split vote

sep

separate vote

am

amendment

CA

compromise amendment

CP

corresponding part

D

deleting amendment

=

identical amendments

§

paragraph

art

article

rec

recital

MOT

motion for a resolution

JT MOT

joint motion for a resolution

SEC

secret ballot

1.   Re-use of public sector documents ***II

Recommendation for second reading: W.G. VAN VELZEN (A5-0284/2003)

| Subject | Amendment No | Author | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- | --- | --- |
| amendments by committee responsible (compromise) — block vote | 1-5
  7
  9-11
  18-19
  +
  20-24 | committee | | + | |

Subject

Amendment No

Author

RCV, etc.

Vote

RCV/EV — remarks

amendments by committee responsible (compromise) — block vote

1-5

7

9-11

18-19

+

20-24

committee

+

Amendments 6, 8, 12, 13, 14, 15, 16 and 17 had been withdrawn.

2.   Modinis (2003-2005) ***II

Recommendation for second reading: Imelda Mary READ (A5-0269/2003)

| Subject | Amendment No | Author | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- | --- | --- |
| text as a whole | 1 | committee | | + | |

Subject

Amendment No

Author

RCV, etc.

Vote

RCV/EV — remarks

text as a whole

1

committee

+

3.   Investment services and regulated markets ***I

Report: Theresa VILLIERS (A5-0287/2003)

| Subject | Amendment No | Author | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- | --- | --- |
| amendments by committee responsible — block vote | 1-4
  6-8
  10-16
  18-32
  34-36
  38-42
  44
  46
  48-52
  55-56
  58
  60
  62
  65
  67-74
  76-83
  85
  87-88
  91-93
  95-98
  100-101
  103-121
  123-124
  126-141
  143-144 | committee | | + | |
| amendments by committee responsible — separate votes | 9 | committee | sep | + | |
| 33 | committee | split | | |
| 1 | + | |
| 2 | + | |
| 3 | + | |
| 4 | + | |
| 5 | + | |
| 6 | + | |
| 7/RCV | + | 262, 146, 4 |
| 37 | committee | sep | - | |
| 47 | committee | split | | |
| 1 | + | |
| 2/EV | - | 158, 251, 4 |
| 53 | committee | split | | |
| 1 | + | |
| 2/RCV | + | 305, 124, 3 |
| 54 | committee | split | | |
| 1 | + | |
| 2 | + | |
| 61 | committee | sep | + | |
| 63 | committee | sep | + | |
| 64 | committee | sep | + | |
| 66 | committee | sep | + | |
| 84 | committee | split | | |
| 1 | + | |
| 2 | + | |
| 86 | committee | split | | |
| 1 | + | |
| 2/RCV | + | 270, 178, 7 |
| 94 | committee | sep/EV | + | 258, 178, 6 |
| 99 | committee | sep | + | |
| 102 | committee | sep | + | |
| 122 | committee | sep | + | |
| 125 | committee | split | | |
| 1 | + | |
| 2/EV | - | 137, 302, 7 |
| 142 | committee | sep | + | |
| art 2 | 156 | PPE-DE | | + | |
| 17 | committee | | ↓ | |
| 157 | PPE-DE | | + | |
| art 13, § 1 | 43 | committee | | - | |
| 149 | PSE | | + | |
| art 13, § 6 | 45 D | committee | | - | |
| 150 | PSE | | + | |
| art 18, § 8 | 145 | PSE | | + | |
| 57 | committee | | ↓ | |
| art 18, § 9 | 59 | committee | | + | |
| 146 | PSE | | ↓ | |
| art 22, § 1 | 154 | Verts/ALE | | - | |
| 75 | committee | | + | |
| 155 | GUE/NGL | | - | |
| art 25 | 89 | committee | split | | |
| 1 | + | |
| 2 | + | |
| 147 | PSE | | ↓ | |
| art 26 | 151 | PSE | | + | |
| 90 | committee | | ↓ | |
| art 32 | 152 | PSE | | + | amended orally |
| art 33 | 158 | PPE-DE | | + | |
| art 59 | 153 | PSE | | - | |
| after recital 7 | 148 | PSE | | + | |
| 5 | committee | | ↓ | |
| vote: amended proposal | | + | |
| vote: legislative resolution | RCV | + | 296, 74, 96 |

Subject

Amendment No

Author

RCV, etc.

Vote

RCV/EV — remarks

amendments by committee responsible — block vote

1-4

6-8

10-16

18-32

34-36

38-42

44

46

48-52

55-56

58

60

62

65

67-74

76-83

85

87-88

91-93

95-98

100-101

103-121

123-124

126-141

143-144

committee

+

amendments by committee responsible — separate votes

9

committee

sep

+

33

committee

split

1

+

2

+

3

+

4

+

5

+

6

+

7/RCV

+

262, 146, 4

37

committee

sep

-

47

committee

split

1

+

2/EV

-

158, 251, 4

53

committee

split

1

+

2/RCV

+

305, 124, 3

54

committee

split

1

+

2

+

61

committee

sep

+

63

committee

sep

+

64

committee

sep

+

66

committee

sep

+

84

committee

split

1

+

2

+

86

committee

split

1

+

2/RCV

+

270, 178, 7

94

committee

sep/EV

+

258, 178, 6

99

committee

sep

+

102

committee

sep

+

122

committee

sep

+

125

committee

split

1

+

2/EV

-

137, 302, 7

142

committee

sep

+

art 2

156

PPE-DE

+

17

committee

↓

157

PPE-DE

+

art 13, § 1

43

committee

-

149

PSE

+

art 13, § 6

45 D

committee

-

150

PSE

+

art 18, § 8

145

PSE

+

57

committee

↓

art 18, § 9

59

committee

+

146

PSE

↓

art 22, § 1

154

Verts/ALE

-

75

committee

+

155

GUE/NGL

-

art 25

89

committee

split

1

+

2

+

147

PSE

↓

art 26

151

PSE

+

90

committee

↓

art 32

152

PSE

+

amended orally

art 33

158

PPE-DE

+

art 59

153

PSE

-

after recital 7

148

PSE

+

5

committee

↓

vote: amended proposal

+

vote: legislative resolution

RCV

+

296, 74, 96

Requests for roll-call votes

PPE-DE: final vote

Requests for separate vote

PPE-DE: am 37

PSE: ams 9, 61, 63, 64, 94, 99, 102, 122, 142

GUE/NGL: am 66

Requests for split votes

PPE-DE

am 47

1st part: up to ‘implementing measures to’

2nd part: remainder

am 125

1st part: text as a whole except the words ‘regulated markets or’

2nd part: those words

PSE

am 33

1st part:‘systematic internationalisation ... market or MTF’

2nd part:‘Where executions ... standard market size’

am 84

1st part: up to ‘through the MTF’

2nd part: remainder

am 89

1st part: text as a whole except the words ‘specify what is in an order ... different contexts’ [point aa]

2nd part: those words

GUE/NGL

am 33

1st part:‘systematic ... regular’ and ‘basis, of’

2nd part:‘and continuous’

3rd part:‘orders ... regulated market’ [points (a) and (b)]

4th part:‘transactions on own account’

5th part:‘or ... client orders’

6th part:‘transactions ... MTF’ [points (d) and (e)]

7th part: remainder

GUE/NGL, PPE-DE

am 53

1st part: up to ‘financial instruments proposed’

2nd part: remainder

am 54

1st part: up to ‘financial instruments proposed’

2nd part: remainder

ANDRIA et al, GUE/NGL, PPE-DE

am 86

1st part: text as a whole except the words ‘or better than’

2nd part: those words

Other information

The rapporteur proposed an oral amendment to amendment 152 which reads as follows:

Article 60, paragraph 2a (new): The Commission shall assess the need to lay down at European level definitions of central counterparty and clearing and settlement systems. On the basis of this assessment, the Commission shall submit a proposal to the European Parliament and the Council.

The President established that there was no objection to the oral amendment.

4.   Solvents in decorative paints and varnishes ***I

Report: Giorgio LISI (A5-0292/2003)

| Subject | Amendment No | Author | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- | --- | --- |
| amendments by committee responsible — block vote | 1
  6
  8-9
  11
  14
  16-19
  21-22
  24-25
  32-34
  37 | committee | | + | |
| amendments by committee responsible — separate votes | 2 | committee | sep/EV | + | 252, 184, 1 |
| 4 | committee | split | | |
| 1 | + | |
| 2 | + | |
| 5 | committee | sep | + | |
| 7 | committee | sep | + | |
| 10 | committee | RCV | + | 259, 202, 2 |
| 12 | committee | sep | - | |
| 13 | committee | sep | + | |
| 15 | committee | split | | |
| 1 | + | |
| 2/RCV | + | 376, 85, 0 |
| 3/RCV | + | 245, 216, 2 |
| 20 | committee | split | | |
| 1 | + | |
| 2/EV | + | 239, 214, 1 |
| 3 | + | |
| 23 | committee | sep/EV | + | 249, 210, 1 |
| 28 | committee | sep | + | |
| 29 | committee | sep | + | |
| 30 | committee | sep | + | |
| 31 | committee | split | | |
| 1/EV | - | 213, 239, 1 |
| 2 | + | |
| 35 | committee | sep | + | |
| 36 | committee | sep | + | |
| art 1 | 53 | PSE | | - | |
| 84 | GUE/NGL | | + | |
| art 8 | 80 | Verts/ALE | RCV | - | 187, 269, 6 |
| 26 | committee | | + | |
| 54 | PSE | RCV | + | 247, 212, 7 |
| art 9 | 38/rev D | EDD | | - | |
| 27 | committee | | - | |
| 46 | PPE-DE | EV | + | 257, 198,6 |
| after art 9 | 83 | GUE/NGL | | - | |
| 81 | Verts/ALE | | - | |
| annex 2, table A, sub-category (a) | 39 =
  55 =
  62 = | PPE-DE + PSE
  GUE/NGL + Verts/ALE | EV | - | 201, 257, 2 |
| annex 2, table A, sub-category (a) | 40 =
  56 =
  63 = | PPE-DE + PSE
  GUE/NGL + Verts/ALE | | - | |
| annex 2, table A, sub-category (a) | 64 | GUE/NGL + Verts/ALE | RCV | - | 199, 259, 7 |
| annex, table A, sub-category (b) | 41 =
  57 =
  65 = | PPE-DE + PSE
  GUE/NGL + Verts/ALE | | - | |
| annex, table A, sub-category (b) | 58 | PSE | | - | |
| 66 | GUE/NGL + Verts/ALE | RCV | - | 202, 258, 7 |
| annex 2, table A, sub-category (c) | 42 =
  59 =
  67 = | PPE-DE + PSE
  GUE/NGL + Verts/ALE | | - | |
| annex 2, table A, sub-category (d) | 60 =
  68 = | PSE
  GUE/NGL + Verts/ALE | | - | |
| annex 2, table A, sub-category (d) | 47 | PPE-DE | EV | - | 212, 241, 5 |
| 69 | GUE/NGL + Verts/ALE | | - | |
| annex 2, table A, sub-category (d) | 48 | PPE-DE | | + | |
| 43 | EDD | | ↓ | |
| 70 | GUE/NGL + Verts/ALE | | ↓ | |
| annex 2, table A, sub-category (e) | 71 | GUE/NGL + Verts/ALE | | - | |
| 61 | PSE | | - | |
| annex 2, table A, sub-category (e) | 72 | GUE/NGL + Verts/ALE | | - | |
| annex 2, table A, sub-category (e) | 73 | GUE/NGL + Verts/ALE | | - | |
| annex 2, table A, sub-category (f) | 44 =
  74 = | EDD
  GUE/NGL + Verts/ALE | | - | |
| annex 2, table A, sub-category (f) | 45 =
  75 = | EDD
  GUE/NGL + Verts/ALE | | - | |
| annex, table A, sub-category (f) | 76 | GUE/NGL + Verts/ALE | | - | |
| 77 | GUE/NGL + Verts/ALE | | - | |
| after recital 3 | 49 | PSE | RCV | - | 174, 281, 8 |
| 50 | PSE | split | | |
| 1 | - | |
| 2/EV | + | 241, 209, 2 |
| recital 6 | 3 | committee | | + | |
| 51 | PSE | | - | |
| after recital 9 | 79 | Verts/ALE | | - | |
| recital 12 | 82 | GUE/NGL | | - | |
| after recital 16 | 52 | PSE | | - | |
| vote: amended proposal | | + | |
| vote: legislative resolution | RCV | + | 371, 24, 67 |

Subject

Amendment No

Author

RCV, etc.

Vote

RCV/EV — remarks

amendments by committee responsible — block vote

1

6

8-9

11

14

16-19

21-22

24-25

32-34

37

committee

+

amendments by committee responsible — separate votes

2

committee

sep/EV

+

252, 184, 1

4

committee

split

1

+

2

+

5

committee

sep

+

7

committee

sep

+

10

committee

RCV

+

259, 202, 2

12

committee

sep

-

13

committee

sep

+

15

committee

split

1

+

2/RCV

+

376, 85, 0

3/RCV

+

245, 216, 2

20

committee

split

1

+

2/EV

+

239, 214, 1

3

+

23

committee

sep/EV

+

249, 210, 1

28

committee

sep

+

29

committee

sep

+

30

committee

sep

+

31

committee

split

1/EV

-

213, 239, 1

2

+

35

committee

sep

+

36

committee

sep

+

art 1

53

PSE

-

84

GUE/NGL

+

art 8

80

Verts/ALE

RCV

-

187, 269, 6

26

committee

+

54

PSE

RCV

+

247, 212, 7

art 9

38/rev D

EDD

-

27

committee

-

46

PPE-DE

EV

+

257, 198,6

after art 9

83

GUE/NGL

-

81

Verts/ALE

-

annex 2, table A, sub-category (a)

39 =

55 =

62 =

PPE-DE + PSE

GUE/NGL + Verts/ALE

EV

-

201, 257, 2

annex 2, table A, sub-category (a)

40 =

56 =

63 =

PPE-DE + PSE

GUE/NGL + Verts/ALE

-

annex 2, table A, sub-category (a)

64

GUE/NGL + Verts/ALE

RCV

-

199, 259, 7

annex, table A, sub-category (b)

41 =

57 =

65 =

PPE-DE + PSE

GUE/NGL + Verts/ALE

-

annex, table A, sub-category (b)

58

PSE

-

66

GUE/NGL + Verts/ALE

RCV

-

202, 258, 7

annex 2, table A, sub-category (c)

42 =

59 =

67 =

PPE-DE + PSE

GUE/NGL + Verts/ALE

-

annex 2, table A, sub-category (d)

60 =

68 =

PSE

GUE/NGL + Verts/ALE

-

annex 2, table A, sub-category (d)

47

PPE-DE

EV

-

212, 241, 5

69

GUE/NGL + Verts/ALE

-

annex 2, table A, sub-category (d)

48

PPE-DE

+

43

EDD

↓

70

GUE/NGL + Verts/ALE

↓

annex 2, table A, sub-category (e)

71

GUE/NGL + Verts/ALE

-

61

PSE

-

annex 2, table A, sub-category (e)

72

GUE/NGL + Verts/ALE

-

annex 2, table A, sub-category (e)

73

GUE/NGL + Verts/ALE

-

annex 2, table A, sub-category (f)

44 =

74 =

EDD

GUE/NGL + Verts/ALE

-

annex 2, table A, sub-category (f)

45 =

75 =

EDD

GUE/NGL + Verts/ALE

-

annex, table A, sub-category (f)

76

GUE/NGL + Verts/ALE

-

77

GUE/NGL + Verts/ALE

-

after recital 3

49

PSE

RCV

-

174, 281, 8

50

PSE

split

1

-

2/EV

+

241, 209, 2

recital 6

3

committee

+

51

PSE

-

after recital 9

79

Verts/ALE

-

recital 12

82

GUE/NGL

-

after recital 16

52

PSE

-

vote: amended proposal

+

vote: legislative resolution

RCV

+

371, 24, 67

Amendment 78 had been cancelled.

Requests for roll-call votes

PPE-DE: final vote

PSE: ams 49, 54, 80

ELDR: am 10

Verts/ALE: am 15 [parts 2 and 3], 64, 66

Requests for separate vote

PPE-DE: ams 2, 10, 13, 23

ELDR: am 12

Verts/ALE: ams 5, 7, 28, 29, 30, 31, 35, 36

Requests for split votes

PPE-DE

am 20

1st part: up to ‘products wisely’

2nd part:‘taking into account ... via waterways and drains’

3rd part: remainder

am 31

1st part: up to ‘listed below’

2nd part: remainder

PSE, PPE-DE

am 15

1st part:‘Without prejudice ... laid down in that annex’

2nd part:‘Coating materials ... are excluded’

Verts/ALE

am 4

1st part: text as a whole except the word ‘where’

2nd part: that word

am 15

1st part: up to ‘Article 1’

2nd part:‘Member States ... that annex’

3rd part: remainder

am 50

1st part: up to ‘useful’

2nd part: remainder

5.   Outcome of the WTO Ministerial

Motions for resolutions: B5-0399/REV1, 0400, 0401/REV1, 0402, 0404, 0405/2003

| Subject | Amendment No | Author | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- | --- | --- |
| joint motion for a resolution RC5-0399/2003




  (PPE-DE, PSE, ELDR, UEN.) |
| § 1 | 1 | Verts/ALE | RCV | - | 90, 346, 14 |
| after § 2 | 2 | Verts/ALE | | - | |
| 3 | Verts/ALE | RCV | - | 89, 340, 29 |
| § 3 | | original text | split | | |
| 1 | + | |
| 2 | + | |
| § 4 | | original text | split | | |
| 1 | + | |
| 2 | + | |
| § 9 | 6 | PSE | RCV | - | 167, 266, 29 |
| § 11 | 7 | PSE | split | | |
| | | 1 | + | |
| 2 | + | |
| § | original text | | ↓ | |
| § 12 | | original text | split | | |
| 1 | + | |
| 2 | + | 235, 204, 12 |
| § 13 | | original text | sep | + | |
| § 18 | | original text | split | | |
| 1 | + | |
| 2 | + | |
| § 19 | | original text | sep | + | |
| § 20 | | original text | RCV | + | 359, 32, 64 |
| § 21 | | original text | sep | + | |
| § 22 | 4 | Verts/ALE | | - | |
| § | original text | sep | + | amended orally |
| vote: resolution (as a whole) | RCV | + | 291, 101, 51 |
| motion for a resolution B5-0399/rev/2003




  (PSE) |
| § 4 | 1 | PSE | | ↓ | |
| vote: resolution (as a whole) | | | | ↓ | |
| motions for resolutions by political groups |
| B5-0400/2003 | | ELDR | | ↓ | |
| B5-0401/rev/2003 | | PPE-DE | | ↓ | |
| B5-0402/2003 | | GUE/NGL | | ↓ | |
| B5-0404/2003 | | Verts/ALE | | ↓ | |
| B5-0405/2003 | | UEN | | ↓ | |

Subject

Amendment No

Author

RCV, etc.

Vote

RCV/EV — remarks

joint motion for a resolution RC5-0399/2003

(PPE-DE, PSE, ELDR, UEN.)

§ 1

1

Verts/ALE

RCV

-

90, 346, 14

after § 2

2

Verts/ALE

-

3

Verts/ALE

RCV

-

89, 340, 29

§ 3

original text

split

1

+

2

+

§ 4

original text

split

1

+

2

+

§ 9

6

PSE

RCV

-

167, 266, 29

§ 11

7

PSE

split

1

+

2

+

§

original text

↓

§ 12

original text

split

1

+

2

+

235, 204, 12

§ 13

original text

sep

+

§ 18

original text

split

1

+

2

+

§ 19

original text

sep

+

§ 20

original text

RCV

+

359, 32, 64

§ 21

original text

sep

+

§ 22

4

Verts/ALE

-

§

original text

sep

+

amended orally

vote: resolution (as a whole)

RCV

+

291, 101, 51

motion for a resolution B5-0399/rev/2003

(PSE)

§ 4

1

PSE

↓

vote: resolution (as a whole)

↓

motions for resolutions by political groups

B5-0400/2003

ELDR

↓

B5-0401/rev/2003

PPE-DE

↓

B5-0402/2003

GUE/NGL

↓

B5-0404/2003

Verts/ALE

↓

B5-0405/2003

UEN

↓

Amendment 5 had been cancelled.

Requests for roll-call votes

PPE-DE: § 20, final vote

PSE: am 6

Verts/ALE: ams 1, 3, 6

Requests for separate vote

PSE: §§ 21, 22

Verts/ALE: §§ 13, 18, 19, 22

Requests for split votes

PPE-DE, Verts/ALE

§ 12

1st part: up to ‘competition rules; and’

2nd part: remainder

PSE

§ 3

1st part: text as a whole except the words ‘industrial, agricultural and services’

2nd part: those words

§ 4

1st part: text as a whole except the words ‘and liberal’

2nd part: those words

§ 18

1st part: up to ‘Cancun’

2nd part: remainder

am 7

1st part: up to ‘cotton farmers’

2nd part: remainder

Other information

Renzo Imbeni had proposed an oral amendment to § 22 to read as follows: ‘Undertakes to organise, at the beginning of 2004, in cooperation with the Inter-parliamentary Union, a new parliamentary conference on the WTO with a view to discussing ... (remainder unchanged)’

The President established that there was no objection to the oral amendment.

6.   Access to EP, Council and Commission documents

Report: Michael CASHMAN (A5-0298/2003)

| Subject | Amendment No | Author | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- | --- | --- |
| § 4, after indent 5 | 2 | Verts/ALE | | - | |
| | 3 | Verts/ALE | | - | |
| § 16 | 1 | PSE | | + | |
| § | original text | sep | ↓ | |
| vote: resolution (as a whole) | | + | |

Subject

Amendment No

Author

RCV, etc.

Vote

RCV/EV — remarks

§ 4, after indent 5

2

Verts/ALE

-

3

Verts/ALE

-

§ 16

1

PSE

+

§

original text

sep

↓

vote: resolution (as a whole)

+

Requests for separate vote

Verts/ALE: § 16

7.   Progress report on EU participation in the plan of implementation of the world summit on sustainable development

Motion for a resolution: B5-0403/2003

| Subject | Amendment No | Author | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- | --- | --- |
| Motion for a resolution B5-0403/2003 |
| § 5 | | original text | split | | |
| 1 | + | |
| 2/EV | + | 210, 175, 9 |
| § 14 | | original text | split | | |
| 1 | + | |
| 2 | + | |
| § 17 | | original text | split | | |
| 1 | + | |
| 2 | + | |
| vote: resolution (as a whole) | | + | |

Subject

Amendment No

Author

RCV, etc.

Vote

RCV/EV — remarks

Motion for a resolution B5-0403/2003

§ 5

original text

split

1

+

2/EV

+

210, 175, 9

§ 14

original text

split

1

+

2

+

§ 17

original text

split

1

+

2

+

vote: resolution (as a whole)

+

Requests for split votes

PE-DE

§ 5

1st part: up to ‘the proposed activities;’

2nd part: remainder

§ 14

1st part: up to ‘international scene;’

2nd part: remainder

§ 17

1st part: up to ‘direct investment;’

2nd part: remainder

8.   Activities of the European Ombudsman in 2002

Report: Earl of STOCKTON (A5-0229/2003)

| Subject | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- |
| vote: resolution (as a whole) | | + | |

Subject

RCV, etc.

Vote

RCV/EV — remarks

vote: resolution (as a whole)

+

9.   Deliberations of the Committee on Petitions (2002-2003)

Report: Laura GONZÁLEZ ÁLVAREZ (A5-0239/2003)

| Subject | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- |
| vote: resolution (as a whole) | | + | |

Subject

RCV, etc.

Vote

RCV/EV — remarks

vote: resolution (as a whole)

+

10.   Lloyd's Petitions

Report: Roy PERRY (A5-0203/2003)

| Subject | Amendment No | Author | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- | --- | --- |
| § 3 | 1 | PPE-DE | | + | |
| § 4 | 2/rev | PPE-DE | RCV | + | 361, 0, 39 |
| vote: resolution (as a whole) | RCV | + | 358, 0, 35 |

Subject

Amendment No

Author

RCV, etc.

Vote

RCV/EV — remarks

§ 3

1

PPE-DE

+

§ 4

2/rev

PPE-DE

RCV

+

361, 0, 39

vote: resolution (as a whole)

RCV

+

358, 0, 35

Requests for roll-call votes

PPE-DE: am 2/rev + final vote

11.   Arms exports

Report: Karl VON WOGAU (A5-0244/2003)

| Subject | RCV, etc. | Vote | RCV/EV — remarks |
| --- | --- | --- | --- |
| single vote | EV | + | 44, 5, 4 |

Subject

RCV, etc.

Vote

RCV/EV — remarks

single vote

EV

+

44, 5, 4

---

ANNEX II

RESULT OF ROLL-CALL VOTES

Amendment 33, 7th part

For: 262

EDD: Andersen, Belder, Blokland, Bonde, van Dam, Farage, Kuntz, Sandbæk, Titford

ELDR: Andreasen, Boogerd-Quaak, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sandersten Holte, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Wallis, Watson

NI: Cappato, Della Vedova, Gobbo, Hager, Ilgenfritz, Kronberger, Pannella, Speroni, Turco

PPE-DE: Arvidsson, Atkins, Averoff, Banotti, Beazley, Berend, Böge, von Boetticher, Bowis, Bradbourn, Bushill-Matthews, Callanan, Chichester, Cornillet, Corrie, Cushnahan, De Sarnez, Descamps, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Folias, Foster, Friedrich, Gahler, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Hannan, Helmer, Hieronymi, Inglewood, Jarzembowski, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Langen, Laschet, Lechner, Lehne, Lulling, Maat, McCartin, Martens, Matikainen-Kallström, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Menrad, Mombaur, Nassauer, Niebler, Oomen-Ruijten, Pacheco Pereira, Pack, Parish, Perry, Pex, Pirker, Poettering, Posselt, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Sacrédeus, Santer, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Sommer, Stauner, Stenmarck, Stevenson, Stockton, Sturdy, Suominen, Tannock, Thyssen, Trakatellis, Van Orden, Vatanen, van Velzen, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, Wuermeling, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, van den Berg, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Díez González, Färm, Glante, Goebbels, Görlach, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Leinen, Lund, McAvan, Malliori, Martin David W., Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Moraes, Müller Rosemarie, Murphy, Paasilinna, Pérez Royo, Piecyk, Poos, Prets, Rapkay, Read, Rodríguez Ramos, Rothley, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Valenciano Martínez-Orozco, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn

UEN: Camre, Caullery, Collins, Fitzsimons, Hyland, Ó Neachtain, Pasqua, Thomas-Mauro, Turchi

Against: 146

EDD: Bernié, Butel, Esclopé, Mathieu, Raymond, Saint-Josse

ELDR: André-Léonard, Nordmann

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Boudjenah, Brie, Caudron, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Korakas, Koulourianos, Krarup, Krivine, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta

NI: Berthu, Claeys, Dillen, Garaud, Gollnisch, Lang, de La Perriere

PPE-DE: Almeida Garrett, Andria, Avilés Perea, Ayuso González, Bastos, Bayona de Perogordo, Bodrato, Bourlanges, Camisón Asensio, Cocilovo, Coelho, Costa Raffaele, Cunha, De Mita, Deprez, De Veyrac, Ferrer, Fiori, Fourtou, García-Orcoyen Tormo, Gemelli, Grosch, Grossetête, Hansenne, Hatzidakis, Hermange, Herranz García, Lamassoure, Lisi, Lombardo, Mauro, Mennitti, Morillon, Musotto, Naranjo Escobar, Ojeda Sanz, Oreja Arburúa, Pastorelli, Pérez Álvarez, Pomés Ruiz, Pronk, Salafranca Sánchez-Neyra, Santini, Sartori, Smet, Sudre, Tajani, Valdivielso de Cué, Varela Suanzes-Carpegna, Vidal-Quadras Roca, Zabell

PSE: Berenguer Fuster, Berger, Bösch, Bullmann, Dehousse, Ettl, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Lalumière, Lavarra, Martin Hans-Peter, Napoletano, Napolitano, Paciotti, Patrie, Randzio-Plath, Rothe, Sacconi, Torres Marques, Trentin, Vairinhos, Van Lancker, Vattimo, Volcic, Zrihen

Verts/ALE: Auroi, Bouwman, Breyer, Buitenweg, Dhaene, Flautre, Jonckheer, Lagendijk, Lannoye, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Wuori

Abstention: 4

GUE/NGL: Bordes, Cauquil

NI: Dupuis, Gorostiaga Atxalandabaso

Amendment 53, 2nd part

For: 305

EDD: Andersen, Belder, Blokland, Bonde, van Dam, Farage, Sandbæk, Titford

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Schmidt, Sterckx, Sørensen, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

NI: Cappato, Della Vedova, Dupuis, Hager, Ilgenfritz, Kronberger, Pannella, Turco

PPE-DE: Arvidsson, Averoff, Avilés Perea, Banotti, Bartolozzi, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cornillet, Corrie, Cunha, Cushnahan, Deprez, De Sarnez, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Foster, Friedrich, Gahler, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Grönfeldt Bergman, Grosch, Hannan, Hansenne, Hatzidakis, Helmer, Herranz García, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lulling, Maat, McCartin, Mann Thomas, Marques, Martens, Matikainen-Kallström, Mayer Hans-Peter, Mayer Xaver, Menrad, Mombaur, Moreira Da Silva, Müller Emilia Franziska, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pérez Álvarez, Perry, Pex, Pirker, Piscarreta, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Smet, Sommer, Stauner, Stenmarck, Stevenson, Stockton, Sturdy, Suominen, Tannock, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, Wuermeling, Zabell, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Berenguer Fuster, van den Berg, Berger, Bösch, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Díez González, Ettl, Färm, Ferreira, Gebhardt, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kuhne, Lage, Leinen, Lund, McAvan, McCarthy, Malliori, Mann Erika, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Moraes, Müller Rosemarie, Murphy, Napolitano, Paasilinna, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Valenciano Martínez-Orozco, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba

UEN: Camre, Collins, Fitzsimons, Hyland, Ó Neachtain

Against: 124

EDD: Bernié, Butel, Esclopé, Kuntz, Mathieu, Raymond, Saint-Josse

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Boudjenah, Brie, Caudron, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Korakas, Koulourianos, Krarup, Krivine, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta

NI: Berthu, Claeys, Dillen, Garaud, Gobbo, Gollnisch, Lang, de La Perriere, Speroni, Stirbois, Varaut

PPE-DE: Almeida Garrett, Andria, Ayuso González, Cocilovo, Coelho, Costa Raffaele, De Mita, Descamps, De Veyrac, Fiori, Fourtou, García-Orcoyen Tormo, Graça Moura, Grossetête, Hermange, Lamassoure, Lisi, Lombardo, Mauro, Mennitti, Morillon, Musotto, Pastorelli, Santini, Sartori, Sudre, Tajani

PSE: Dehousse, Fava, Fruteau, Garot, Ghilardotti, Imbeni, Lalumière, Lavarra, Napoletano, Paciotti, Patrie, Sacconi, Torres Marques, Trentin, Vairinhos, Van Lancker, Vattimo, Volcic, Zrihen

UEN: Caullery, Pasqua, Segni, Thomas-Mauro, Turchi

Verts/ALE: Auroi, Bouwman, Breyer, Buitenweg, Cohn-Bendit, Dhaene, Flautre, Frassoni, Jonckheer, Lagendijk, Lannoye, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Abstention: 3

GUE/NGL: Bordes, Cauquil

NI: Gorostiaga Atxalandabaso

Amendment 86, 2nd part

For: 270

EDD: Andersen, Belder, Blokland, Bonde, van Dam, Farage, Sandbæk, Titford

ELDR: Andreasen, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

NI: Cappato, Della Vedova, Dupuis, Hager, Ilgenfritz, Kronberger, Pannella, Turco

PPE-DE: Arvidsson, Atkins, Averoff, Banotti, Bartolozzi, Beazley, Berend, Böge, von Boetticher, Bowis, Bradbourn, Bushill-Matthews, Callanan, Cederschiöld, Chichester, Corrie, Doorn, Dover, Ebner, Elles, Evans Jonathan, Ferber, Folias, Foster, Friedrich, Gahler, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Grönfeldt Bergman, Hannan, Heaton-Harris, Helmer, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Menrad, Mombaur, Moreira Da Silva, Müller Emilia Franziska, Nassauer, Nicholson, Oomen-Ruijten, Oostlander, Pacheco Pereira, Pack, Parish, Perry, Pex, Pirker, Piscarreta, Poettering, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Sacrédeus, Santer, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Sommer, Stauner, Stenmarck, Stevenson, Stockton, Sturdy, Suominen, Tannock, Thyssen, Trakatellis, Van Orden, Vatanen, van Velzen, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, Wuermeling, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Bowe, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Colom i Naval, Corbett, Corbey, Díez González, Färm, Gill, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kuhne, Lage, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Martin David W., Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Moraes, Müller Rosemarie, Murphy, Napolitano, Obiols i Germà, Paasilinna, Pérez Royo, Poos, Prets, Read, Rodríguez Ramos, Rothley, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Valenciano Martínez-Orozco, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba

UEN: Collins, Fitzsimons, Hyland, Ó Neachtain, Segni

Against: 178

EDD: Bernié, Butel, Esclopé, Kuntz, Mathieu, Raymond, Saint-Josse

ELDR: André-Léonard, Nordmann

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Boudjenah, Brie, Caudron, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Berthu, Garaud, Gollnisch, Lang, de La Perriere, Martinez, Stirbois, Varaut

PPE-DE: Almeida Garrett, Andria, Avilés Perea, Ayuso González, Bastos, Bayona de Perogordo, Bodrato, Bourlanges, Camisón Asensio, Cocilovo, Coelho, Cornillet, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Fatuzzo, Fernández Martín, Ferrer, Fiori, Fourtou, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Graça Moura, Grosch, Grossetête, Hansenne, Hatzidakis, Hermange, Herranz García, Lamassoure, Lisi, Lombardo, Mauro, Mennitti, Montfort, Morillon, Musotto, Naranjo Escobar, Niebler, Ojeda Sanz, Oreja Arburúa, Pastorelli, Pérez Álvarez, Pomés Ruiz, Salafranca Sánchez-Neyra, Santini, Sartori, Smet, Sudre, Tajani, Valdivielso de Cué, Varela Suanzes-Carpegna, Vidal-Quadras Roca, Zabell

PSE: Berger, Bösch, Bullmann, Ceyhun, Dehousse, Ettl, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Glante, Imbeni, Kreissl-Dörfler, Lalumière, Lavarra, Martin Hans-Peter, Napoletano, Paciotti, Patrie, Piecyk, Randzio-Plath, Rapkay, Rothe, Sacconi, Savary, Scheele, Torres Marques, Trentin, Vairinhos, Van Lancker, Vattimo, Volcic, Zrihen

UEN: Berlato, Camre, Caullery, Nobilia, Pasqua, Thomas-Mauro, Turchi

Verts/ALE: Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Jonckheer, Lagendijk, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Abstention: 7

GUE/NGL: Bordes, Cauquil

NI: Claeys, Dillen, Gobbo, Gorostiaga Atxalandabaso, Speroni

Resolution

For: 296

EDD: Belder, Blokland, van Dam

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

GUE/NGL: Dary, Scarbonchi

NI: Cappato, Dell'Alba, Della Vedova, Dupuis, Hager, Ilgenfritz, Kronberger, Pannella, Turco

PPE-DE: Arvidsson, Atkins, Averoff, Banotti, Beazley, Berend, Bodrato, Böge, von Boetticher, Bowis, Bradbourn, Bushill-Matthews, Callanan, Cederschiöld, Chichester, Corrie, Cushnahan, De Mita, Deprez, Doorn, Dover, Elles, Evans Jonathan, Ferber, Ferrer, Folias, Foster, Friedrich, Gahler, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Grönfeldt Bergman, Grosch, Hannan, Hansenne, Heaton-Harris, Helmer, Herranz García, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Menrad, Mombaur, Montfort, Moreira Da Silva, Müller Emilia Franziska, Nassauer, Nicholson, Niebler, Oomen-Ruijten, Oostlander, Pack, Parish, Perry, Pex, Pirker, Piscarreta, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Sacrédeus, Santer, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stenmarck, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Vatanen, van Velzen, Villiers, Wachtmeister, Wieland, Wijkman, Zabell, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Colom i Naval, Corbett, Corbey, Díez González, Ettl, Färm, Gebhardt, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Moraes, Müller Rosemarie, Murphy, Obiols i Germà, Paasilinna, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Rothley, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Valenciano Martínez-Orozco, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba

UEN: Camre, Collins, Fitzsimons, Hyland, Ó Neachtain, Ribeiro e Castro, Segni

Against: 74

EDD: Andersen, Bernié, Bonde, Butel, Esclopé, Farage, Mathieu, Raymond, Saint-Josse, Sandbæk, Titford

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Gorostiaga Atxalandabaso, de La Perriere, Varaut

PPE-DE: Fiori

Verts/ALE: Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Abstention: 96

EDD: Kuntz

ELDR: Flesch, Nordmann

GUE/NGL: Koulourianos, Krarup

NI: Berthu, Borghezio, Claeys, Dillen, Garaud, Gobbo, Gollnisch, Lang, Martinez, Speroni, Stirbois

PPE-DE: Almeida Garrett, Andria, Avilés Perea, Ayuso González, Bartolozzi, Bastos, Bayona de Perogordo, Bourlanges, Camisón Asensio, Cocilovo, Coelho, Cornillet, Costa Raffaele, Cunha, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Ebner, Fatuzzo, Fernández Martín, Fourtou, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Graça Moura, Grossetête, Gutiérrez-Cortines, Hatzidakis, Hermange, Kratsa-Tsagaropoulou, Lamassoure, Lisi, Lombardo, Mauro, Mennitti, Morillon, Musotto, Naranjo Escobar, Ojeda Sanz, Oreja Arburúa, Pastorelli, Pérez Álvarez, Podestà, Salafranca Sánchez-Neyra, Santini, Sartori, Tajani, Varela Suanzes-Carpegna, Vidal-Quadras Roca, Wenzel-Perillo

PSE: Dehousse, Fava, Ferreira, Fruteau, Garot, Ghilardotti, Imbeni, Lalumière, Napoletano, Napolitano, Paciotti, Patrie, Sacconi, Savary, Torres Marques, Trentin, Vairinhos, Van Lancker, Vattimo, Volcic, Zrihen

UEN: Angelilli, Berlato, Caullery, Nobilia, Pasqua, Thomas-Mauro, Turchi

Verts/ALE: Ferrández Lezaun

Amendment 10

For: 259

EDD: Andersen, Belder, Bernié, Blokland, Bonde, Butel, van Dam, Esclopé, Farage, Mathieu, Raymond, Saint-Josse, Sandbæk, Titford

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Garaud, Gorostiaga Atxalandabaso, Ilgenfritz, Kronberger

PPE-DE: Bourlanges, Doorn, Maat, Oomen-Ruijten, Oostlander, Pex, Pronk, Sacrédeus, van Velzen, Wijkman, von Wogau

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Colom i Naval, Corbett, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Moraes, Müller Rosemarie, Murphy, Napoletano, Napolitano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Rothley, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba, Zrihen

UEN: Camre

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Against: 202

EDD: Kuntz

ELDR: Gasòliba i Böhm

NI: Berthu, Borghezio, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Dupuis, Gobbo, Gollnisch, Hager, Lang, de La Perriere, Martinez, Pannella, Speroni, Stirbois, Turco, Varaut

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Cocilovo, Coelho, Cornillet, Corrie, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Gutiérrez-Cortines, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Herranz García, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Purvis, Rack, Radwan, Rovsing, Rübig, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, Vidal-Quadras Roca, Wachtmeister, Wenzel-Perillo, Wieland, Wuermeling, Zabell, Zacharakis, Zappalà, Zimmerling, Zissener

UEN: Angelilli, Berlato, Caullery, Collins, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Segni, Thomas-Mauro, Turchi

Abstention: 2

ELDR: Plooij-van Gorsel

PSE: Bowe

Amendment 15, 2nd part

For: 376

EDD: Andersen, Belder, Blokland, Bonde, van Dam, Sandbæk

ELDR: Andreasen, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

NI: Borghezio, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Dupuis, Garaud, Gobbo, Gollnisch, Hager, Lang, de La Perriere, Martinez, Pannella, Speroni, Stirbois, Turco, Varaut

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cocilovo, Coelho, Cornillet, Corrie, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Gutiérrez-Cortines, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Herranz García, Hieronymi, Inglewood, Jarzembowski, Jeggle, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Radwan, Rovsing, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Stenmarck, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, von Wogau, Wuermeling, Zabell, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Moraes, Müller Rosemarie, Murphy, Napoletano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Rothley, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba, Zrihen

UEN: Angelilli, Berlato, Caullery, Collins, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Ribeiro e Castro, Turchi

Verts/ALE: Bouwman

Against: 85

EDD: Bernié, Esclopé, Farage, Kuntz, Mathieu, Raymond, Saint-Josse, Titford

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Berthu, Gorostiaga Atxalandabaso, Ilgenfritz, Kronberger

PPE-DE: Karas, Pirker, Rack, Rübig, Stenzel

PSE: Mendiluce Pereiro

UEN: Camre, Pasqua, Segni, Thomas-Mauro

Verts/ALE: Aaltonen, Auroi, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Amendment 15, 3rd part

For: 245

EDD: Farage, Titford

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

NI: Borghezio, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Dupuis, Gobbo, Gollnisch, Hager, Lang, Martinez, Pannella, Speroni, Stirbois, Turco

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cocilovo, Coelho, Cornillet, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Gutiérrez-Cortines, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Herranz García, Hieronymi, Inglewood, Jarzembowski, Jeggle, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, McCartin, Mann Thomas, Marinos, Marques, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Purvis, Quisthoudt-Rowohl, Radwan, Rovsing, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, von Wogau, Wuermeling, Zabell, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Barón Crespo, Hänsch, Honeyball, Mendiluce Pereiro

UEN: Angelilli, Berlato, Caullery, Collins, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Ribeiro e Castro, Segni, Turchi

Against: 216

EDD: Andersen, Belder, Bernié, Blokland, Bonde, Butel, van Dam, Esclopé, Kuntz, Mathieu, Raymond, Saint-Josse, Sandbæk

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schröder Ilka, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Berthu, Garaud, Gorostiaga Atxalandabaso, Ilgenfritz, Kronberger

PPE-DE: Doorn, Karas, Maat, Oomen-Ruijten, Oostlander, Pex, Pirker, Pronk, Rack, Rübig, Stenzel, van Velzen

PSE: Aparicio Sánchez, Baltas, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, Bullmann, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Glante, Goebbels, Görlach, Haug, Hedkvist Petersen, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Moraes, Müller Rosemarie, Murphy, Napoletano, Napolitano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Rothley, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba, Zrihen

UEN: Camre, Pasqua

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Abstention: 2

PSE: Dehousse

UEN: Thomas-Mauro

Amendment 80

For: 187

EDD: Andersen, Belder, Bernié, Blokland, Bonde, Butel, van Dam, Esclopé, Mathieu, Raymond, Saint-Josse, Sandbæk

GUE/NGL: Ainardi, Bakopoulos, Boudjenah, Brie, Caudron, Cossutta, Fiebiger, Fraisse, Herzog, Kaufmann, Koulourianos, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Puerta, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Wurtz

NI: Gorostiaga Atxalandabaso, Ilgenfritz, Kronberger

PPE-DE: Smet, van Velzen

PSE: Aparicio Sánchez, Baltas, Berenguer Fuster, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Dehousse, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Glante, Goebbels, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Müller Rosemarie, Murphy, Napoletano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Rothley, Sacconi, Sandberg-Fries, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Watts, Weiler, Whitehead, Wynn, Zorba, Zrihen

UEN: Camre

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Against: 269

EDD: Kuntz

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

GUE/NGL: Alyssandrakis, Blak, Dary, Figueiredo, Jové Peres, Korakas, Krarup, Patakis, Scarbonchi, Uca

NI: Berthu, Borghezio, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Dupuis, Garaud, Gobbo, Gollnisch, Hager, Lang, de La Perriere, Martinez, Pannella, Speroni, Stirbois, Turco, Varaut

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cocilovo, Coelho, Cornillet, Corrie, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Herranz García, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Pirker, Piscarreta, Podestà, Poettering, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, Vidal-Quadras Roca, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, von Wogau, Wuermeling, Zabell, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Barón Crespo, van den Berg, Díez González, Swoboda, Wiersma

UEN: Angelilli, Berlato, Caullery, Collins, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Segni, Thomas-Mauro, Turchi

Abstention: 6

EDD: Farage, Titford

GUE/NGL: Bordes, Cauquil, Krivine, Vachetta

Amendment 54

For: 247

EDD: Andersen, Belder, Bernié, Blokland, Bonde, Butel, van Dam, Esclopé, Farage, Mathieu, Raymond, Saint-Josse, Sandbæk, Titford

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sbarbati, Schmidt, Sterckx, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Gorostiaga Atxalandabaso, Ilgenfritz, Kronberger, Pannella

PPE-DE: Wijkman

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Müller Rosemarie, Murphy, Napoletano, Napolitano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Rothley, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba, Zrihen

UEN: Camre

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Against: 212

EDD: Kuntz

ELDR: Sørensen

GUE/NGL: Dary

NI: Berthu, Borghezio, Claeys, Dillen, Garaud, Gobbo, Gollnisch, Hager, Lang, de La Perriere, Martinez, Speroni, Stirbois, Varaut

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cocilovo, Coelho, Cornillet, Corrie, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Herranz García, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Pirker, Piscarreta, Podestà, Poettering, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, von Wogau, Wuermeling, Zabell, Zacharakis, Zappalà, Zimmerling, Zissener

UEN: Angelilli, Berlato, Caullery, Collins, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Segni, Thomas-Mauro, Turchi

Abstention: 7

ELDR: Manders, Plooij-van Gorsel, Sanders-ten Holte

NI: Cappato, Dell'Alba, Della Vedova, Dupuis

Amendment 64

For: 199

EDD: Andersen, Belder, Blokland, Bonde, van Dam, Sandbæk

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Gorostiaga Atxalandabaso, Ilgenfritz, Kronberger

PPE-DE: Sacrédeus, Wijkman

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Colom i Naval, Corbett, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Marinho, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Müller Rosemarie, Murphy, Napoletano, Napolitano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Rothley, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba, Zrihen

UEN: Camre

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Against: 259

EDD: Farage, Kuntz, Titford

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

NI: Berthu, Borghezio, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Dupuis, Gobbo, Gollnisch, Hager, Lang, de La Perriere, Martinez, Pannella, Speroni, Stirbois, Turco, Varaut

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cocilovo, Coelho, Cornillet, Corrie, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Herranz García, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, von Wogau, Wuermeling, Zabell, Zacharakis, Zappalà, Zimmerling, Zissener

UEN: Angelilli, Berlato, Caullery, Collins, Crowley, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Segni, Thomas-Mauro, Turchi

Verts/ALE: Cohn-Bendit

Abstention: 7

EDD: Bernié, Butel, Esclopé, Mathieu, Raymond, Saint-Josse

NI: Garaud

Amendment 66

For: 202

EDD: Andersen, Belder, Blokland, Bonde, van Dam, Sandbæk

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Gorostiaga Atxalandabaso, Ilgenfritz, Kronberger

PPE-DE: Sacrédeus

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Müller Rosemarie, Murphy, Napoletano, Napolitano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Rothley, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba, Zrihen

UEN: Camre

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Against: 258

EDD: Farage, Kuntz, Titford

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

NI: Berthu, Borghezio, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Dupuis, Gobbo, Gollnisch, Hager, Lang, de La Perriere, Martinez, Pannella, Speroni, Stirbois, Turco

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Cocilovo, Coelho, Cornillet, Corrie, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Herranz García, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, von Wogau, Wuermeling, Zabell, Zacharakis, Zappalà, Zimmerling, Zissener

UEN: Angelilli, Berlato, Caullery, Collins, Crowley, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Segni, Thomas-Mauro, Turchi

Abstention: 7

EDD: Bernié, Butel, Esclopé, Mathieu, Raymond, Saint-Josse

NI: Garaud

Amendment 49

For: 174

EDD: Andersen, Belder, Blokland, Bonde, van Dam, Sandbæk

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Gorostiaga Atxalandabaso

PPE-DE: Korhola

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Corbett, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Müller Rosemarie, Murphy, Napoletano, Napolitano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba, Zrihen

UEN: Camre

Verts/ALE: Bouwman, Sörensen

Against: 281

EDD: Farage, Kuntz, Titford

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Manders, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

GUE/NGL: Dary

NI: Berthu, Borghezio, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Dupuis, Gobbo, Gollnisch, Hager, Ilgenfritz, Kronberger, Lang, de La Perriere, Martinez, Pannella, Speroni, Stirbois, Turco, Varaut

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cocilovo, Coelho, Cornillet, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, von Wogau, Wuermeling, Zacharakis, Zappalà, Zimmerling, Zissener

UEN: Angelilli, Berlato, Caullery, Collins, Crowley, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Segni, Thomas-Mauro, Turchi

Verts/ALE: Aaltonen, Auroi, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Staes, Voggenhuber, Wuori

Abstention: 8

EDD: Bernié, Butel, Esclopé, Mathieu, Raymond, Saint-Josse

ELDR: Lynne

NI: Garaud

Resolution

For: 371

EDD: Butel, Esclopé, Saint-Josse

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Brie, Caudron, Cossutta, Dary, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Koulourianos, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Schröder Ilka, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Borghezio, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Dupuis, Gobbo, Gollnisch, Gorostiaga Atxalandabaso, Ilgenfritz, Kronberger, Lang, Martinez, Pannella, Speroni, Stirbois, Turco

PPE-DE: Almeida Garrett, Andria, Arvidsson, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, Bourlanges, Callanan, Camisón Asensio, Cederschiöld, Cocilovo, Coelho, Cornillet, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Ebner, Fatuzzo, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hansenne, Hatzidakis, Helmer, Hermange, Hieronymi, Inglewood, Jeggle, Karas, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Maat, McCartin, Mann Thomas, Marinos, Marques, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Moreira Da Silva, Morillon, Musotto, Naranjo Escobar, Nassauer, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Pastorelli, Pérez Álvarez, Pex, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Pronk, Purvis, Quisthoudt-Rowohl, Rovsing, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Wachtmeister, Wenzel-Perillo, Wijkman, von Wogau, Wuermeling, Zacharakis, Zappalà

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Müller Rosemarie, Murphy, Napoletano, Napolitano, Obiols i Germà, Paasilinna, Patrie, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba

UEN: Angelilli, Berlato, Camre, Collins, Crowley, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Ribeiro e Castro, Segni, Turchi

Against: 24

EDD: Farage, Titford

NI: Garaud

PPE-DE: Atkins, Bowis, Bradbourn, Bushill-Matthews, Chichester, Dover, Elles, Evans Jonathan, Ferber, Friedrich, Goodwill, Hannan, Heaton-Harris, Nicholson, Parish, Perry, Schleicher, Sturdy, Villiers, Wieland

Verts/ALE: Cohn-Bendit

Abstention: 67

EDD: Andersen, Belder, Bernié, Blokland, Bonde, van Dam, Kuntz, Mathieu, Raymond, Sandbæk

GUE/NGL: Bordes, Boudjenah, Cauquil, Fiebiger, Figueiredo, Krarup

NI: Berthu, Hager, de La Perriere, Varaut

PPE-DE: von Boetticher, Jarzembowski, Keppelhoff-Wiechert, Langen, Lulling, Martens, Montfort, Müller Emilia Franziska, Posselt, Rack, Radwan, Rübig, Zimmerling, Zissener

PSE: Mendiluce Pereiro, Paciotti, Vattimo, Volcic, Zrihen

UEN: Caullery, Pasqua, Thomas-Mauro

Verts/ALE: Aaltonen, Auroi, Breyer, Buitenweg, Celli, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Amendment 1

For: 90

EDD: Andersen, Bonde, Kuntz, Sandbæk

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Boudjenah, Brie, Caudron, Cossutta, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Schmid Herman, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Berthu, Gorostiaga Atxalandabaso, de La Perriere, Varaut

PPE-DE: Korhola

PSE: Corbey, Dehousse, Ferreira, Fruteau, Garot, Ghilardotti, Imbeni, Lavarra, Mendiluce Pereiro, Miller, Napoletano, Napolitano, Paciotti, Patrie, Sacconi, Savary, Simpson, Van Lancker, Vattimo, Volcic, Zrihen

UEN: Camre, Fitzsimons, Hyland, Ó Neachtain

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Dhaene, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes

Against: 346

EDD: Belder, Bernié, Blokland, Butel, van Dam, Esclopé, Farage, Mathieu, Raymond, Saint-Josse, Titford

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

NI: Cappato, Dell'Alba, Della Vedova, Dupuis, Hager, Ilgenfritz, Kronberger, Pannella, Turco

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cocilovo, Coelho, Cornillet, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, von Wogau, Wuermeling, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Díez González, Ettl, Färm, Gebhardt, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Menéndez del Valle, Miguélez Ramos, Miranda de Lage, Müller Rosemarie, Murphy, Obiols i Germà, Paasilinna, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Scheele, Schmid Gerhard, Schulz, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba

UEN: Angelilli, Berlato, Caullery, Collins, Crowley, Nobilia, Ribeiro e Castro, Segni, Thomas-Mauro, Turchi

Abstention: 14

GUE/NGL: Bordes, Cauquil

NI: Borghezio, Claeys, Dillen, Garaud, Gobbo, Gollnisch, Lang, Martinez, Speroni, Stirbois

PPE-DE: Wijkman

PSE: Lalumière

Amendment 3

For: 89

EDD: Andersen, Belder, Bernié, Blokland, Bonde, Butel, van Dam, Esclopé, Kuntz, Saint-Josse, Sandbæk

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Puerta, Scarbonchi, Schmid Herman, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Berthu, Gorostiaga Atxalandabaso, de La Perriere, Varaut

PSE: Dehousse, Ferreira, Lund, Martin Hans-Peter, Mendiluce Pereiro, Miller, Patrie, Skinner, Van Lancker, Watts, Zrihen

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Against: 340

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

GUE/NGL: Herzog

NI: Cappato, Dell'Alba, Della Vedova, Dupuis, Hager, Ilgenfritz, Kronberger, Pannella, Turco

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cocilovo, Coelho, Cornillet, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schwaiger, Smet, Sommer, Stenmarck, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, von Wogau, Wuermeling, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Díez González, Ettl, Färm, Gebhardt, Gill, Glante, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Leinen, Linkohr, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martínez Martínez, Mastorakis, Medina Ortega, Menéndez del Valle, Miguélez Ramos, Miranda de Lage, Müller Rosemarie, Murphy, Obiols i Germà, Paasilinna, Pérez Royo, Piecyk, Poos, Prets, Randzio-Plath, Rapkay, Read, Rodríguez Ramos, Rothe, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Schmid Gerhard, Schulz, Simpson, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Walter, Weiler, Whitehead, Wiersma, Wynn, Zorba

UEN: Angelilli, Berlato, Caullery, Collins, Crowley, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Segni, Thomas-Mauro, Turchi

Abstention: 29

EDD: Farage, Mathieu, Raymond, Titford

NI: Borghezio, Claeys, Dillen, Garaud, Gobbo, Gollnisch, Lang, Martinez, Speroni, Stirbois

PPE-DE: Korhola

PSE: Fava, Fruteau, Garot, Ghilardotti, Imbeni, Lavarra, Napoletano, Napolitano, Paciotti, Sacconi, Savary, Scheele, Vattimo, Volcic

Amendment 6

For: 167

EDD: Andersen, Bernié, Bonde, Saint-Josse, Sandbæk

GUE/NGL: Ainardi, Bakopoulos, Blak, Boudjenah, Brie, Caudron, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Koulourianos, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Puerta, Scarbonchi, Schmid Herman, Seppänen, Sjöstedt, Sylla, Uca, Wurtz

NI: Gorostiaga Atxalandabaso

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cercas, Ceyhun, Colom i Naval, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, Malliori, Marinho, Martin David W., Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miranda de Lage, Müller Rosemarie, Napoletano, Napolitano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Poos, Prets, Rapkay, Rodríguez Ramos, Rothe, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Simpson, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stockmann, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Weiler, Wiersma, Wynn, Zorba, Zrihen

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Isler Béguin, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Against: 266

EDD: Belder, Blokland, van Dam, Farage, Kuntz, Titford

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

NI: Berthu, Borghezio, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Dupuis, Garaud, Gobbo, Gollnisch, Hager, Ilgenfritz, Kronberger, Lang, de La Perriere, Martinez, Pannella, Speroni, Stirbois, Turco, Varaut

PPE-DE: Almeida Garrett, Andria, Arvidsson, Atkins, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Beazley, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Cocilovo, Coelho, Cornillet, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Evans Jonathan, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hansenne, Hatzidakis, Heaton-Harris, Helmer, Hermange, Hieronymi, Inglewood, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, von Wogau, Wuermeling, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: van den Berg, van Hulten, Mann Erika

UEN: Angelilli, Berlato, Camre, Caullery, Collins, Crowley, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Segni, Thomas-Mauro, Turchi

Abstention: 29

EDD: Mathieu, Raymond

GUE/NGL: Alyssandrakis, Bordes, Cauquil, Korakas, Krarup, Krivine, Patakis, Vachetta

PPE-DE: Sacrédeus, Wijkman

PSE: Cashman, Corbett, Gill, Honeyball, Howitt, Kinnock, McAvan, McCarthy, Martin Hans-Peter, Miller, Murphy, Read, Skinner, Stihler, Watts, Whitehead

Verts/ALE: Jonckheer

Paragraph 20

For: 359

EDD: Andersen, Bernié, Bonde, Saint-Josse, Sandbæk

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

GUE/NGL: Herzog, Puerta

NI: Hager, Kronberger

PPE-DE: Almeida Garrett, Andria, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Brok, Camisón Asensio, Cocilovo, Coelho, Cornillet, Costa Raffaele, Cunha, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Doorn, Dover, Ebner, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Fourtou, Friedrich, Gahler, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Graça Moura, Grosch, Grossetête, Hannan, Hansenne, Hatzidakis, Hermange, Hieronymi, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Pastorelli, Pérez Álvarez, Pex, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Quisthoudt-Rowohl, Rack, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Valdivielso de Cué, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Wenzel-Perillo, Wieland, Wijkman, von Wogau, Wuermeling, Zacharakis, Zappalà, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Koukiadis, Kuhne, Lage, Lalumière, Lavarra, Leinen, Linkohr, Lund, McAvan, McCarthy, Malliori, Mann Erika, Marinho, Martin David W., Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Müller Rosemarie, Murphy, Napoletano, Napolitano, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Poos, Prets, Rapkay, Read, Rodríguez Ramos, Rothe, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schulz, Skinner, Soares, Sornosa Martínez, Souladakis, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Theorin, Thorning-Schmidt, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Watts, Weiler, Whitehead, Wiersma, Zorba, Zrihen

UEN: Collins, Crowley, Fitzsimons, Hyland, Ó Neachtain, Ribeiro e Castro, Segni

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Against: 32

EDD: Belder, Blokland, van Dam, Farage, Titford

NI: Claeys, Dillen, Gollnisch, Gorostiaga Atxalandabaso, Lang, de La Perriere, Martinez, Stirbois

PPE-DE: Beazley, Bowis, Bradbourn, Bushill-Matthews, Callanan, Chichester, Elles, Evans Jonathan, Foster, García-Orcoyen Tormo, Goodwill, Heaton-Harris, Helmer, Inglewood, Parish, Perry, Purvis, Villiers

PSE: Kreissl-Dörfler

Abstention: 64

EDD: Butel, Esclopé, Kuntz, Mathieu

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Scarbonchi, Schmid Herman, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Berthu, Borghezio, Cappato, Dell'Alba, Della Vedova, Dupuis, Garaud, Gobbo, Pannella, Speroni, Turco

PPE-DE: Arvidsson, Cederschiöld, Grönfeldt Bergman, Stenmarck, Wachtmeister

PSE: Martin Hans-Peter

UEN: Angelilli, Berlato, Camre, Caullery, Nobilia, Pasqua, Thomas-Mauro, Turchi

Resolution

For: 291

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Formentini, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Newton Dunn, Nicholson of Winterbourne, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Riis-Jørgensen, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Van Hecke, Vermeer, Virrankoski, Wallis, Watson

GUE/NGL: Herzog

NI: Hager

PPE-DE: Almeida Garrett, Andria, Arvidsson, Banotti, Bartolozzi, Bastos, Bayona de Perogordo, Berend, Bodrato, Böge, von Boetticher, Bourlanges, Brok, Camisón Asensio, Cederschiöld, Cocilovo, Cornillet, Costa Raffaele, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Doorn, Ebner, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Fourtou, Friedrich, Gahler, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hansenne, Hermange, Hieronymi, Jarzembowski, Jeggle, Karas, Keppelhoff-Wiechert, Klamt, Klaß, Knolle, Koch, Konrad, Korhola, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lulling, Maat, McCartin, Mann Thomas, Marques, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pack, Pastorelli, Pérez Álvarez, Pex, Pirker, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Quisthoudt-Rowohl, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santer, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schröder Jürgen, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stenzel, Stockton, Sturdy, Sudre, Suominen, Tajani, Theato, Thyssen, Valdivielso de Cué, Varela Suanzes-Carpegna, Vatanen, van Velzen, Wachtmeister, Wenzel-Perillo, Wieland, Wijkman, von Wogau, Wuermeling, Zappalà, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Berger, Bösch, Bowe, van den Burg, Carnero González, Carrilho, Casaca, Cashman, Cercas, Ceyhun, Colom i Naval, Corbett, Corbey, Díez González, Färm, Gebhardt, Gill, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, Honeyball, Howitt, van Hulten, Hume, Iivari, Junker, Karamanou, Katiforis, Keßler, Kindermann, Kinnock, Kuhne, Lage, Leinen, Linkohr, Lund, McAvan, McCarthy, Mann Erika, Marinho, Martin David W., Martínez Martínez, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miller, Miranda de Lage, Müller Rosemarie, Murphy, Napolitano, Obiols i Germà, Paasilinna, Pérez Royo, Piecyk, Poos, Prets, Rapkay, Read, Rodríguez Ramos, Rothe, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Scheele, Schmid Gerhard, Schulz, Soares, Sornosa Martínez, Sousa Pinto, Stihler, Stockmann, Swiebel, Swoboda, Theorin, Thorning-Schmidt, Titley, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Volcic, Walter, Watts, Weiler, Whitehead, Wiersma, Wynn, Zorba

UEN: Angelilli, Berlato, Collins, Crowley, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Ribeiro e Castro, Segni, Turchi

Against: 101

EDD: Andersen, Belder, Bernié, Blokland, Bonde, Butel, van Dam, Esclopé, Farage, Kuntz, Raymond, Saint-Josse, Sandbæk, Titford

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Cossutta, Dary, Fiebiger, Figueiredo, Fraisse, Jové Peres, Kaufmann, Korakas, Koulourianos, Krarup, Krivine, Manisco, Markov, Marset Campos, Meijer, Modrow, Papayannakis, Patakis, Scarbonchi, Schmid Herman, Seppänen, Sjöstedt, Sylla, Uca, Vachetta, Wurtz

NI: Cappato, Della Vedova, Dupuis, Gollnisch, Gorostiaga Atxalandabaso, Lang, de La Perriere, Martinez, Pannella, Stirbois, Turco

PPE-DE: Averoff, Dimitrakopoulos, Folias, Kratsa-Tsagaropoulou, Marinos, Pacheco Pereira, Trakatellis, Zacharakis

PSE: Dehousse, Kreissl-Dörfler, Martin Hans-Peter, Mastorakis, Napoletano, Van Lancker, Zrihen

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Flautre, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Piétrasanta, Rühle, Schörling, Schroedter, Sörensen, Staes, Voggenhuber, Wuori

Abstention: 51

EDD: Mathieu

NI: Berthu, Borghezio, Claeys, Dillen, Garaud, Gobbo, Speroni

PPE-DE: Avilés Perea, Ayuso González, Beazley, Bowis, Bradbourn, Bushill-Matthews, Callanan, Chichester, Coelho, Cunha, Dover, Elles, Evans Jonathan, Foster, García-Orcoyen Tormo, Garriga Polledo, Hannan, Heaton-Harris, Helmer, Inglewood, Naranjo Escobar, Parish, Perry, Purvis, Stevenson, Tannock, Van Orden, Vidal-Quadras Roca, Villiers

PSE: Fava, Fruteau, Garot, Ghilardotti, Imbeni, Lalumière, Lavarra, Paciotti, Sacconi, Savary

UEN: Camre, Caullery, Pasqua, Thomas-Mauro

Amendment 2/rev.

For: 361

EDD: Andersen, Belder, Blokland, Bonde, van Dam, Sandbæk

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Gasòliba i Böhm, Huhne, Lynne, Manders, Monsonís Domingo, Mulder, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Rutelli, Sanders-ten Holte, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Virrankoski, Wallis, Watson

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Koulourianos, Krarup, Krivine, Marset Campos, Meijer, Modrow, Patakis, Puerta, Scarbonchi, Schmid Herman, Seppänen, Sjöstedt, Sylla, Uca, Vachetta

NI: Borghezio, Hager

PPE-DE: Almeida Garrett, Andria, Arvidsson, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bayona de Perogordo, Beazley, Berend, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Brok, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Costa Raffaele, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hatzidakis, Helmer, Hieronymi, Jarzembowski, Jeggle, Karas, Klaß, Knolle, Koch, Konrad, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Montfort, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Piscarreta, Podestà, Poettering, Pomés Ruiz, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schwaiger, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Trakatellis, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, von Wogau, Wuermeling, Zacharakis, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Berenguer Fuster, van den Berg, Bösch, Bowe, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cercas, Ceyhun, Colom i Naval, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Glante, Goebbels, Görlach, Hänsch, Haug, Hedkvist Petersen, van Hulten, Hume, Iivari, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Leinen, Linkohr, Lund, Malliori, Mann Erika, Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miranda de Lage, Müller Rosemarie, Obiols i Germà, Paasilinna, Paciotti, Patrie, Pérez Royo, Piecyk, Prets, Rapkay, Rodríguez Ramos, Rothe, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Soares, Sornosa Martínez, Sousa Pinto, Swiebel, Swoboda, Theorin, Thorning-Schmidt, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Weiler, Wiersma, Zorba, Zrihen

UEN: Angelilli, Berlato, Camre, Collins, Crowley, Fitzsimons, Hyland, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Segni, Turchi

Verts/ALE: Aaltonen, Auroi, Breyer, Buitenweg, Celli, Cohn-Bendit, Dhaene, Ferrández Lezaun, Isler Béguin, Jonckheer, Lagendijk, Lannoye, Lipietz, Lucas, Maes, Onesta, Rühle, Schörling, Schroedter, Sörensen, Staes, Wuori

Abstention: 39

EDD: Esclopé, Kuntz, Raymond

ELDR: Jensen, Newton Dunn, Nicholson of Winterbourne

NI: Berthu, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Gollnisch, Gorostiaga Atxalandabaso, Lang, de La Perriere, Martinez, Stirbois

PPE-DE: Elles, Evans Jonathan

PSE: Barón Crespo, Cashman, Corbett, Gill, Honeyball, Howitt, Kinnock, McAvan, McCarthy, Martin David W., Miller, Murphy, Read, Souladakis, Stihler, Titley, Watts, Whitehead, Wynn

Resolution

For: 358

EDD: Andersen, Belder, Blokland, Bonde, van Dam, Sandbæk

ELDR: Andreasen, André-Léonard, Boogerd-Quaak, van den Bos, Busk, Davies, De Clercq, Duff, Dybkjær, Flesch, Gasòliba i Böhm, Huhne, Jensen, Lynne, Manders, Monsonís Domingo, Mulder, Nordmann, Olsson, Paulsen, Pesälä, Plooij-van Gorsel, Pohjamo, Ries, Rutelli, Sbarbati, Schmidt, Sterckx, Sørensen, Thors, Väyrynen, Virrankoski, Wallis, Watson

GUE/NGL: Ainardi, Alyssandrakis, Bakopoulos, Blak, Bordes, Boudjenah, Brie, Caudron, Cauquil, Dary, Fiebiger, Figueiredo, Fraisse, Herzog, Jové Peres, Kaufmann, Koulourianos, Krarup, Marset Campos, Meijer, Modrow, Patakis, Puerta, Scarbonchi, Schmid Herman, Seppänen, Sjöstedt, Sylla, Uca, Vachetta

NI: Borghezio, Garaud, Hager

PPE-DE: Almeida Garrett, Andria, Arvidsson, Averoff, Avilés Perea, Ayuso González, Banotti, Bartolozzi, Bayona de Perogordo, Beazley, Berend, Böge, von Boetticher, Bourlanges, Bowis, Bradbourn, Brok, Bushill-Matthews, Callanan, Camisón Asensio, Cederschiöld, Chichester, Costa Raffaele, Cushnahan, De Mita, Deprez, De Sarnez, Descamps, De Veyrac, Dimitrakopoulos, Doorn, Dover, Ebner, Elles, Fatuzzo, Ferber, Fernández Martín, Ferrer, Fiori, Folias, Foster, Fourtou, Friedrich, Gahler, García-Orcoyen Tormo, Garriga Polledo, Gemelli, Gil-Robles Gil-Delgado, Glase, Goepel, Gomolka, Goodwill, Graça Moura, Grönfeldt Bergman, Grosch, Grossetête, Hannan, Hatzidakis, Helmer, Hieronymi, Jarzembowski, Jeggle, Karas, Klaß, Knolle, Koch, Konrad, Korhola, Kratsa-Tsagaropoulou, Lamassoure, Langen, Langenhagen, Laschet, Lechner, Lehne, Liese, Lisi, Lombardo, Lulling, Maat, McCartin, Mann Thomas, Marinos, Martens, Matikainen-Kallström, Mauro, Mayer Hans-Peter, Mayer Xaver, Méndez de Vigo, Mennitti, Menrad, Mombaur, Moreira Da Silva, Morillon, Müller Emilia Franziska, Musotto, Naranjo Escobar, Nassauer, Nicholson, Niebler, Ojeda Sanz, Oomen-Ruijten, Oostlander, Oreja Arburúa, Pacheco Pereira, Pack, Parish, Pastorelli, Pérez Álvarez, Perry, Pex, Piscarreta, Podestà, Poettering, Posselt, Pronk, Purvis, Quisthoudt-Rowohl, Radwan, Rovsing, Rübig, Sacrédeus, Salafranca Sánchez-Neyra, Santini, Sartori, Schleicher, Schmitt, Schnellhardt, Schwaiger, Smet, Sommer, Stauner, Stenmarck, Stenzel, Stevenson, Stockton, Sturdy, Sudre, Suominen, Tajani, Tannock, Theato, Thyssen, Trakatellis, Van Orden, Varela Suanzes-Carpegna, Vatanen, van Velzen, Vidal-Quadras Roca, Villiers, Wachtmeister, Wenzel-Perillo, Wieland, von Wogau, Wuermeling, Zacharakis, Zimmerling, Zissener

PSE: Aparicio Sánchez, Baltas, Barón Crespo, Berenguer Fuster, van den Berg, Bösch, Bullmann, van den Burg, Carnero González, Carrilho, Casaca, Cercas, Ceyhun, Colom i Naval, Corbey, Dehousse, Díez González, Ettl, Färm, Fava, Ferreira, Fruteau, Garot, Gebhardt, Ghilardotti, Glante, Görlach, Hänsch, Haug, Hedkvist Petersen, van Hulten, Hume, Imbeni, Izquierdo Collado, Junker, Karamanou, Katiforis, Keßler, Kindermann, Koukiadis, Kreissl-Dörfler, Kuhne, Lage, Lalumière, Leinen, Linkohr, Malliori, Mann Erika, Martin David W., Martin Hans-Peter, Martínez Martínez, Mastorakis, Medina Ortega, Mendiluce Pereiro, Menéndez del Valle, Miguélez Ramos, Miranda de Lage, Müller Rosemarie, Paasilinna, Paciotti, Pérez Royo, Piecyk, Prets, Rapkay, Rodríguez Ramos, Rothe, Sacconi, Sandberg-Fries, dos Santos, Sauquillo Pérez del Arco, Savary, Scheele, Schmid Gerhard, Schulz, Sornosa Martínez, Souladakis, Swiebel, Swoboda, Terrón i Cusí, Theorin, Thorning-Schmidt, Torres Marques, Trentin, Vairinhos, Valenciano Martínez-Orozco, Van Lancker, Vattimo, Volcic, Walter, Weiler, Wiersma, Zorba, Zrihen

UEN: Angelilli, Berlato, Camre, Caullery, Collins, Crowley, Fitzsimons, Nobilia, Ó Neachtain, Pasqua, Ribeiro e Castro, Thomas-Mauro, Turchi

Verts/ALE: Aaltonen, Auroi, Bouwman, Breyer, Buitenweg, Cohn-Bendit, Dhaene, Ferrández Lezaun, Frassoni, Isler Béguin, Jonckheer, Lagendijk, Lucas, Maes, Onesta, Rühle, Schörling, Schroedter, Sörensen, Staes, Wuori

Abstention: 35

EDD: Esclopé, Kuntz, Raymond

ELDR: Newton Dunn, Nicholson of Winterbourne

NI: Berthu, Cappato, Claeys, Dell'Alba, Della Vedova, Dillen, Gollnisch, Gorostiaga Atxalandabaso, Lang, de La Perriere, Martinez, Stirbois

PPE-DE: Evans Jonathan

PSE: Bowe, Cashman, Corbett, Gill, Honeyball, Howitt, Kinnock, McAvan, McCarthy, Miller, Murphy, Read, Stihler, Titley, Watts, Whitehead, Wynn

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TEXTS ADOPTED

P5_TA(2003)0408

Re-use of public sector documents ***II

European Parliament legislative resolution on the Council common position for adopting a European Parliament and Council directive on the re-use of public sector documents (7946/1/2003 — C5—0251/2003 — 2002/0123(COD))

(Codecision procedure: second reading)

The European Parliament,

| — | having regard to the Council common position (7946/1/2003 — C5-0251/2003) (1), |
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—

having regard to the Council common position (7946/1/2003 — C5-0251/2003) (1),

| — | having regard to its position at first reading (2) on the Commission proposal to Parliament and the Council (COM(2002) 207) (3), |
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—

having regard to its position at first reading (2) on the Commission proposal to Parliament and the Council (COM(2002) 207) (3),

| — | having regard to the Commission's amended proposal (COM(2003) 119) (4), |
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—

having regard to the Commission's amended proposal (COM(2003) 119) (4),

| — | having regard to Article 251(2) of the EC Treaty, |
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—

having regard to Article 251(2) of the EC Treaty,

| — | having regard to Rule 80 of its Rules of Procedure, |
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—

having regard to Rule 80 of its Rules of Procedure,

| — | having regard to the recommendation for second reading of the Committee on Industry, External Trade, Research and Energy (A5-0284/2003), |
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—

having regard to the recommendation for second reading of the Committee on Industry, External Trade, Research and Energy (A5-0284/2003),

| 1. | Amends the common position as follows; |
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1.

Amends the common position as follows;

| 2. | Instructs its President to forward its position to the Council and Commission. |
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2.

Instructs its President to forward its position to the Council and Commission.

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(1)  OJ C 159 E, 8.7.2003, p. 1.

(2)  P5_TA(2003)0049.

(3)  OJ C 227 E, 24.9.2002, p. 382.

(4)  Not yet published in OJ.

P5_TC2-COD(2002)0123

Position of the European Parliament adopted at second reading on 25 September 2003 with a view to the adoption of Directive 2003/.../EC of the European Parliament and of the Council on the re-use of public sector information

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 95 thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the European Economic and Social Committee (2),

Having regard to the opinion of the Committee of the Regions (3),

Acting in accordance with the procedure set out in Article 251 of the Treaty (4),

Whereas:

| (1) | The Treaty provides for the establishment of an internal market and of a system ensuring that competition in the internal market is not distorted. Harmonisation of the rules and practices in the Member States relating to the exploitation of public sector information contributes to the achievement of these objectives. |
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(1)

The Treaty provides for the establishment of an internal market and of a system ensuring that competition in the internal market is not distorted. Harmonisation of the rules and practices in the Member States relating to the exploitation of public sector information contributes to the achievement of these objectives.

| (2) | The evolution towards an information and knowledge society influences the life of every citizen in the Community, inter alia, by enabling them to gain new ways of accessing and acquiring knowledge. |
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(2)

The evolution towards an information and knowledge society influences the life of every citizen in the Community, inter alia, by enabling them to gain new ways of accessing and acquiring knowledge.

| (3) | Digital content plays an important role in this evolution. Content production has given rise to rapid job creation in recent years and continues to do so. Most of these jobs are created in small emerging companies. |
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(3)

Digital content plays an important role in this evolution. Content production has given rise to rapid job creation in recent years and continues to do so. Most of these jobs are created in small emerging companies.

| (4) | The public sector collects, produces, reproduces and disseminates a wide range of information in many areas of activity, such as social, economic, geographical, weather, tourist, business, patent and educational information. |
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(4)

The public sector collects, produces, reproduces and disseminates a wide range of information in many areas of activity, such as social, economic, geographical, weather, tourist, business, patent and educational information.

| (5) | One of the principal aims of the establishment of an internal market is the creation of conditions conducive to the development of Community-wide services. Public sector information is an important primary material for digital content products and services and will become an even more important content resource with the development of wireless content services. Broad cross-border geographical coverage will also be essential in this context. Wider possibilities of re-using public sector information should inter alia allow European companies to exploit its potential and contribute to economic growth and job creation. |
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(5)

One of the principal aims of the establishment of an internal market is the creation of conditions conducive to the development of Community-wide services. Public sector information is an important primary material for digital content products and services and will become an even more important content resource with the development of wireless content services. Broad cross-border geographical coverage will also be essential in this context. Wider possibilities of re-using public sector information should inter alia allow European companies to exploit its potential and contribute to economic growth and job creation.

| (6) | There are considerable differences in the rules and practices in the Member States relating to the exploitation of public sector information resources, which constitute barriers to bringing out the full economic potential of this key document resource. Traditional practice in public sector bodies in exploiting public sector information has, however, developed in very disparate ways. That should be taken into account. Minimum harmonisation of national rules and practices on the re-use of public sector documents should therefore be undertaken, in cases where the differences in national regulations and practices or the absence of clarity hinder the smooth functioning of the internal market and the proper development of the information society in the Community. |
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(6)

There are considerable differences in the rules and practices in the Member States relating to the exploitation of public sector information resources, which constitute barriers to bringing out the full economic potential of this key document resource. Traditional practice in public sector bodies in exploiting public sector information has, however, developed in very disparate ways. That should be taken into account. Minimum harmonisation of national rules and practices on the re-use of public sector documents should therefore be undertaken, in cases where the differences in national regulations and practices or the absence of clarity hinder the smooth functioning of the internal market and the proper development of the information society in the Community.

| (7) | Moreover, without minimum harmonisation at Community level, legislative activities at national level, which have already been initiated in a number of Member States in order to respond to the technological challenges, might result in even more significant differences. The impact of such legislative differences and uncertainties will become more significant with the further development of the information society, which has already greatly increased cross-border exploitation of information. |
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(7)

Moreover, without minimum harmonisation at Community level, legislative activities at national level, which have already been initiated in a number of Member States in order to respond to the technological challenges, might result in even more significant differences. The impact of such legislative differences and uncertainties will become more significant with the further development of the information society, which has already greatly increased cross-border exploitation of information.

| (8) | A general framework for the conditions governing re-use of public sector documents is needed in order to ensure fair, proportionate and non-discriminatory conditions for the re-use of such information. Public sector bodies collect, produce, reproduce and disseminate documents to fulfil their public tasks. Use of such documents for other reasons constitutes a re-use. Member States' policies can go beyond the minimum standards established in this Directive, thus allowing for more extensive re-use. |
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(8)

A general framework for the conditions governing re-use of public sector documents is needed in order to ensure fair, proportionate and non-discriminatory conditions for the re-use of such information. Public sector bodies collect, produce, reproduce and disseminate documents to fulfil their public tasks. Use of such documents for other reasons constitutes a re-use. Member States' policies can go beyond the minimum standards established in this Directive, thus allowing for more extensive re-use.

| (9) | This Directive does not contain an obligation to allow re-use of documents. The decision whether or not to authorise re-use will remain with the Member States or the public sector body concerned. This Directive should apply to documents that are made accessible for re-use when public sector bodies license, sell, disseminate, exchange or give out information. To avoid cross-subsidies, re-use should include further use of documents within the organisation itself for activities falling outside the scope of its public tasks. Activities falling outside the public task will typically include supply of documents that are produced and charged for exclusively on a commercial basis and in competition with others in the market. The definition of ‘document’ is not intended to cover computer programs. The Directive builds on the existing access regimes in the Member States and does not change the national rules for access to documents. It does not apply in cases in which citizens or companies can, under the relevant access regime, only obtain a document if they can prove a particular interest. At Community level, Articles 41 (right to good administration) and 42 of the Charter of Fundamental Rights of the European Union recognise the right of any citizen of the Union and any natural or legal person residing or having its registered office in a Member State to have access to European Parliament, Council and Commission documents. Public sector bodies should be encouraged to make available for re-use any documents held by them. Public sector bodies should promote and encourage reuse of documents, including official texts of a legislative and administrative nature in those cases where the public sector body has the right to authorise their re-use. |
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(9)

This Directive does not contain an obligation to allow re-use of documents. The decision whether or not to authorise re-use will remain with the Member States or the public sector body concerned. This Directive should apply to documents that are made accessible for re-use when public sector bodies license, sell, disseminate, exchange or give out information. To avoid cross-subsidies, re-use should include further use of documents within the organisation itself for activities falling outside the scope of its public tasks. Activities falling outside the public task will typically include supply of documents that are produced and charged for exclusively on a commercial basis and in competition with others in the market. The definition of ‘document’ is not intended to cover computer programs. The Directive builds on the existing access regimes in the Member States and does not change the national rules for access to documents. It does not apply in cases in which citizens or companies can, under the relevant access regime, only obtain a document if they can prove a particular interest. At Community level, Articles 41 (right to good administration) and 42 of the Charter of Fundamental Rights of the European Union recognise the right of any citizen of the Union and any natural or legal person residing or having its registered office in a Member State to have access to European Parliament, Council and Commission documents. Public sector bodies should be encouraged to make available for re-use any documents held by them. Public sector bodies should promote and encourage reuse of documents, including official texts of a legislative and administrative nature in those cases where the public sector body has the right to authorise their re-use.

| (10) | The definitions of ‘public sector body’ and ‘body governed by public law’ are taken from the public procurement directives (92/50/EEC (5), 93/36/EEC (6) and 93/37/EEC (7), and 98/4/EC (8)). Public undertakings are not covered by these definitions. |
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(10)

The definitions of ‘public sector body’ and ‘body governed by public law’ are taken from the public procurement directives (92/50/EEC (5), 93/36/EEC (6) and 93/37/EEC (7), and 98/4/EC (8)). Public undertakings are not covered by these definitions.

| (11) | This Directive lays down a generic definition of the term ‘document’, in line with developments in the information society. It covers any representation of acts, facts or information — and any compilation of such acts, facts or information — whatever its medium (written on paper, or stored in electronic form or as a sound, visual or audiovisual recording), held by public sector bodies. A document held by a public sector body is a document where the public sector body has the right to authorise re-use. |
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(11)

This Directive lays down a generic definition of the term ‘document’, in line with developments in the information society. It covers any representation of acts, facts or information — and any compilation of such acts, facts or information — whatever its medium (written on paper, or stored in electronic form or as a sound, visual or audiovisual recording), held by public sector bodies. A document held by a public sector body is a document where the public sector body has the right to authorise re-use.

| (12) | The time limit for replying to requests for re-use should be reasonable and in line with the equivalent time for requests to access the document under the relevant access regimes. Reasonable time limits throughout the Union will stimulate the creation of new aggregated information products and services at pan-European level. Once a request for re-use has been granted, public sector bodies should make the documents available in a timeframe that allows their full economic potential to be exploited. This is particularly important for dynamic content (e.g. traffic data), the economic value of which depends on the immediate availability of the information and of regular updates. Should a licence be used, the timely availability of documents may be a part of the terms of the licence. |
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(12)

The time limit for replying to requests for re-use should be reasonable and in line with the equivalent time for requests to access the document under the relevant access regimes. Reasonable time limits throughout the Union will stimulate the creation of new aggregated information products and services at pan-European level. Once a request for re-use has been granted, public sector bodies should make the documents available in a timeframe that allows their full economic potential to be exploited. This is particularly important for dynamic content (e.g. traffic data), the economic value of which depends on the immediate availability of the information and of regular updates. Should a licence be used, the timely availability of documents may be a part of the terms of the licence.

| (13) | The possibilities for re-use can be improved by limiting the need to digitise paper-based documents or to process digital files to make them mutually compatible. Therefore, public sector bodies should make documents available in any pre-existing format or language, through electronic means where possible and appropriate. Public sector bodies should view requests for extracts from existing documents favourably when to grant such a request would involve only a simple operation. Public sector bodies should not, however, be obliged to provide an extract from a document where this involves disproportionate effort. To facilitate re-use, public sector bodies should make available their own documents in a format which, as far as possible and appropriate, is not dependent on the use of specific software. Where possible and appropriate, public sector bodies should take into account the possibilities for the re-use of documents by and for people with disabilities. |
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(13)

The possibilities for re-use can be improved by limiting the need to digitise paper-based documents or to process digital files to make them mutually compatible. Therefore, public sector bodies should make documents available in any pre-existing format or language, through electronic means where possible and appropriate. Public sector bodies should view requests for extracts from existing documents favourably when to grant such a request would involve only a simple operation. Public sector bodies should not, however, be obliged to provide an extract from a document where this involves disproportionate effort. To facilitate re-use, public sector bodies should make available their own documents in a format which, as far as possible and appropriate, is not dependent on the use of specific software. Where possible and appropriate, public sector bodies should take into account the possibilities for the re-use of documents by and for people with disabilities.

| (14) | Where charges are made, the total income should not exceed the total costs of collecting, producing, reproducing and disseminating documents, together with a reasonable return on investment, having due regard to the self-financing requirements of the public sector body concerned, where applicable. Production includes creation and collation, and dissemination may also include user support. Recovery of costs, together with a reasonable return on investment, consistent with applicable accounting principles and the relevant cost calculation method of the public sector body concerned, constitutes an upper limit to the charges, as any excessive prices should be precluded. The upper limit for charges set in this Directive is without prejudice to the right of Member States or public sector bodies to apply lower charges or no charges at all, and Member States should encourage public sector bodies to make documents available at charges that do not exceed the marginal costs for reproducing and disseminating the documents. |
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(14)

Where charges are made, the total income should not exceed the total costs of collecting, producing, reproducing and disseminating documents, together with a reasonable return on investment, having due regard to the self-financing requirements of the public sector body concerned, where applicable. Production includes creation and collation, and dissemination may also include user support. Recovery of costs, together with a reasonable return on investment, consistent with applicable accounting principles and the relevant cost calculation method of the public sector body concerned, constitutes an upper limit to the charges, as any excessive prices should be precluded. The upper limit for charges set in this Directive is without prejudice to the right of Member States or public sector bodies to apply lower charges or no charges at all, and Member States should encourage public sector bodies to make documents available at charges that do not exceed the marginal costs for reproducing and disseminating the documents.

| (15) | Ensuring that the conditions for re-use of public sector documents are clear and publicly available is a pre-condition for the development of a Community-wide information market. Therefore all applicable conditions for the re-use of the documents should be made clear to the potential re-users. Member States should encourage the creation of indices accessible on line, where appropriate, of available documents so as to promote and facilitate requests for re-use. Applicants for re-use of documents should be informed of available means of redress relating to decisions or practices affecting them. This will be particularly important for SMEs which may not be familiar with interactions with public sector bodies from other Member States and corresponding means of redress. |
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(15)

Ensuring that the conditions for re-use of public sector documents are clear and publicly available is a pre-condition for the development of a Community-wide information market. Therefore all applicable conditions for the re-use of the documents should be made clear to the potential re-users. Member States should encourage the creation of indices accessible on line, where appropriate, of available documents so as to promote and facilitate requests for re-use. Applicants for re-use of documents should be informed of available means of redress relating to decisions or practices affecting them. This will be particularly important for SMEs which may not be familiar with interactions with public sector bodies from other Member States and corresponding means of redress.

| (16) | Making public all generally available documents held by the public sector — concerning not only the political process but also the legal and administrative process — is a fundamental instrument for extending the right to knowledge, which is a basic principle of democracy. This objective is applicable to institutions at every level, be it local, national or international. |
| --- | --- |

(16)

Making public all generally available documents held by the public sector — concerning not only the political process but also the legal and administrative process — is a fundamental instrument for extending the right to knowledge, which is a basic principle of democracy. This objective is applicable to institutions at every level, be it local, national or international.

| (17) | In some cases the re-use of documents will take place without a licence being agreed. In other cases a licence will be issued imposing conditions on the re-use by the licensee dealing with issues such as liability, the proper use of documents, guaranteeing non-alteration and the acknowledgement of source. If public sector bodies license documents for re-use, the licence conditions should be fair and transparent. Standard licences that are available online may also play an important role in this respect. Therefore Member States should provide for the availability of standard licences. |
| --- | --- |

(17)

In some cases the re-use of documents will take place without a licence being agreed. In other cases a licence will be issued imposing conditions on the re-use by the licensee dealing with issues such as liability, the proper use of documents, guaranteeing non-alteration and the acknowledgement of source. If public sector bodies license documents for re-use, the licence conditions should be fair and transparent. Standard licences that are available online may also play an important role in this respect. Therefore Member States should provide for the availability of standard licences.

| (18) | If the competent authority decides to no longer make available certain documents for re-use, or to cease updating these documents, it should make these decisions publicly known, at the earliest opportunity, via electronic means when possible. |
| --- | --- |

(18)

If the competent authority decides to no longer make available certain documents for re-use, or to cease updating these documents, it should make these decisions publicly known, at the earliest opportunity, via electronic means when possible.

| (19) | Conditions for re-use should be non-discriminatory for comparable categories of re-use. This should, for example, not prevent the exchange of information between public sector bodies free of charge for the exercise of public tasks, whilst other parties are charged for the re-use of the same documents. Neither should it prevent the adoption of a differentiated charging policy for commercial and non-commercial re-use. |
| --- | --- |

(19)

Conditions for re-use should be non-discriminatory for comparable categories of re-use. This should, for example, not prevent the exchange of information between public sector bodies free of charge for the exercise of public tasks, whilst other parties are charged for the re-use of the same documents. Neither should it prevent the adoption of a differentiated charging policy for commercial and non-commercial re-use.

| (20) | Public sector bodies should respect competition rules when establishing the principles for re-use of documents avoiding as far as possible exclusive agreements between themselves and private partners. However, in order to provide a service of general economic interest, an exclusive right to re-use specific public sector documents may sometimes be necessary. This may be the case if no commercial publisher would publish the information without such an exclusive right. |
| --- | --- |

(20)

Public sector bodies should respect competition rules when establishing the principles for re-use of documents avoiding as far as possible exclusive agreements between themselves and private partners. However, in order to provide a service of general economic interest, an exclusive right to re-use specific public sector documents may sometimes be necessary. This may be the case if no commercial publisher would publish the information without such an exclusive right.

| (21) | This Directive should be implemented and applied in full compliance with the principles relating to the protection of personal data in accordance with 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 of the free movement of such data (9). |
| --- | --- |

(21)

This Directive should be implemented and applied in full compliance with the principles relating to the protection of personal data in accordance with 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 of the free movement of such data (9).

| (22) | The intellectual property rights of third parties are not affected by this Directive. For the avoidance of doubt, the term ‘intellectual property rights’ refers to copyright and related rights only (including sui generis forms of protection). This Directive does not apply to documents covered by industrial property rights, such as patents, registered designs and trademarks. The Directive does not affect the existence or ownership of intellectual property rights of public sector bodies, nor does it limit the exercise of these rights in any way beyond the boundaries set by this Directive. The obligations imposed by this Directive should apply only insofar as they are compatible with the provisions of international agreements on the protection of intellectual property rights, in particular the Berne Convention for the Protection of Literary and Artistic Works (the ‘Berne Convention’) and the Agreement on Trade-Related Aspects of Intellectual Property Rights (‘the TRIPS Agreement’). Public sector bodies should, however, exercise their copyright in a way that facilitates re-use. |
| --- | --- |

(22)

The intellectual property rights of third parties are not affected by this Directive. For the avoidance of doubt, the term ‘intellectual property rights’ refers to copyright and related rights only (including sui generis forms of protection). This Directive does not apply to documents covered by industrial property rights, such as patents, registered designs and trademarks. The Directive does not affect the existence or ownership of intellectual property rights of public sector bodies, nor does it limit the exercise of these rights in any way beyond the boundaries set by this Directive. The obligations imposed by this Directive should apply only insofar as they are compatible with the provisions of international agreements on the protection of intellectual property rights, in particular the Berne Convention for the Protection of Literary and Artistic Works (the ‘Berne Convention’) and the Agreement on Trade-Related Aspects of Intellectual Property Rights (‘the TRIPS Agreement’). Public sector bodies should, however, exercise their copyright in a way that facilitates re-use.

| (23) | Tools that help potential re-users to find documents available for re-use and the conditions for re-use can facilitate considerably the cross-border use of public sector documents. Member States should therefore ensure that practical arrangements are in place that help re-users in their search for documents available for re-use. Assets lists, accessible preferably online, of main documents (documents that are extensively re-used or that have the potential to be extensively re-used), and portal sites that are linked to decentralised assets lists are examples of such practical arrangements. |
| --- | --- |

(23)

Tools that help potential re-users to find documents available for re-use and the conditions for re-use can facilitate considerably the cross-border use of public sector documents. Member States should therefore ensure that practical arrangements are in place that help re-users in their search for documents available for re-use. Assets lists, accessible preferably online, of main documents (documents that are extensively re-used or that have the potential to be extensively re-used), and portal sites that are linked to decentralised assets lists are examples of such practical arrangements.

| (24) | This Directive is without prejudice to Directive 2001/29/EC of the European Parliament and of the Council of 22 May 2001 on the harmonisation of certain aspects of copyright and related rights in the information society (10) and Directive 96/9/EC of the European Parliament and of the Council of 11 March 1996 on the legal protection of databases (11). It spells out the conditions within which public sector bodies can exercise their intellectual property rights in the internal information market when allowing re-use of documents. |
| --- | --- |

(24)

This Directive is without prejudice to Directive 2001/29/EC of the European Parliament and of the Council of 22 May 2001 on the harmonisation of certain aspects of copyright and related rights in the information society (10) and Directive 96/9/EC of the European Parliament and of the Council of 11 March 1996 on the legal protection of databases (11). It spells out the conditions within which public sector bodies can exercise their intellectual property rights in the internal information market when allowing re-use of documents.

| (25) | Since the objectives of the proposed action, namely to facilitate the creation of Community-wide information products and services based on public sector documents, to enhance an effective cross-border use of public sector documents by private companies for added-value information products and services and to limit distortions of competition on the Community market, cannot be sufficiently achieved by the Member States and can therefore, in view of the intrinsic Community scope and impact of the said action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives. This Directive should achieve minimum harmonisation, thereby avoiding further disparities between the Member States in dealing with the re-use of public sector documents, |
| --- | --- |

(25)

Since the objectives of the proposed action, namely to facilitate the creation of Community-wide information products and services based on public sector documents, to enhance an effective cross-border use of public sector documents by private companies for added-value information products and services and to limit distortions of competition on the Community market, cannot be sufficiently achieved by the Member States and can therefore, in view of the intrinsic Community scope and impact of the said action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives. This Directive should achieve minimum harmonisation, thereby avoiding further disparities between the Member States in dealing with the re-use of public sector documents,

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

GENERAL PROVISIONS

Article 1

Subject matter and scope

1.   This Directive establishes a minimum set of rules governing the re-use and the practical means of facilitating re-use of existing documents held by public sector bodies of the Member States.

2.   This Directive shall not apply to:

| (a) | documents the supply of which is an activity falling outside the scope of the public task of the public sector bodies concerned as defined by law or by other binding rules in the Member State, or in the absence of such rules as defined in line with common administrative practice in the Member State in question; |
| --- | --- |

(a)

documents the supply of which is an activity falling outside the scope of the public task of the public sector bodies concerned as defined by law or by other binding rules in the Member State, or in the absence of such rules as defined in line with common administrative practice in the Member State in question;

| (b) | documents for which third parties hold intellectual property rights; |
| --- | --- |

(b)

documents for which third parties hold intellectual property rights;

| (c) | documents which are excluded from access by virtue of the access regimes in the Member States, including on the grounds of:






  — | the protection of national security (i.e. State security), defence, or public security, |
| --- | --- | --- |

(c)

documents which are excluded from access by virtue of the access regimes in the Member States, including on the grounds of:

—

the protection of national security (i.e. State security), defence, or public security,

| — | statistical or commercial confidentiality; |
| --- | --- |

—

statistical or commercial confidentiality;

| (d) | documents held by public service broadcasters and their subsidiaries, and by other bodies or their subsidiaries for the fulfilment of a public service broadcasting remit; |
| --- | --- |

(d)

documents held by public service broadcasters and their subsidiaries, and by other bodies or their subsidiaries for the fulfilment of a public service broadcasting remit;

| (e) | documents held by educational and research establishments, such as schools, universities, archives, libraries and research facilities including, where relevant, organisations established for the transfer of research results; |
| --- | --- |

(e)

documents held by educational and research establishments, such as schools, universities, archives, libraries and research facilities including, where relevant, organisations established for the transfer of research results;

| (f) | documents held by cultural establishments, such as museums, libraries, archives, orchestras, operas, ballets and theatres. |
| --- | --- |

(f)

documents held by cultural establishments, such as museums, libraries, archives, orchestras, operas, ballets and theatres.

3.   This Directive builds on and is without prejudice to the existing access regimes in the Member States. This Directive shall not apply in cases in which citizens or companies have to prove a particular interest under the access regime to get access to the documents.

4.   This Directive leaves intact and in no way affects the level of protection of individuals with regard to the processing of personal data under the provisions of Community and national law, and in particular does not alter the obligations and rights set out in Directive 95/46/EC.

5.   The obligations imposed by this Directive shall apply only insofar as they are compatible with the provisions of international agreements on the protection of intellectual property rights, in particular the Berne Convention and the TRIPS Agreement.

Article 2

Definitions

For the purpose of this Directive the following definitions shall apply:

| (1) | ‘public sector body’ means the State, regional or local authorities, bodies governed by public law and associations formed by one or several such authorities or one or several such bodies governed by public law; |
| --- | --- |

(1)

‘public sector body’ means the State, regional or local authorities, bodies governed by public law and associations formed by one or several such authorities or one or several such bodies governed by public law;

| (2) | ‘body governed by public law’ means any body:






  (a) | established for the specific purpose of meeting needs in the general interest, not having an industrial or commercial character; and |
| --- | --- | --- |

(2)

‘body governed by public law’ means any body:

(a)

established for the specific purpose of meeting needs in the general interest, not having an industrial or commercial character; and

| (b) | having legal personality; and |
| --- | --- |

(b)

having legal personality; and

| (c) | financed, for the most part by the State, or regional or local authorities, or other bodies governed by public law; or subject to management supervision by those bodies; or having an administrative, managerial or supervisory board, more than half of whose members are appointed by the State, regional or local authorities or by other bodies governed by public law; |
| --- | --- |

(c)

financed, for the most part by the State, or regional or local authorities, or other bodies governed by public law; or subject to management supervision by those bodies; or having an administrative, managerial or supervisory board, more than half of whose members are appointed by the State, regional or local authorities or by other bodies governed by public law;

| (3) | ‘document’ means:






  (a) | any content whatever its medium (written on paper or stored in electronic form or as a sound, visual or audiovisual recording); |
| --- | --- | --- |

(3)

‘document’ means:

(a)

any content whatever its medium (written on paper or stored in electronic form or as a sound, visual or audiovisual recording);

| (b) | any part of such content; |
| --- | --- |

(b)

any part of such content;

| (4) | ‘re-use’ means the use by persons or legal entities of documents held by public sector bodies, for commercial or non-commercial purposes other than the initial purpose within the public task for which the documents were produced. Exchange of documents between public sector bodies purely in pursuit of their public tasks does not constitute re-use; |
| --- | --- |

(4)

‘re-use’ means the use by persons or legal entities of documents held by public sector bodies, for commercial or non-commercial purposes other than the initial purpose within the public task for which the documents were produced. Exchange of documents between public sector bodies purely in pursuit of their public tasks does not constitute re-use;

| (5) | ‘personal data’ means data as defined in Article 2(a) of Directive 95/46/EC. |
| --- | --- |

(5)

‘personal data’ means data as defined in Article 2(a) of Directive 95/46/EC.

Article 3

General principle

Member States shall ensure that, where the re-use of documents held by public sector bodies is allowed, these documents shall be re-usable for commercial or non-commercial purposes in accordance with the conditions set out in chapters III and IV. Where possible, documents shall be made available through electronic means.

CHAPTER II

REQUESTS FOR RE-USE

Article 4

Requirements applicable to the processing of requests for re-use

1.   Public sector bodies shall, through electronic means where possible and appropriate, process requests for re-use and shall make the document available for re-use to the applicant or, if a licence is needed, finalise the licence offer to the applicant within a reasonable time that is consistent with the timeframes laid down for the processing of requests for access to documents.

2.   Where no time-limits or other rules regulating the timely provision of documents have been established, public sector bodies shall process the request and shall deliver the documents for re-use to the applicant or, if a licence is needed, finalise the licence offer to the applicant within a timeframe of not more than 20 working days after its receipt. This timeframe may be extended by another 20 working days for extensive or complex requests. In such cases the applicant shall be notified within three weeks after the initial request that more time is needed to process it.

3.   In the event of a negative decision, the public sector bodies shall communicate the grounds for refusal to the applicant on the basis of the relevant provisions of the access regime in that Member State or of the national provisions adopted pursuant to this Directive, in particular Article 1(2)(a), (b) and (c), or Article 3. Where a negative decision is based on Article 1(2)(b), the public sector body shall include a reference to the natural or legal person who is the rightholder, where known, or alternatively to the licensor from which the public sector body has obtained the relevant material.

4.   Any negative decision shall contain a reference to the means of redress in case the applicant wishes to appeal the decision.

5.   Public sector bodies covered under Article 1(2)(d), (e) and (f) shall not be required to comply with the requirements of this Article.

CHAPTER III

CONDITIONS FOR RE-USE

Article 5

Available formats

1.   Public sector bodies shall make their documents available in any pre-existing format or language, through electronic means where possible and appropriate. This shall not imply an obligation for public sector bodies to create or adapt documents in order to comply with the request, nor shall it imply an obligation to provide extracts from documents where this would involve disproportionate effort, going beyond a simple operation.

2.   On the basis of this Directive, public sector bodies cannot be required to continue the production of a certain type of documents with a view to the re-use of such documents by a private or public sector organisation.

Article 6

Principles governing charging

Where charges are made, the total income from supplying and allowing re-use of documents shall not exceed the cost of collection, production, reproduction and dissemination, together with a reasonable return on investment. Charges should be cost-oriented over the appropriate accounting period and calculated in line with the accounting principles applicable to the public sector bodies involved.

Article 7

Transparency

Any applicable conditions and standard charges for the re-use of documents held by public sector bodies shall be pre-established and published, through electronic means where possible and appropriate. On request, the public sector body shall indicate the calculation basis for the published charge. The public sector body in question shall also indicate which factors will be taken into account in the calculation of charges for atypical cases. Public sector bodies shall ensure that applicants for re-use of documents are informed of available means of redress relating to decisions or practices affecting them.

Article 8

Licences

1.   Public sector bodies may allow for re-use of documents without conditions or may impose conditions, where appropriate through a licence, dealing with relevant issues. These conditions shall not unnecessarily restrict possibilities for re-use and shall not be used to restrict competition.

2.   In Member States where licences are used, Member States shall ensure that standard licences for the re-use of public sector documents, which can be adapted to meet particular licence applications, are available in digital format and can be processed electronically. Member States shall encourage all public sector bodies to use the standard licences.

Article 9

Practical arrangements

Member States shall ensure that practical arrangements are in place that facilitate the search for documents available for re-use, such as assets lists, accessible preferably online, of main documents, and portal sites that are linked to decentralised assets lists.

CHAPTER IV

NON-DISCRIMINATION AND FAIR TRADING

Article 10

Non-discrimination

1.   Any applicable conditions for the re-use of documents shall be non-discriminatory for comparable categories of re-use.

2.   If documents are re-used by a public sector body as input for its commercial activities which fall outside the scope of its public tasks, the same charges and other conditions shall apply to the supply of the documents for those activities as apply to other users.

Article 11

Prohibition of exclusive arrangements

1.   The re-use of documents shall be open to all potential actors in the market, even if one or more market players already exploit added-value products based on these documents. Contracts or other arrangements between the public sector bodies holding the documents and third parties shall not grant exclusive rights.

2.   However, where an exclusive right is necessary for the provision of a service in the public interest, the validity of the reason for granting such an exclusive right shall be subject to regular review, and shall, in any event, be reviewed every three years. The exclusive arrangements established after the entry into force of this Directive shall be transparent and made public.

3.   Existing exclusive arrangements that do not qualify for the exception under paragraph 2 shall be terminated at the end of the contract or in any case not later than ... (12).

CHAPTER V

FINAL PROVISIONS

Article 12

Implementation

Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by ... (13). They shall forthwith inform the Commission thereof.

When Member States adopt those measures, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

Article 13

Review

1.   The Commission shall carry out a review of the application of this Directive before ... (14) and shall communicate the results of this review, together with any proposals for modifications of the Directive, to the European Parliament and the Council.

2.   The review shall in particular address the scope and impact of this Directive, including the extent of the increase in re-use of public sector documents, the effects of the principles applied to charging and the re-use of official texts of a legislative and administrative nature, as well as further possibilities of improving the proper functioning of the internal market and the development of the European content industry.

Article 14

Entry into force

This Directive shall enter into force on the day of its publication in the Official Journal of the European Union.

Article 15

Addressees

This Directive is addressed to the Member States.

Done at ..., on ...

For the Parliament

The President

For the Council

The President

---

(1)  OJ C 227 E, 24.9.2002, p. 382.

1

(2)  OJ C 85, 8.4.2003, p. 25.

2

(3)  OJ C 73, 26.3.2003, p. 38.

3

(4)  Position of the European Parliament of 12 February 2003 (not yet published in the Official Journal), Council Common Position of 26 May 2003 (OJ C 159 E, 8.7.2003, p. 1) and Position of the European Parliament of 25 September 2003.

4

(5)  OJ L 209, 24.7.1992, p. 1. Directive as last amended by Commission Directive 2001/78/EC (OJ L 285, 29.10.2001, p. 1).

5

(6)  OJ L 199, 9.8.1993, p. 1. Directive as last amended by Directive 2001/78/EC.

6

(7)  OJ L 199, 9.8.1993, p. 54. Directive as last amended by Directive 2001/78/EC.

7

(8)  OJ L 101, 1.4.1998, p. 1.

8

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

9

(10)  OJ L 167, 22.6.2001, p. 10.

10

(11)  OJ L 77, 27.3.1996, p. 20.

11

(12)  Five years after the entry into force of this Directive.

12

(13)  Eighteen months from the entry into force of this Directive.

13

(14)  Three years from the date referred to in (*).

14

*

P5_TA(2003)0409

Modinis programme ***II

European Parliament legislative resolution on the Council common position with a view to adopting a European Parliament and Council decision on adopting a multi-annual programme (2003-2005) for the monitoring of eEurope 2005 Action plan, dissemination of good practices and the improvement of network and information security (Modinis) (7948/1/2003 — C5-0252/2003 — 2002/0187(COD))

(Codecision procedure: second reading)

The European Parliament,

| — | having regard to the Council common position (7948/1/2003 — C5-0252/2003) (1), |
| --- | --- |

—

having regard to the Council common position (7948/1/2003 — C5-0252/2003) (1),

| — | having regard to its position at first reading (2) on the Commission proposal to Parliament and the Council (COM(2002) 425) (3), |
| --- | --- |

—

having regard to its position at first reading (2) on the Commission proposal to Parliament and the Council (COM(2002) 425) (3),

| — | having regard to the Commission's amended proposal (COM(2003) 160) (4), |
| --- | --- |

—

having regard to the Commission's amended proposal (COM(2003) 160) (4),

| — | having regard to Article 251(2) of the EC Treaty, |
| --- | --- |

—

having regard to Article 251(2) of the EC Treaty,

| — | having regard to Rule 80 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 80 of its Rules of Procedure,

| — | having regard to the recommendation for second reading of the Committee on Industry, External Trade, Research and Energy (A5-0269/2003), |
| --- | --- |

—

having regard to the recommendation for second reading of the Committee on Industry, External Trade, Research and Energy (A5-0269/2003),

| 1. | Amends the common position as follows; |
| --- | --- |

1.

Amends the common position as follows;

| 2. | Instructs its President to forward its position to the Council and Commission. |
| --- | --- |

2.

Instructs its President to forward its position to the Council and Commission.

---

(1)  OJ C 159 E, 8.7.2003, p. 11.

(2)  P5_TA(2003)0044.

(3)  OJ C 291 E, 26.11.2002, p. 243.

(4)  OJ C not yet published.

P5_TC2-COD(2002)0187

Position of the European Parliament adopted at second reading on 25 September 2003 with a view to the adoption of Decision No .../2003/EC of the European Parliament and of the Council adopting a multiannual programme (2003-2005) for the monitoring of the eEurope 2005 Action Plan, dissemination of good practices and the improvement of network and information security (Modinis)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 157(3) thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the European Economic and Social Committee (2),

Acting in accordance with the procedure set out in Article 251 of the Treaty (3),

Whereas:

| (1) | On 23 and 24 March 2000 the Lisbon European Council set the objective of making the European Union the most competitive and dynamic knowledge-based economy in the world and stated the need to use an open method for the coordination of measurement of progress. |
| --- | --- |

(1)

On 23 and 24 March 2000 the Lisbon European Council set the objective of making the European Union the most competitive and dynamic knowledge-based economy in the world and stated the need to use an open method for the coordination of measurement of progress.

| (2) | On 19 and 20 June 2000, the Feira European Council endorsed the eEurope 2002 Action plan and especially underlined the necessity to prepare longer term perspectives for the knowledge-based economy encouraging the access of all citizens to the new technologies and on 30 November 2000 the Internal Market Council defined a list of 23 indicators to measure progress of the eEurope 2002 Action plan. |
| --- | --- |

(2)

On 19 and 20 June 2000, the Feira European Council endorsed the eEurope 2002 Action plan and especially underlined the necessity to prepare longer term perspectives for the knowledge-based economy encouraging the access of all citizens to the new technologies and on 30 November 2000 the Internal Market Council defined a list of 23 indicators to measure progress of the eEurope 2002 Action plan.

| (3) | On 28 May 2002 the Commission published a Communication addressed to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions entitled ȘeEurope 2005: An information society for allș, and the Seville European Council endorsed the general objectives of the Action plan on 21 and 22 June 2002. |
| --- | --- |

(3)

On 28 May 2002 the Commission published a Communication addressed to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions entitled ȘeEurope 2005: An information society for allș, and the Seville European Council endorsed the general objectives of the Action plan on 21 and 22 June 2002.

| (4) | On 22 January 2001, the Commission published a Communication addressed to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions entitled ȘCreating a Safer Information Society by Improving the Security of Information Infrastructures and Combating Computer-related Crimeș. |
| --- | --- |

(4)

On 22 January 2001, the Commission published a Communication addressed to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions entitled ȘCreating a Safer Information Society by Improving the Security of Information Infrastructures and Combating Computer-related Crimeș.

| (5) | The Conclusions of the Stockholm European Council of 23 and 24 March 2001 contained a request that the Council, together with the Commission, develop a comprehensive strategy on the security of electronic networks including practical implementing action. The communication on ȘNetwork and Information Security: Proposal for a European Policy Approachș of 6 June 2001 was the initial Commission response to this request. |
| --- | --- |

(5)

The Conclusions of the Stockholm European Council of 23 and 24 March 2001 contained a request that the Council, together with the Commission, develop a comprehensive strategy on the security of electronic networks including practical implementing action. The communication on ȘNetwork and Information Security: Proposal for a European Policy Approachș of 6 June 2001 was the initial Commission response to this request.

| (6) | The Council Resolution of 30 May 2001 on the eEurope Action plan: Information and Network Security, the Council Resolution of 28 January 2002 on a common approach and specific actions in the area of network and information security (4), the Council resolution of 18 February 2003 on a European approach towards a culture of network and information security (5) and the European Parliament Resolution of 22 October 2002 on Network and Information Security: Proposal for a European Policy called upon Member States to launch specific actions to enhance the security of electronic communication networks and information systems. The European Parliament and the Council further welcomed the Commission's intentions to develop amongst others a strategy for a more stable and secure operation of the Internet infrastructure and to make a proposal for the establishment of the future structure at European level for network and information security issues. |
| --- | --- |

(6)

The Council Resolution of 30 May 2001 on the eEurope Action plan: Information and Network Security, the Council Resolution of 28 January 2002 on a common approach and specific actions in the area of network and information security (4), the Council resolution of 18 February 2003 on a European approach towards a culture of network and information security (5) and the European Parliament Resolution of 22 October 2002 on Network and Information Security: Proposal for a European Policy called upon Member States to launch specific actions to enhance the security of electronic communication networks and information systems. The European Parliament and the Council further welcomed the Commission's intentions to develop amongst others a strategy for a more stable and secure operation of the Internet infrastructure and to make a proposal for the establishment of the future structure at European level for network and information security issues.

| (7) | The eEurope 2005 Action plan, confirmed in this respect by the Council Resolution of 18 February 2003, proposes inter alia the establishment of the future structure at European level for network and information security issues. |
| --- | --- |

(7)

The eEurope 2005 Action plan, confirmed in this respect by the Council Resolution of 18 February 2003, proposes inter alia the establishment of the future structure at European level for network and information security issues.

| (8) | The move towards the Information Society can, by introducing new forms of economic, political and social relations, help the European Union to cope with the challenges of this century, and can contribute to growth, competitiveness and job creation. The Information Society is gradually reorganising the nature of economic and social activity and has important cross-sectorial effects in hitherto independent areas of activity. The measures necessary for its implementation should take into account the economic and social cohesion of the Community and the risks associated with digital exclusion as well as the efficient functioning of the Internal market. The actions of the European Union and of the Member States in relation to the Information Society aim to promote further the participation of disadvantaged groups in the Information Society. |
| --- | --- |

(8)

The move towards the Information Society can, by introducing new forms of economic, political and social relations, help the European Union to cope with the challenges of this century, and can contribute to growth, competitiveness and job creation. The Information Society is gradually reorganising the nature of economic and social activity and has important cross-sectorial effects in hitherto independent areas of activity. The measures necessary for its implementation should take into account the economic and social cohesion of the Community and the risks associated with digital exclusion as well as the efficient functioning of the Internal market. The actions of the European Union and of the Member States in relation to the Information Society aim to promote further the participation of disadvantaged groups in the Information Society.

| (9) | There is a need for the establishment of monitoring mechanisms and for the exchange of experiences which will enable Member States to compare and analyse performances and review progress in relation to the eEurope 2005 Action plan. |
| --- | --- |

(9)

There is a need for the establishment of monitoring mechanisms and for the exchange of experiences which will enable Member States to compare and analyse performances and review progress in relation to the eEurope 2005 Action plan.

| (10) | Benchmarking allows Member States to assess whether the national initiatives that they have taken in the framework of the eEurope 2005 Action plan are producing results that can be compared with those in other Member States, as well as internationally, and are fully exploiting the potential of the technologies. |
| --- | --- |

(10)

Benchmarking allows Member States to assess whether the national initiatives that they have taken in the framework of the eEurope 2005 Action plan are producing results that can be compared with those in other Member States, as well as internationally, and are fully exploiting the potential of the technologies.

| (11) | Action by Member States in the framework of the eEurope 2005 Action plan can be further supported by disseminating good practices. The European added value in the area of benchmarking and good practices consists of the comparative evaluation of results of alternative decisions, measured by a common methodology of monitoring and analysis. |
| --- | --- |

(11)

Action by Member States in the framework of the eEurope 2005 Action plan can be further supported by disseminating good practices. The European added value in the area of benchmarking and good practices consists of the comparative evaluation of results of alternative decisions, measured by a common methodology of monitoring and analysis.

| (12) | There is a need to analyse the economic and societal consequences of the Information Society with a view to facilitating policy discussions. This will allow Member States better to exploit the economic and industrial potential of technological development, in particular in the area of the Information Society. |
| --- | --- |

(12)

There is a need to analyse the economic and societal consequences of the Information Society with a view to facilitating policy discussions. This will allow Member States better to exploit the economic and industrial potential of technological development, in particular in the area of the Information Society.

| (13) | Network and information security has become a prerequisite for further progress towards a secure business environment. The complex nature of network and information security implies that, in developing policy measures in this field, local, national and, where appropriate, European authorities should take into account a range of political, economic, organisational and technical aspects, and be aware of the decentralised and global character of communication networks. The planned establishment of the future structure at European level for network and information security issues would enhance the Member States' and the Community's ability to respond to major network and information security problems. Preparatory work needs to commence as early as 2003. |
| --- | --- |

(13)

Network and information security has become a prerequisite for further progress towards a secure business environment. The complex nature of network and information security implies that, in developing policy measures in this field, local, national and, where appropriate, European authorities should take into account a range of political, economic, organisational and technical aspects, and be aware of the decentralised and global character of communication networks. The planned establishment of the future structure at European level for network and information security issues would enhance the Member States' and the Community's ability to respond to major network and information security problems. Preparatory work needs to commence as early as 2003.

| (14) | Since the activities mentioned above pursue the objectives of promoting synergies and cooperation between Member States, countries of the European Economic Area, applicant and candidate countries as well as the associated countries of Central and Eastern Europe, the Commission could in future encourage further involvement of these countries in the activities of the programme. |
| --- | --- |

(14)

Since the activities mentioned above pursue the objectives of promoting synergies and cooperation between Member States, countries of the European Economic Area, applicant and candidate countries as well as the associated countries of Central and Eastern Europe, the Commission could in future encourage further involvement of these countries in the activities of the programme.

| (15) | This Decision lays down, for the entire duration of the programme, a financial framework constituting the prime reference, within the meaning of point 33 of the Interinstitutional Agreement of 6 May 1999 between the European Parliament, the Council and the Commission on budgetary discipline and improvement of the budgetary procedure, for the budgetary authority during the annual budgetary procedure. |
| --- | --- |

(15)

This Decision lays down, for the entire duration of the programme, a financial framework constituting the prime reference, within the meaning of point 33 of the Interinstitutional Agreement of 6 May 1999 between the European Parliament, the Council and the Commission on budgetary discipline and improvement of the budgetary procedure, for the budgetary authority during the annual budgetary procedure.

| (16) | The measures necessary for the implementation of this Decision should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (6). |
| --- | --- |

(16)

The measures necessary for the implementation of this Decision should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (6).

| (17) | The progress of this programme should be continuously monitored, |
| --- | --- |

(17)

The progress of this programme should be continuously monitored,

HAVE ADOPTED THIS DECISION:

Article 1

A multiannual programme (2003-2005) for the monitoring of the eEurope 2005 Action plan, dissemination of good practices and improvement of network and information security (hereafter referred to as Șthe programmeș) is hereby adopted.

The programme shall have the following objectives:

| (a) | to monitor performance of and within Member States and to compare it with the best in the world by using, where possible, official statistics; |
| --- | --- |

(a)

to monitor performance of and within Member States and to compare it with the best in the world by using, where possible, official statistics;

| (b) | to support efforts made by Member States in the framework of eEurope, at national, regional or local level, by analysis of eEurope good practices and by the complementary interaction of developing mechanisms of exchange of experiences; |
| --- | --- |

(b)

to support efforts made by Member States in the framework of eEurope, at national, regional or local level, by analysis of eEurope good practices and by the complementary interaction of developing mechanisms of exchange of experiences;

| (c) | to analyse the economic and societal consequences of the Information Society with a view to facilitating policy discussions particularly in terms of industrial competitiveness and cohesion as well as in terms of social inclusion; to provide the eEurope Steering Group with the necessary information for it to be able to assess the appropriate strategic direction of the eEurope 2005 Action plan; |
| --- | --- |

(c)

to analyse the economic and societal consequences of the Information Society with a view to facilitating policy discussions particularly in terms of industrial competitiveness and cohesion as well as in terms of social inclusion; to provide the eEurope Steering Group with the necessary information for it to be able to assess the appropriate strategic direction of the eEurope 2005 Action plan;

| (d) | to prepare for the establishment of the future structure at European level for network and information security issues, as envisaged by the Council Resolution of 28 January 2002 and in the eEurope 2005 Action plan, with a view to improving network and information security. |
| --- | --- |

(d)

to prepare for the establishment of the future structure at European level for network and information security issues, as envisaged by the Council Resolution of 28 January 2002 and in the eEurope 2005 Action plan, with a view to improving network and information security.

The activities of the programme shall be actions of a cross-sectorial nature, complementing Community actions in other fields. None of these actions shall duplicate the work being carried out in these fields under other Community programmes. The actions taken under the programme on benchmarking, good practices and policy coordination shall work to achieve the objectives of the eEurope 2005 Action plan, to promote network and information security and broadband, and to promote eGovernment, eBusiness, eHealth and eLearning.

The programme shall also provide a common framework for complementary interaction at European level of the various national, regional and local levels.

Article 2

In order to attain the objectives referred to in Article 1, the following categories of actions shall be undertaken:

| (a) | Action 1: Monitoring and Comparison of Performance






  — | data collection and analysis on the basis of the benchmarking indicators as defined in the Council Resolution of 18 February 2003 on the implementation of the eEurope 2005 Action plan (7), including regional indicators where appropriate. A special focus should be given to data relating to the key targets of the eEurope 2005 Action plan; |
| --- | --- | --- |

(a)

Action 1: Monitoring and Comparison of Performance

—

data collection and analysis on the basis of the benchmarking indicators as defined in the Council Resolution of 18 February 2003 on the implementation of the eEurope 2005 Action plan (7), including regional indicators where appropriate. A special focus should be given to data relating to the key targets of the eEurope 2005 Action plan;

| (b) | Action 2: Dissemination of Good Practices






  — | studies to identify good practices, at national, regional and local level, contributing to successful implementation of the eEurope 2005 Action plan; |
| --- | --- | --- |

(b)

Action 2: Dissemination of Good Practices

—

studies to identify good practices, at national, regional and local level, contributing to successful implementation of the eEurope 2005 Action plan;

| — | support for targeted conferences, seminars or workshops in support of the objectives of the eEurope 2005 Action plan in order to promote cooperation and exchange of experiences and good practices within the common framework of complementary interaction as defined in point (b) of Article 1; |
| --- | --- |

—

support for targeted conferences, seminars or workshops in support of the objectives of the eEurope 2005 Action plan in order to promote cooperation and exchange of experiences and good practices within the common framework of complementary interaction as defined in point (b) of Article 1;

| (c) | Action 3: Analysis and Strategic Discussion






  — | support the work of social and economic experts with a view to providing the Commission and, on request, the eEurope Steering Group with input as regards prospective policy analysis; |
| --- | --- | --- |

(c)

Action 3: Analysis and Strategic Discussion

—

support the work of social and economic experts with a view to providing the Commission and, on request, the eEurope Steering Group with input as regards prospective policy analysis;

| — | support for the eEurope Steering Group to provide a strategic overview of implementation of the eEurope 2005 Action plan, to offer a forum to exchange experiences and to permit early participation of candidate countries and, where appropriate, to invite other stakeholders to express their views. |
| --- | --- |

—

support for the eEurope Steering Group to provide a strategic overview of implementation of the eEurope 2005 Action plan, to offer a forum to exchange experiences and to permit early participation of candidate countries and, where appropriate, to invite other stakeholders to express their views.

| (d) | Action 4: Improvement of Network and Information Security






  — | preparation for the establishment of the future structure at European level for network and information security issues, as envisaged in the Council Resolutions of 28 January 2002 and of 18 February 2003 on a European approach towards a culture of network and information security, and in the eEurope 2005 Action plan, through, inter alia, financing surveys, studies, workshops on subjects such as security mechanisms and their interoperability, network reliability and protection, advanced cryptography, privacy and security in wireless communications. |
| --- | --- | --- |

(d)

Action 4: Improvement of Network and Information Security

—

preparation for the establishment of the future structure at European level for network and information security issues, as envisaged in the Council Resolutions of 28 January 2002 and of 18 February 2003 on a European approach towards a culture of network and information security, and in the eEurope 2005 Action plan, through, inter alia, financing surveys, studies, workshops on subjects such as security mechanisms and their interoperability, network reliability and protection, advanced cryptography, privacy and security in wireless communications.

Article 3

In carrying out the objectives set out in Article 1 and the actions set out in Article 2, the Commission shall use the appropriate and relevant means, and in particular:

| — | the award of contracts for the execution of tasks relating to surveys, exploratory studies, detailed studies on specific fields, demonstration actions of limited size including workshops and conferences; |
| --- | --- |

—

the award of contracts for the execution of tasks relating to surveys, exploratory studies, detailed studies on specific fields, demonstration actions of limited size including workshops and conferences;

| — | the collection, publication and dissemination of information and the development of web-based services; |
| --- | --- |

—

the collection, publication and dissemination of information and the development of web-based services;

| — | the granting of support for meetings of experts, conferences, seminars. |
| --- | --- |

—

the granting of support for meetings of experts, conferences, seminars.

Article 4

The programme shall cover a period from 1 January 2003 to 31 December 2005.

The financial framework for the implementation of this programme is hereby set at EUR 21 million.

An indicative breakdown is given in the Annex.

The annual appropriations shall be authorised by the budgetary authority within the limits of the financial perspective.

Article 5

The Commission shall be responsible for the implementation of the programme and its coordination with other Community programmes. The Commission shall draw up a work programme every year on the basis of this Decision.

The Commission shall act in accordance with the procedure referred to in Article 6(2):

| (a) | for the adoption of the work programme, including the overall budgetary breakdown, |
| --- | --- |

(a)

for the adoption of the work programme, including the overall budgetary breakdown,

| (b) | for the adoption of the measures for programme evaluation, |
| --- | --- |

(b)

for the adoption of the measures for programme evaluation,

| (c) | for determination of the criteria for calls for proposals, in line with the objectives outlined in Article 1, and for the assessment of the projects submitted in response to such calls where Community funding of an estimated amount of Community contribution is equal to, or more than, EUR 250 000. |
| --- | --- |

(c)

for determination of the criteria for calls for proposals, in line with the objectives outlined in Article 1, and for the assessment of the projects submitted in response to such calls where Community funding of an estimated amount of Community contribution is equal to, or more than, EUR 250 000.

Article 6

1.   The Commission shall be assisted by a Committee (hereinafter referred to as Șthe Committeeș).

2.   Where reference is made to this paragraph, Articles 4 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 4(3) of Decision 1999/468/EC shall be set at three months.

3.   The Committee shall adopt its rules of procedure.

Article 7

1.   In order to ensure that Community aid is used efficiently, the Commission shall ensure that actions under this Decision are subject to effective prior appraisal, monitoring and subsequent evaluation.

2.   During implementation of actions and after their completion the Commission shall evaluate the manner in which they have been carried out and the impact of their implementation in order to assess whether the original objectives have been achieved.

3.   The Commission shall regularly inform the Committee and the eEurope Steering Group of progress with the implementation of the programme as a whole.

4.   At the end of the programme, the Commission shall submit to the European Parliament, to the Council and to the European Economic and Social Committee an evaluation report on the results obtained in implementing the actions referred in Article 2.

Article 8

1.   The programme may be opened, within the framework of their respective agreements with the European Community, to countries of the European Economic Area, applicant and candidate countries as well as the associated countries of Central and Eastern Europe.

2.   In the course of implementing this Decision, cooperation with non-member countries and with international organisations or bodies, as appropriate, shall be encouraged.

Article 9

This Decision shall enter into force on the day following that of its publication in the Official Journal of the European Union.

Article 10

This Decision is addressed to the Member States.

Done at Brussels, on ...

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 291 E, 26.11.2002, p. 243.

1

(2)  OJ C 61, 14.3.2003, p. 184.

2

(3)  Position of the European Parliament of 12 February 2003 (not yet published in the Official Journal), Council Common Position of 26 May 2003 (OJ C 159 E, 8.7.2003, p. 11) and Position of the European Parliament of 25 September 2003.

3

(4)  OJ C 43, 16.2.2002, p. 2.

4

(5)  OJ C 48, 28.2.2003, p. 1.

5

(6)  OJ L 184, 17.7.1999, p. 23.

6

(7)  OJ C 48, 28.2.2003, p. 2.

7

ANNEX

MULTIANNUAL PROGRAMME FOR THE MONITORING OF eEUROPE, DISSEMINATION OF GOOD PRACTICES AND THE IMPROVEMENT OF NETWORK AND INFORMATION SECURITY (MODINIS)

Indicative breakdown of expenditure 2003-2005

| Percentages of total budget by category and year |
| --- |
| | 2003 | 2004 | 2005 | Total 2003-2005 |
| Action 1 — monitoring and comparison of performance | 12% | 14% | 14% | 40% |
| Action 2 — dissemination of good practice | 8% | 10% | 12% | 30% |
| Action 3 — analysis and strategic discussion | 2% | 3% | 3% | 8% |
| Action 4 — improvement of network and information security | 17% | 5% | 0% | 22% |
| Percentage of total | 39% | 32% | 29% | 100% |

Percentages of total budget by category and year

2003

2004

2005

Total 2003-2005

Action 1 — monitoring and comparison of performance

12%

14%

14%

40%

Action 2 — dissemination of good practice

8%

10%

12%

30%

Action 3 — analysis and strategic discussion

2%

3%

3%

8%

Action 4 — improvement of network and information security

17%

5%

0%

22%

Percentage of total

39%

32%

29%

100%

P5_TA(2003)0410

Investment services and regulated markets ***I

European Parliament legislative resolution on the proposal for a European Parliament and Council directive on investment services and regulated markets, and amending Council Directive 85/611/EEC, Council Directive 93/6/EEC and European Parliament and Council Directive 2000/12/EC (COM(2002) 625 — C5-0586/2002 — 2002/0269(COD))

(Codecision procedure: first reading)

The European Parliament,

| — | having regard to the Commission proposal to the European Parliament and the Council (COM(2002) 625) (1), |
| --- | --- |

—

having regard to the Commission proposal to the European Parliament and the Council (COM(2002) 625) (1),

| — | having regard to Article 251(2) of the EC Treaty and Article 47(2) of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C5-0586/2002), |
| --- | --- |

—

having regard to Article 251(2) of the EC Treaty and Article 47(2) of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C5-0586/2002),

| — | having regard to Rule 67 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 67 of its Rules of Procedure,

| — | having regard to the report of the Committee on Economic and Monetary Affairs and the opinion of the Committee on Legal Affairs and the Internal Market (A5-0287/2003), |
| --- | --- |

—

having regard to the report of the Committee on Economic and Monetary Affairs and the opinion of the Committee on Legal Affairs and the Internal Market (A5-0287/2003),

| 1. | Approves the Commission proposal as amended; |
| --- | --- |

1.

Approves the Commission proposal as amended;

| 2. | Calls on the Commission to refer the matter to Parliament it intends to amend the proposal substantially or replace it with another text; |
| --- | --- |

2.

Calls on the Commission to refer the matter to Parliament it intends to amend the proposal substantially or replace it with another text;

| 3. | Instructs its President to forward its position to the Council and Commission. |
| --- | --- |

3.

Instructs its President to forward its position to the Council and Commission.

---

(1)  OJ C 71 E, 25.3.2003, p. 62.

P5_TC1-COD(2002)0269

Position of the European Parliement adopted at first reading on 25 September 2003 with a view to the adoption of European Parliament and Council Directive 2003/.../EC on investment services and regulated markets, and amending Council Directives 85/611/EEC and 93/6/EEC and European Parliament and Council Directive 2000/12/EC

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 47(2) thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the European Economic and Social Committee (2),

Having regard to the opinion of the European Central Bank (3),

Acting in accordance with the procedure laid down in Article 251 of the Treaty (4),

Whereas:

| (1) | Council Directive of 10 May 1993 on investment services in the securities field 93/22/EEC (5) sought to establish the conditions under which authorised investment firms and banks could provide specified services or establish branches in other Member States on the basis of home country authorisation and supervision. To this end, that Directive aimed to harmonise the initial authorisation and operating requirements for investment firms including conduct of business rules. It also provided for the harmonisation of some conditions governing the operation of regulated markets. In this respect, it granted Member States the option of allowing retail investors to request execution of their transactions on a regulated market. |
| --- | --- |

(1)

Council Directive of 10 May 1993 on investment services in the securities field 93/22/EEC (5) sought to establish the conditions under which authorised investment firms and banks could provide specified services or establish branches in other Member States on the basis of home country authorisation and supervision. To this end, that Directive aimed to harmonise the initial authorisation and operating requirements for investment firms including conduct of business rules. It also provided for the harmonisation of some conditions governing the operation of regulated markets. In this respect, it granted Member States the option of allowing retail investors to request execution of their transactions on a regulated market.

| (2) | In recent years more investors have become active in the financial markets and are offered an even more complex wide-ranging set of services and instruments. In view of these developments the legal framework of the Community should encompass the full range of investor-oriented activities. To this end, it is necessary to provide for the degree of harmonisation needed to offer investors a high level of protection and to allow investment firms to provide services throughout the Community, being a Single Market, on the basis of home country supervision. In view of the preceding, Directive 93/22/EEC should be replaced by a new Directive. |
| --- | --- |

(2)

In recent years more investors have become active in the financial markets and are offered an even more complex wide-ranging set of services and instruments. In view of these developments the legal framework of the Community should encompass the full range of investor-oriented activities. To this end, it is necessary to provide for the degree of harmonisation needed to offer investors a high level of protection and to allow investment firms to provide services throughout the Community, being a Single Market, on the basis of home country supervision. In view of the preceding, Directive 93/22/EEC should be replaced by a new Directive.

| (3) | Due to the increasing dependence of investors on personal recommendations, it is appropriate to include the provision of investment advice as an investment service requiring authorisation. Therefore proportionate and relevant requirements should be imposed on investment advisors to ensure that the content of personal recommendations is not influenced by factors other than the financial situation, investment objectives, knowledge, risk profile and expertise of the client. Those requirements should not apply to the mere provision of information of a general nature on financial instruments, provided that the purpose of that activity is not to help the client conclude or fulfil a contract for an investment service or financial instrument. In granting authorisation to provide investment advice, the competent authority, or the body to which it delegates this responsibility, should be able to take into account any authorisation conditions required for registration as an insurance intermediary which overlap with the requirements laid down in this Directive. |
| --- | --- |

(3)

Due to the increasing dependence of investors on personal recommendations, it is appropriate to include the provision of investment advice as an investment service requiring authorisation. Therefore proportionate and relevant requirements should be imposed on investment advisors to ensure that the content of personal recommendations is not influenced by factors other than the financial situation, investment objectives, knowledge, risk profile and expertise of the client. Those requirements should not apply to the mere provision of information of a general nature on financial instruments, provided that the purpose of that activity is not to help the client conclude or fulfil a contract for an investment service or financial instrument. In granting authorisation to provide investment advice, the competent authority, or the body to which it delegates this responsibility, should be able to take into account any authorisation conditions required for registration as an insurance intermediary which overlap with the requirements laid down in this Directive.

| (4) | It is appropriate to include in the list of financial instruments commodity derivatives which
  , not being physical spot or forward commodity contracts,
  are constituted and traded in such a way as to give rise to regulatory issues comparable to traditional financial instruments such as certain futures or options contracts traded on regulated markets
  or on a multilateral trading facility (MTF)
  which,
  even though they may
  be physically settled, possess the characteristics of financial instruments and swaps which are settled only in cash and where the amounts to be settled are calculated by reference to values of a full range of underlying prices, rates, indices and other measures. In this respect, regard may be had to whether, inter alia, they are cleared and settled through recognised clearing houses, give rise to daily margin calls, are priced in reference to regularly published prices, standard lots, standard delivery dates or standard terms as opposed to the terms of settlement being specified in individual contracts. |
| --- | --- |

(4)

It is appropriate to include in the list of financial instruments commodity derivatives which
  , not being physical spot or forward commodity contracts,
  are constituted and traded in such a way as to give rise to regulatory issues comparable to traditional financial instruments such as certain futures or options contracts traded on regulated markets
  or on a multilateral trading facility (MTF)
  which,
  even though they may
  be physically settled, possess the characteristics of financial instruments and swaps which are settled only in cash and where the amounts to be settled are calculated by reference to values of a full range of underlying prices, rates, indices and other measures. In this respect, regard may be had to whether, inter alia, they are cleared and settled through recognised clearing houses, give rise to daily margin calls, are priced in reference to regularly published prices, standard lots, standard delivery dates or standard terms as opposed to the terms of settlement being specified in individual contracts.

| (5) | It is important that financial regulation establish a fair and level playing field for the different forms of intermediaries, both regulated markets and investment firms, offering securities execution services and that fair competition be permitted to thrive in order to ensure further efficiency. The twin objectives of regulation should be
  to ensure a high quality of execution of investor transactions and to uphold the integrity and overall efficiency of the financial system. A coherent and risksensitive framework for regulating the main types of order-execution arrangement currently active in the European financial marketplace should
  therefore
  be provided for
  so as
  to preserve the efficient and orderly functioning of financial markets.
  Where trading systems operated by investment firms potentially raise market integrity concerns similar to those raised by regulated markets, they should be regulated as MTFs and subject to similar regulatory principles tailored to their specific circumstances. |
| --- | --- |

(5)

It is important that financial regulation establish a fair and level playing field for the different forms of intermediaries, both regulated markets and investment firms, offering securities execution services and that fair competition be permitted to thrive in order to ensure further efficiency. The twin objectives of regulation should be
  to ensure a high quality of execution of investor transactions and to uphold the integrity and overall efficiency of the financial system. A coherent and risksensitive framework for regulating the main types of order-execution arrangement currently active in the European financial marketplace should
  therefore
  be provided for
  so as
  to preserve the efficient and orderly functioning of financial markets.
  Where trading systems operated by investment firms potentially raise market integrity concerns similar to those raised by regulated markets, they should be regulated as MTFs and subject to similar regulatory principles tailored to their specific circumstances.

| (6) | Definitions of regulated market and MTF should be introduced and closely aligned with each other to reflect the
  extent to which
  they represent
  a similar
  organised trading functionality. The definitions should exclude bilateral systems where the investment firm enters into every trade on own account and not as a riskless counterparty interposed between the buyer and seller. The term ‘buying and selling interests’ is to be understood in a broad sense and includes orders, quotes and indications of interest. The requirement that the interests be ‘brought together ... in the system by means of nondiscretionary rules set by the system operator’ means that they are brought together under the system's rules or by means of the system's protocols or internal operating procedures (including procedures embodied in computer
  software). The
  expression ‘non-discretionary rules’ means that these rules leave the investment firm operating an MTF with no discretion as to how interests may interact. The definitions require that interests be brought together in such a way as to result in a contract, so that execution takes place under the system's rules or by means of the system's protocols or internal operating procedures. |
| --- | --- |

(6)

Definitions of regulated market and MTF should be introduced and closely aligned with each other to reflect the
  extent to which
  they represent
  a similar
  organised trading functionality. The definitions should exclude bilateral systems where the investment firm enters into every trade on own account and not as a riskless counterparty interposed between the buyer and seller. The term ‘buying and selling interests’ is to be understood in a broad sense and includes orders, quotes and indications of interest. The requirement that the interests be ‘brought together ... in the system by means of nondiscretionary rules set by the system operator’ means that they are brought together under the system's rules or by means of the system's protocols or internal operating procedures (including procedures embodied in computer
  software). The
  expression ‘non-discretionary rules’ means that these rules leave the investment firm operating an MTF with no discretion as to how interests may interact. The definitions require that interests be brought together in such a way as to result in a contract, so that execution takes place under the system's rules or by means of the system's protocols or internal operating procedures.

| (7) | The purpose of this Directive is to cover undertakings the
  regular
  business of which is to provide third parties with investment services on a professional basis. Its scope should not therefore cover any person
  or undertaking
  with a different professional activity
  or any person who uses the services of an investment firm to enter into transactions in financial instruments on own account (whether the investment firm enters into the transaction as principal or agent or receives and transmits the order to a third party for execution). |
| --- | --- |

(7)

The purpose of this Directive is to cover undertakings the
  regular
  business of which is to provide third parties with investment services on a professional basis. Its scope should not therefore cover any person
  or undertaking
  with a different professional activity
  or any person who uses the services of an investment firm to enter into transactions in financial instruments on own account (whether the investment firm enters into the transaction as principal or agent or receives and transmits the order to a third party for execution).

| (8) | It is important to recognise that the execution, clearing and settlement of securities trades benefit from economies of scale. To avoid the emergence of monopolistic market structures, it is therefore necessary for regulation to be applied in a proportionate, risk-based manner, which encourages innovation, new market entrants and competition. Regulation should not serve as an unnecessary barrier to entry. |
| --- | --- |

(8)

It is important to recognise that the execution, clearing and settlement of securities trades benefit from economies of scale. To avoid the emergence of monopolistic market structures, it is therefore necessary for regulation to be applied in a proportionate, risk-based manner, which encourages innovation, new market entrants and competition. Regulation should not serve as an unnecessary barrier to entry.

| (9) | Insurance undertakings the activities of which are subject to appropriate monitoring by the competent prudential-supervision authorities and which are subject of Council Directive 64/225/EEC of 25 February 1964 on the abolition of restrictions on freedom of establishment and freedom to provide services in respect of reinsurance and retrocession (6), First Council Directive 73/239/EEC of 24 July 1973 on the coordination of laws, regulations and administrative provisions relating to the taking up and pursuit of direct insurance other than life assurance (7) and First Council Directive 79/267/EEC of 5 March 1979 on the coordination of laws, regulations and administrative provisions relating to the taking up and pursuit of direct life assurance (8) should be excluded. |
| --- | --- |

(9)

Insurance undertakings the activities of which are subject to appropriate monitoring by the competent prudential-supervision authorities and which are subject of Council Directive 64/225/EEC of 25 February 1964 on the abolition of restrictions on freedom of establishment and freedom to provide services in respect of reinsurance and retrocession (6), First Council Directive 73/239/EEC of 24 July 1973 on the coordination of laws, regulations and administrative provisions relating to the taking up and pursuit of direct insurance other than life assurance (7) and First Council Directive 79/267/EEC of 5 March 1979 on the coordination of laws, regulations and administrative provisions relating to the taking up and pursuit of direct life assurance (8) should be excluded.

| (10) | Undertakings which do not provide services for third parties but the business of which consists in providing investment services solely for their parent undertakings, for their subsidiaries, or for other subsidiaries of their parent undertakings should not be covered by this Directive. |
| --- | --- |

(10)

Undertakings which do not provide services for third parties but the business of which consists in providing investment services solely for their parent undertakings, for their subsidiaries, or for other subsidiaries of their parent undertakings should not be covered by this Directive.

| (11) | Persons who provide investment services only on an incidental basis in the course of professional activity should also be excluded from the scope of this Directive, provided that activity is regulated and the relevant rules do not prohibit the provision, on an incidental basis, of investment services. |
| --- | --- |

(11)

Persons who provide investment services only on an incidental basis in the course of professional activity should also be excluded from the scope of this Directive, provided that activity is regulated and the relevant rules do not prohibit the provision, on an incidental basis, of investment services.

| (12) | Firms which provide investment services consisting exclusively in the administration of employee-participation schemes and which therefore do not provide investment services for third parties should not be covered by this Directive. |
| --- | --- |

(12)

Firms which provide investment services consisting exclusively in the administration of employee-participation schemes and which therefore do not provide investment services for third parties should not be covered by this Directive.

| (13) | It is necessary to exclude from the scope of this Directive central banks and other bodies performing similar functions as well as public bodies charged with or intervening in the management of the public debt, which concept covers the investment thereof, with the exception of bodies that are partly or wholly State-owned, the role of which is commercial or linked to the acquisition of holdings. |
| --- | --- |

(13)

It is necessary to exclude from the scope of this Directive central banks and other bodies performing similar functions as well as public bodies charged with or intervening in the management of the public debt, which concept covers the investment thereof, with the exception of bodies that are partly or wholly State-owned, the role of which is commercial or linked to the acquisition of holdings.

| (14) | It is also necessary to exclude from the scope of this Directive collective investment undertakings, whether or not coordinated at Community level, and the depositaries or managers of such undertakings, since they are subject to specific rules directly adapted to their activities. |
| --- | --- |

(14)

It is also necessary to exclude from the scope of this Directive collective investment undertakings, whether or not coordinated at Community level, and the depositaries or managers of such undertakings, since they are subject to specific rules directly adapted to their activities.

| (15) | Firms that provide the investment services covered by this Directive should be subject to authorisation by their home Member States in order to protect investors and the stability of the financial system. |
| --- | --- |

(15)

Firms that provide the investment services covered by this Directive should be subject to authorisation by their home Member States in order to protect investors and the stability of the financial system.

| (16) | The principles of mutual recognition and of home Member State supervision require that the Member States' competent authorities should not grant or should withdraw authorisation where factors such as the content of programmes of operations, the geographical distribution or the activities actually carried out indicate clearly that an investment firm has opted for the legal system of one Member State for the purpose of evading the stricter standards in force in another Member State within the territory of which it intends to carry out or does carry out the greater part of its activities. An investment firm which is a legal person should be authorised in the Member State in which it has its registered office. An investment firm which is not a legal person should be authorised in the Member State in which it has its head office. In addition, Member States should require that an investment firm's head office must always be situated in its home Member State and that it actually operates there. |
| --- | --- |

(16)

The principles of mutual recognition and of home Member State supervision require that the Member States' competent authorities should not grant or should withdraw authorisation where factors such as the content of programmes of operations, the geographical distribution or the activities actually carried out indicate clearly that an investment firm has opted for the legal system of one Member State for the purpose of evading the stricter standards in force in another Member State within the territory of which it intends to carry out or does carry out the greater part of its activities. An investment firm which is a legal person should be authorised in the Member State in which it has its registered office. An investment firm which is not a legal person should be authorised in the Member State in which it has its head office. In addition, Member States should require that an investment firm's head office must always be situated in its home Member State and that it actually operates there.

| (17) | An investment firm authorised in its home Member State should be able to carry out business throughout the Community by whatever means it deems appropriate. |
| --- | --- |

(17)

An investment firm authorised in its home Member State should be able to carry out business throughout the Community by whatever means it deems appropriate.

| (18) | In the interest of the sound and prudent management of the investment firm, special obligations should be imposed on persons who effectively direct the business and persons exercising effective control. Since certain investment firms are exempted from the obligation imposed by Council Directive 93/6/EEC of 15 March 1993 on the capital adequacy of investment firms and credit institutions (9), they should be obliged to hold professional indemnity insurance. The adjustments of the amounts of that insurance should take account adjustments made in the framework of European Parliament and Council Directive 2002/92/EC of 9 December 2002 on insurance mediation (10). This particular treatment for the purposes of capital adequacy should be without prejudice to any decisions regarding the appropriate treatment of these firms under future changes to Community legislation on capital adequacy. No later than the 31 December 2006, the Commission should present a report to the European Parliament and the Council on the application of these provisions accompanied where appropriate by proposals for their revision. These proposals should take account of developments within the Community and other international fora, particularly those pertaining to capital charges on operational risk. |
| --- | --- |

(18)

In the interest of the sound and prudent management of the investment firm, special obligations should be imposed on persons who effectively direct the business and persons exercising effective control. Since certain investment firms are exempted from the obligation imposed by Council Directive 93/6/EEC of 15 March 1993 on the capital adequacy of investment firms and credit institutions (9), they should be obliged to hold professional indemnity insurance. The adjustments of the amounts of that insurance should take account adjustments made in the framework of European Parliament and Council Directive 2002/92/EC of 9 December 2002 on insurance mediation (10). This particular treatment for the purposes of capital adequacy should be without prejudice to any decisions regarding the appropriate treatment of these firms under future changes to Community legislation on capital adequacy. No later than the 31 December 2006, the Commission should present a report to the European Parliament and the Council on the application of these provisions accompanied where appropriate by proposals for their revision. These proposals should take account of developments within the Community and other international fora, particularly those pertaining to capital charges on operational risk.

| (19) | Since the scope of prudential regulation should be limited to those entities which, by virtue of running a trading book on a professional basis, represent a source of counterparty risk to other market participants, entities which deal for their own account in financial instruments, including those commodity derivatives covered by this Directive, on an ancillary basis to their main business, should be excluded from the scope of this Directive. |
| --- | --- |

(19)

Since the scope of prudential regulation should be limited to those entities which, by virtue of running a trading book on a professional basis, represent a source of counterparty risk to other market participants, entities which deal for their own account in financial instruments, including those commodity derivatives covered by this Directive, on an ancillary basis to their main business, should be excluded from the scope of this Directive.

| (20) | Since the prudential framework established by Community law is not currently adapted to the specific situation of
  persons or
  undertakings whose main
  business consists in dealing on own account in commodity derivatives it is appropriate to exclude them from the scope of this Directive. |
| --- | --- |

(20)

Since the prudential framework established by Community law is not currently adapted to the specific situation of
  persons or
  undertakings whose main
  business consists in dealing on own account in commodity derivatives it is appropriate to exclude them from the scope of this Directive.

| (21) | In order to protect an investor's ownership and other similar rights in respect of securities and his rights in respect of funds entrusted to a firm those rights should in particular be protected by being kept distinct from those of the firm. This principle should not, however, prevent a firm from doing business in its name but on behalf of the investor, where that is required by the very nature of the transaction and the investor is in agreement, for example stock lending. |
| --- | --- |

(21)

In order to protect an investor's ownership and other similar rights in respect of securities and his rights in respect of funds entrusted to a firm those rights should in particular be protected by being kept distinct from those of the firm. This principle should not, however, prevent a firm from doing business in its name but on behalf of the investor, where that is required by the very nature of the transaction and the investor is in agreement, for example stock lending.

| (22) | For the purposes of ensuring that retail investors do not enter into unsuitable transactions, access to the systems operated by an MTF should be restricted to
  professional investors, as defined in Annex II,
  for the purposes of trading on own account or on behalf of their customers and other
  professional investors
  . |
| --- | --- |

(22)

For the purposes of ensuring that retail investors do not enter into unsuitable transactions, access to the systems operated by an MTF should be restricted to
  professional investors, as defined in Annex II,
  for the purposes of trading on own account or on behalf of their customers and other
  professional investors
  .

| (23) | The procedures for the authorisation, within the Community, of branches of investment firms authorised in third countries should continue to apply to such firms. Those branches should not enjoy the freedom to provide services under the second paragraph of Article 49 of the Treaty or the right of establishment in Member States other than those in which they are established. In view of cases where the Community is not bound by any bilateral or multilateral obligations it is appropriate to provide for a procedure intended to ensure that Community investment firms receive reciprocal treatment in the third countries concerned. |
| --- | --- |

(23)

The procedures for the authorisation, within the Community, of branches of investment firms authorised in third countries should continue to apply to such firms. Those branches should not enjoy the freedom to provide services under the second paragraph of Article 49 of the Treaty or the right of establishment in Member States other than those in which they are established. In view of cases where the Community is not bound by any bilateral or multilateral obligations it is appropriate to provide for a procedure intended to ensure that Community investment firms receive reciprocal treatment in the third countries concerned.

| (24) | The expanding range of activities that many investment firms and credit institutions undertake simultaneously has increased potential for conflicts of interests between these different activities and the interest of their clients. It is therefore necessary to provide for rules to ensure that such conflicts do not adversely affect client interest. |
| --- | --- |

(24)

The expanding range of activities that many investment firms and credit institutions undertake simultaneously has increased potential for conflicts of interests between these different activities and the interest of their clients. It is therefore necessary to provide for rules to ensure that such conflicts do not adversely affect client interest.

| (25) | It is necessary to strengthen the Community's legal framework to protect investors by enhancing obligations of investment firms when providing services with or on behalf of client. In particular, it is indispensable for an investment firm
  providing advice or discretionary services
  on behalf of a client, in order to properly fulfil its agency obligations to its clients, to obtain information on the client's financial position, experience, and investment objectives and to assess the suitability, for that client, of services or transactions in financial instruments which are being considered in the light of this information. The performance of this assessment should not require a separate authorisation to provide investment advice. |
| --- | --- |

(25)

It is necessary to strengthen the Community's legal framework to protect investors by enhancing obligations of investment firms when providing services with or on behalf of client. In particular, it is indispensable for an investment firm
  providing advice or discretionary services
  on behalf of a client, in order to properly fulfil its agency obligations to its clients, to obtain information on the client's financial position, experience, and investment objectives and to assess the suitability, for that client, of services or transactions in financial instruments which are being considered in the light of this information. The performance of this assessment should not require a separate authorisation to provide investment advice.

| (26) | By way of derogation from the principle of home country authorisation, supervision and enforcement of obligations in respect of the operation of branches, it is appropriate that the competent authority of the host Member State assume responsibility for enforcing conduct of business rules in relation to business conducted with clients through a branch, since that authority is in greatest proximity to the branch, and is better placed to detect and intervene in respect of infringements of rules governing firm-client transactions. |
| --- | --- |

(26)

By way of derogation from the principle of home country authorisation, supervision and enforcement of obligations in respect of the operation of branches, it is appropriate that the competent authority of the host Member State assume responsibility for enforcing conduct of business rules in relation to business conducted with clients through a branch, since that authority is in greatest proximity to the branch, and is better placed to detect and intervene in respect of infringements of rules governing firm-client transactions.

| (27) | It is necessary to impose an effective ‘best execution’ obligation to ensure that the investment firms execute client orders on terms that are
  the best reasonably achievable under the terms of the execution policy agreed between the firm and the client or, in the case of professional clients, in accordance with the client's specific instructions
  . This obligation should apply to the firm which owes contractual or agency obligations to the client — irrespective of whether that firm executes the order itself or relies on another intermediary to do so.
  It is appropriate to require investment firms to have in place effective and efficient procedures so as to be able to demonstrate to the competent authority that it has met its best execution obligations. |
| --- | --- |

(27)

It is necessary to impose an effective ‘best execution’ obligation to ensure that the investment firms execute client orders on terms that are
  the best reasonably achievable under the terms of the execution policy agreed between the firm and the client or, in the case of professional clients, in accordance with the client's specific instructions
  . This obligation should apply to the firm which owes contractual or agency obligations to the client — irrespective of whether that firm executes the order itself or relies on another intermediary to do so.
  It is appropriate to require investment firms to have in place effective and efficient procedures so as to be able to demonstrate to the competent authority that it has met its best execution obligations.

| (28) | In order to enhance confidence in the impartiality and quality of execution services and to improve the overall price-formation process, it is essential that the investment firm which receives a limit order and is unable to execute such an order on specified terms immediately, route it to a ‘regulated market’ or MTF, or disclose the terms of the trading interest to the market in some other way. |
| --- | --- |

(28)

In order to enhance confidence in the impartiality and quality of execution services and to improve the overall price-formation process, it is essential that the investment firm which receives a limit order and is unable to execute such an order on specified terms immediately, route it to a ‘regulated market’ or MTF, or disclose the terms of the trading interest to the market in some other way.

| (29) | This Directive recognises that investors should be fully aware of the potential risks and benefits associated with particular order handling arrangements. To this end, the clients should give their express consent before their orders are executed, in particular against the proprietary positions of the firm. The investment firm should have the right to decide whether to obtain this prior consent on a general basis (e.g. at the outset of the relationship) or on a trade-by-trade basis. |
| --- | --- |

(29)

This Directive recognises that investors should be fully aware of the potential risks and benefits associated with particular order handling arrangements. To this end, the clients should give their express consent before their orders are executed, in particular against the proprietary positions of the firm. The investment firm should have the right to decide whether to obtain this prior consent on a general basis (e.g. at the outset of the relationship) or on a trade-by-trade basis.

| (30) | It is appropriate to determine the conditions under which investment firms can rely on the offices of tied agents. As it performs a limited range of functions on behalf of one investment firm, the tied agent should not be considered an investment firm itself and should not be eligible to undertake its activities in other Member States. Member States should be able to delegate responsibility as regards the authorisation, registration and supervision of tied agents to appropriately resourced and independent self-regulatory bodies. This Directive should be without prejudice to the right of tied agents to undertake related activities in respect of financial services or products not covered by this Directive, including on behalf of parts of the same financial group. The conditions for conducting activities outside the premises of the investment firm (door-to-door selling) should not be covered by this Directive. |
| --- | --- |

(30)

It is appropriate to determine the conditions under which investment firms can rely on the offices of tied agents. As it performs a limited range of functions on behalf of one investment firm, the tied agent should not be considered an investment firm itself and should not be eligible to undertake its activities in other Member States. Member States should be able to delegate responsibility as regards the authorisation, registration and supervision of tied agents to appropriately resourced and independent self-regulatory bodies. This Directive should be without prejudice to the right of tied agents to undertake related activities in respect of financial services or products not covered by this Directive, including on behalf of parts of the same financial group. The conditions for conducting activities outside the premises of the investment firm (door-to-door selling) should not be covered by this Directive.

| (31) | For the purposes of ensuring that conduct of business rules are enforced in respect of those investors most in need of these protections, and in reflection of well-established market practice throughout the Community, it is appropriate to clarify that conduct of business rules may be waived in the case of transactions between eligible counterparties. |
| --- | --- |

(31)

For the purposes of ensuring that conduct of business rules are enforced in respect of those investors most in need of these protections, and in reflection of well-established market practice throughout the Community, it is appropriate to clarify that conduct of business rules may be waived in the case of transactions between eligible counterparties.

| (32) | The mere fact, however, that an entity which is neither a credit institution nor an investment firm may be recognised as ‘eligible counterparty’ should not deprive it of the right to be treated as a client to whom conduct of business or other agency protections are due. |
| --- | --- |

(32)

The mere fact, however, that an entity which is neither a credit institution nor an investment firm may be recognised as ‘eligible counterparty’ should not deprive it of the right to be treated as a client to whom conduct of business or other agency protections are due.

| (33) | With the two-fold aim of protecting investors and ensuring the smooth operation of securities markets, it is necessary to ensure that transparency of transactions is achieved and that the rules laid down for that purpose apply both to investment firms and to credit institutions when they operate on the markets. In order to enable investors or market participants to assess at any time the terms of a transaction on shares that they are considering and to verify afterwards the conditions in which it has been carried out, common rules should be established for the publication of details of completed transactions in shares and disclosure of details of current opportunities to trade in shares. These rules are needed to ensure the effective integration of Member State equity markets, to promote the efficiency of the overall price formation process for equity instruments, and to assist the effective operation of ‘best execution’ obligations. These considerations require a comprehensive transparency regime applicable to all transactions in shares irrespective of their execution by an investment firm on a bilateral basis or through regulated markets or MTF. |
| --- | --- |

(33)

With the two-fold aim of protecting investors and ensuring the smooth operation of securities markets, it is necessary to ensure that transparency of transactions is achieved and that the rules laid down for that purpose apply both to investment firms and to credit institutions when they operate on the markets. In order to enable investors or market participants to assess at any time the terms of a transaction on shares that they are considering and to verify afterwards the conditions in which it has been carried out, common rules should be established for the publication of details of completed transactions in shares and disclosure of details of current opportunities to trade in shares. These rules are needed to ensure the effective integration of Member State equity markets, to promote the efficiency of the overall price formation process for equity instruments, and to assist the effective operation of ‘best execution’ obligations. These considerations require a comprehensive transparency regime applicable to all transactions in shares irrespective of their execution by an investment firm on a bilateral basis or through regulated markets or MTF.

| (34) | In order to ensure a degree of pre-trade information needed to support the efficient formation of prices in shares and to allow market participants to determine the most favourable terms for concluding transactions, it is appropriate to require investment firms dealing on own account to make public a firm two-sided quote for transactions of a specified size in respect of liquid shares. |
| --- | --- |

(34)

In order to ensure a degree of pre-trade information needed to support the efficient formation of prices in shares and to allow market participants to determine the most favourable terms for concluding transactions, it is appropriate to require investment firms dealing on own account to make public a firm two-sided quote for transactions of a specified size in respect of liquid shares.

| (35) | Investment firms should all have the same opportunities of joining or having access to regulated markets throughout the Community. Regardless of the manner in which transactions are at present organised in the Member States, it is important to abolish the technical and legal restrictions on direct, indirect and remote access to the regulated markets. |
| --- | --- |

(35)

Investment firms should all have the same opportunities of joining or having access to regulated markets throughout the Community. Regardless of the manner in which transactions are at present organised in the Member States, it is important to abolish the technical and legal restrictions on direct, indirect and remote access to the regulated markets.

| (36) | In order to facilitate the finalisation of cross-border transactions, it is also appropriate to provide for the access to clearing and settlement systems throughout the Community, by investment firms including those operating an MTF, irrespective of whether transactions have been concluded through regulated markets in the Member State concerned. Investment firms which wish to participate directly in partner country settlement systems should comply with the relevant operational and commercial requirements for membership and the prudential measures to uphold the smooth and orderly functioning of the financial markets. |
| --- | --- |

(36)

In order to facilitate the finalisation of cross-border transactions, it is also appropriate to provide for the access to clearing and settlement systems throughout the Community, by investment firms including those operating an MTF, irrespective of whether transactions have been concluded through regulated markets in the Member State concerned. Investment firms which wish to participate directly in partner country settlement systems should comply with the relevant operational and commercial requirements for membership and the prudential measures to uphold the smooth and orderly functioning of the financial markets.

| (37) | The authorisation to operate a regulated market should extend to all activities which are directly related to the display, processing, execution, confirmation and reporting of orders from the point at which such orders are received by the regulated market to the point at which they are transmitted for subsequent finalisation, and to activities related to the admission of financial instruments to trading. This should also include transactions concluded through the medium of designated market makers appointed by the regulated market which are undertaken under its rules and systems. |
| --- | --- |

(37)

The authorisation to operate a regulated market should extend to all activities which are directly related to the display, processing, execution, confirmation and reporting of orders from the point at which such orders are received by the regulated market to the point at which they are transmitted for subsequent finalisation, and to activities related to the admission of financial instruments to trading. This should also include transactions concluded through the medium of designated market makers appointed by the regulated market which are undertaken under its rules and systems.

| (38) | Operators of a regulated market should also be able to operate an MTF without being required to obtain additional authorisation as an investment firm. |
| --- | --- |

(38)

Operators of a regulated market should also be able to operate an MTF without being required to obtain additional authorisation as an investment firm.

| (39) | The provisions of this Directive concerning the admission of instruments to trading under the rules enforced by the regulated market should be without prejudice to the application of Directive 2001/34/EC of the European Parliament and of the Council of 28 May 2001 on the admission of securities to official stock exchange listing and on information to be published on those securities (11). A regulated market should not be prevented from applying more demanding requirements in respect of the issuers of securities or instruments which it is considering for admission to trading than are imposed pursuant to this Directive. |
| --- | --- |

(39)

The provisions of this Directive concerning the admission of instruments to trading under the rules enforced by the regulated market should be without prejudice to the application of Directive 2001/34/EC of the European Parliament and of the Council of 28 May 2001 on the admission of securities to official stock exchange listing and on information to be published on those securities (11). A regulated market should not be prevented from applying more demanding requirements in respect of the issuers of securities or instruments which it is considering for admission to trading than are imposed pursuant to this Directive.

| (40) | Member States should be able to designate different competent authorities to enforce the wide-ranging obligations laid down in this Directive. Such authorities should be public, thereby guaranteeing their independence of economic actors and avoiding conflicts of interest. The designation of public authorities should not exclude delegation under the responsibility of the competent authority. |
| --- | --- |

(40)

Member States should be able to designate different competent authorities to enforce the wide-ranging obligations laid down in this Directive. Such authorities should be public, thereby guaranteeing their independence of economic actors and avoiding conflicts of interest. The designation of public authorities should not exclude delegation under the responsibility of the competent authority.

| (41) | It is necessary to enhance convergence of powers at the disposal of competent authorities so as to pave the way towards an equivalent degree of enforcement across the integrated financial market. A common minimum set of powers coupled with adequate resources should guarantee supervisory effectiveness. |
| --- | --- |

(41)

It is necessary to enhance convergence of powers at the disposal of competent authorities so as to pave the way towards an equivalent degree of enforcement across the integrated financial market. A common minimum set of powers coupled with adequate resources should guarantee supervisory effectiveness.

| (42) | With a view to protecting clients and without prejudice to the right of customers to bring their action before the courts, it is appropriate that Member States encourage public or private bodies established with a view to settling disputes out-of-court, to cooperate in resolving cross-border disputes, taking into account Commission Recommendation 98/257/EC of 30 March 1998 on the principles applicable to the bodies responsible for out-of-court settlement of consumer disputes (12). When implementing provisions on complaints and redress procedures for out-of-court settlements, Member States should use existing cross border co-operation mechanisms, notably the Financial Services Complaints Network (FIN-Net). |
| --- | --- |

(42)

With a view to protecting clients and without prejudice to the right of customers to bring their action before the courts, it is appropriate that Member States encourage public or private bodies established with a view to settling disputes out-of-court, to cooperate in resolving cross-border disputes, taking into account Commission Recommendation 98/257/EC of 30 March 1998 on the principles applicable to the bodies responsible for out-of-court settlement of consumer disputes (12). When implementing provisions on complaints and redress procedures for out-of-court settlements, Member States should use existing cross border co-operation mechanisms, notably the Financial Services Complaints Network (FIN-Net).

| (43) | It is necessary to reinforce provisions on exchange of information between national competent authorities and to strengthen the duties of assistance and cooperation which they owe to each other. Due to increasing cross-border activity, competent authorities should provide each other with the relevant information for the exercise of their functions, so as to ensure the effective enforcement of this Directive including in situations where infringements or suspected infringements may be of concern to authorities in two or more Member States. In the exchange of information, strict professional secrecy is needed to ensure the smooth transmission of that information and the protection of particular rights. |
| --- | --- |

(43)

It is necessary to reinforce provisions on exchange of information between national competent authorities and to strengthen the duties of assistance and cooperation which they owe to each other. Due to increasing cross-border activity, competent authorities should provide each other with the relevant information for the exercise of their functions, so as to ensure the effective enforcement of this Directive including in situations where infringements or suspected infringements may be of concern to authorities in two or more Member States. In the exchange of information, strict professional secrecy is needed to ensure the smooth transmission of that information and the protection of particular rights.

| (44) | At its meeting on 17 July 2000, the Council set up the Committee of Wise Men on the Regulation of European Securities Markets. In its final report, the Committee of Wise Men proposed the introduction of new legislative techniques based on a four-level approach, namely framework principles, implementing measures, cooperation and enforcement. Level 1, the Directive, should confine itself to broad general ‘framework’ principles while Level 2 should contain technical implementing measures to be adopted by the Commission with the assistance of a committee. |
| --- | --- |

(44)

At its meeting on 17 July 2000, the Council set up the Committee of Wise Men on the Regulation of European Securities Markets. In its final report, the Committee of Wise Men proposed the introduction of new legislative techniques based on a four-level approach, namely framework principles, implementing measures, cooperation and enforcement. Level 1, the Directive, should confine itself to broad general ‘framework’ principles while Level 2 should contain technical implementing measures to be adopted by the Commission with the assistance of a committee.

| (45) | The Resolution adopted by the Stockholm European Council of 23 March 2001 endorsed the final report of the Committee of Wise Men and the proposed four-level approach to make the regulatory process for Community securities legislation more efficient and transparent. |
| --- | --- |

(45)

The Resolution adopted by the Stockholm European Council of 23 March 2001 endorsed the final report of the Committee of Wise Men and the proposed four-level approach to make the regulatory process for Community securities legislation more efficient and transparent.

| (46) | According to the Stockholm European Council, Level 2 implementing measures should be used more frequently, to ensure that technical provisions can be kept up to date with market and supervisory developments, and deadlines should be set for all stages of Level 2 work. |
| --- | --- |

(46)

According to the Stockholm European Council, Level 2 implementing measures should be used more frequently, to ensure that technical provisions can be kept up to date with market and supervisory developments, and deadlines should be set for all stages of Level 2 work.

| (47) | The Resolution of the European Parliament of 5 February 2002 on the implementation of financial services legislation also endorsed the Committee of Wise Men's report, on the basis of the solemn declaration made before Parliament the same day by the Commission and the letter of 2 October 2001 addressed by the Internal Market Commissioner to the chairman of Parliament's Committee on Economic and Monetary Affairs with regard to the safeguards for the European Parliament's role in this process. |
| --- | --- |

(47)

The Resolution of the European Parliament of 5 February 2002 on the implementation of financial services legislation also endorsed the Committee of Wise Men's report, on the basis of the solemn declaration made before Parliament the same day by the Commission and the letter of 2 October 2001 addressed by the Internal Market Commissioner to the chairman of Parliament's Committee on Economic and Monetary Affairs with regard to the safeguards for the European Parliament's role in this process.

| (48) | The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (13). |
| --- | --- |

(48)

The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (13).

| (49) | The European Parliament should be given a period of three months from the first transmission of draft implementing measures to allow it to examine them and to give its opinion. However, in urgent and duly justified cases, this period may be shortened. If, within that period, a resolution is passed by the European Parliament, the Commission should re-examine the draft measures. |
| --- | --- |

(49)

The European Parliament should be given a period of three months from the first transmission of draft implementing measures to allow it to examine them and to give its opinion. However, in urgent and duly justified cases, this period may be shortened. If, within that period, a resolution is passed by the European Parliament, the Commission should re-examine the draft measures.

| (50) | With a view to taking into account further developments in the financial markets the Commission should submit reports to the European Parliament and the Council on the application of the provisions concerning professional indemnity insurance, the scope of the transparency rules and the possible authorisation of specialised dealers in commodity derivatives as investment firms
  , which should include, in the latter case, a review of whether it is appropriate to make changes to the rules on regulatory capital laid down in Directive 93/6/EEC so as to ensure that those rules are proportionate in relation to the business of dealing in:










  (a) | futures/options which contain a contractual requirement for physical settlement, |
| --- | --- | --- |

(50)

With a view to taking into account further developments in the financial markets the Commission should submit reports to the European Parliament and the Council on the application of the provisions concerning professional indemnity insurance, the scope of the transparency rules and the possible authorisation of specialised dealers in commodity derivatives as investment firms
  , which should include, in the latter case, a review of whether it is appropriate to make changes to the rules on regulatory capital laid down in Directive 93/6/EEC so as to ensure that those rules are proportionate in relation to the business of dealing in:

(a)

futures/options which contain a contractual requirement for physical settlement,

| (b) | commodities, and |
| --- | --- |

(b)

commodities, and

| (c) | commodity derivatives. |
| --- | --- |

(c)

commodity derivatives.

| (51) | Council Directive 85/611/EEC of 20 December 1985 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (14), Directive 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council of 20 March 2000 relating to the taking up and pursuit of the business of credit institutions (15) should be amended in order to align them with the provisions of this Directive. |
| --- | --- |

(51)

Council Directive 85/611/EEC of 20 December 1985 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (14), Directive 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council of 20 March 2000 relating to the taking up and pursuit of the business of credit institutions (15) should be amended in order to align them with the provisions of this Directive.

| (52) | The objectives of creating an integrated financial market in which investors are effectively protected and the efficiency and integrity of the overall market are safeguarded, require the establishment of common regulatory requirements relating to investment firms wherever they are authorised in the Community and governing the functioning of regulated markets and other trading systems so as to prevent opacity or disruption on one market from undermining the efficient operation of European financial system as a whole. Given that these objectives may be better achieved at Community level, the Community may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives, |
| --- | --- |

(52)

The objectives of creating an integrated financial market in which investors are effectively protected and the efficiency and integrity of the overall market are safeguarded, require the establishment of common regulatory requirements relating to investment firms wherever they are authorised in the Community and governing the functioning of regulated markets and other trading systems so as to prevent opacity or disruption on one market from undermining the efficient operation of European financial system as a whole. Given that these objectives may be better achieved at Community level, the Community may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives,

HAVE ADOPTED THIS DIRECTIVE:

TITLE I

DEFINITIONS AND SCOPE

Article 1

Scope

1.   This Directive shall apply to investment firms and
  operators of
  regulated markets.

2.   Articles 12 and 13 and Chapters II and II of Title II
  (with the exception of Articles 29 and 30)
  shall apply also to credit institutions authorised under Directive 2000/12/EC to perform one or more investment services.

Article 2

Exemptions

1.   This Directive shall not apply to:

| (a) | insurance undertakings as defined in Article 1 of Directive 73/239/EEC or in Article 1 of Directive 79/267/EEC or undertakings carrying on the reinsurance and retrocession activities referred to in Directive 64/225/EEC; |
| --- | --- |

(a)

insurance undertakings as defined in Article 1 of Directive 73/239/EEC or in Article 1 of Directive 79/267/EEC or undertakings carrying on the reinsurance and retrocession activities referred to in Directive 64/225/EEC;

| (b) | firms which provide investment services exclusively for their parent undertakings, for their subsidiaries or for other subsidiaries of their parent undertakings; |
| --- | --- |

(b)

firms which provide investment services exclusively for their parent undertakings, for their subsidiaries or for other subsidiaries of their parent undertakings;

| (c) | persons providing an investment service where that service is provided in an incidental manner in the course of a professional activity and that activity is regulated by legal or regulatory provisions or a code of ethics governing the profession which do not exclude the provision of that service; |
| --- | --- |

(c)

persons providing an investment service where that service is provided in an incidental manner in the course of a professional activity and that activity is regulated by legal or regulatory provisions or a code of ethics governing the profession which do not exclude the provision of that service;

| (d) | firms which provide investment services consisting exclusively in the administration of employee-participation
  schemes; |
| --- | --- |

(d)

firms which provide investment services consisting exclusively in the administration of employee-participation
  schemes;

| (e) | the
  members of the European System of Central Banks and other national bodies performing similar functions and other public bodies charged with or intervening in the management of the public debt; |
| --- | --- |

(e)

the
  members of the European System of Central Banks and other national bodies performing similar functions and other public bodies charged with or intervening in the management of the public debt;

| (f) | collective investment undertakings whether co-ordinated at Community level or not and the depositaries and managers of such undertakings; |
| --- | --- |

(f)

collective investment undertakings whether co-ordinated at Community level or not and the depositaries and managers of such undertakings;

| (g) | persons
  or undertakings
  dealing on own account in financial instruments as an ancillary activity to their main business, where that main business is not the provision of investment services within the meaning of this Directive or banking services under Directive 2000/12/EC; |
| --- | --- |

(g)

persons
  or undertakings
  dealing on own account in financial instruments as an ancillary activity to their main business, where that main business is not the provision of investment services within the meaning of this Directive or banking services under Directive 2000/12/EC;

| (h) | persons or
  undertakings whose main
  business consists
  of dealing on own account in
  any
  derivatives
  referred to in points 4 or 6 of Section C of Annex I (except those in respect of securities, prices of securities, interest rates or yields or foreign exchange rates) and/or trading in commodities; |
| --- | --- |

(h)

persons or
  undertakings whose main
  business consists
  of dealing on own account in
  any
  derivatives
  referred to in points 4 or 6 of Section C of Annex I (except those in respect of securities, prices of securities, interest rates or yields or foreign exchange rates) and/or trading in commodities;

| (i) | persons or undertakings
  which provide investment services consisting exclusively in dealing on their own account on
  futures, options or other derivatives
  markets
  under the rules of those markets
  or which deal for the accounts of other members of those markets or make prices for them and which are guaranteed by clearing members of the same markets, and where responsibility for ensuring the performance of contracts entered into by such
  persons or undertakings
  is assumed by clearing members of the same markets; |
| --- | --- |

(i)

persons or undertakings
  which provide investment services consisting exclusively in dealing on their own account on
  futures, options or other derivatives
  markets
  under the rules of those markets
  or which deal for the accounts of other members of those markets or make prices for them and which are guaranteed by clearing members of the same markets, and where responsibility for ensuring the performance of contracts entered into by such
  persons or undertakings
  is assumed by clearing members of the same markets;

| (j) | associations set up by Danish pension funds with the sole aim of managing the assets of pension funds that are members of those associations; |
| --- | --- |

(j)

associations set up by Danish pension funds with the sole aim of managing the assets of pension funds that are members of those associations;

| (k) | ‘agenti di cambio’ whose activities and functions are governed by Article 201 of Italian Legislative Decree No 58 of 28 February 1998; |
| --- | --- |

(k)

‘agenti di cambio’ whose activities and functions are governed by Article 201 of Italian Legislative Decree No 58 of 28 February 1998;

| (l) | firms which may not provide any investment service except the reception and transmission of orders and investment advice in units in collective investment undertakings and which do not hold client's funds and which for that reason may not at any time place themselves in debit with their clients, and which in the course of providing that service may transmit orders only to










  (i) | investment firms authorised in accordance with this Directive; |
| --- | --- | --- |

(l)

firms which may not provide any investment service except the reception and transmission of orders and investment advice in units in collective investment undertakings and which do not hold client's funds and which for that reason may not at any time place themselves in debit with their clients, and which in the course of providing that service may transmit orders only to

(i)

investment firms authorised in accordance with this Directive;

| (ii) | credit institutions authorised in accordance with Directive 2000/12/EC; |
| --- | --- |

(ii)

credit institutions authorised in accordance with Directive 2000/12/EC;

| (iii) | branches of investment firms or of credit institutions which are authorised in a third country and which are subject to and comply with prudential rules considered by the competent authorities as at least as strict as those laid down in this Directive, in Directive 2000/12/EC or in Directive 93/6/EEC; |
| --- | --- |

(iii)

branches of investment firms or of credit institutions which are authorised in a third country and which are subject to and comply with prudential rules considered by the competent authorities as at least as strict as those laid down in this Directive, in Directive 2000/12/EC or in Directive 93/6/EEC;

| (iv) | collective investment undertakings authorised under the law of a Member State to market units to the public and to the managers of such undertakings; |
| --- | --- |

(iv)

collective investment undertakings authorised under the law of a Member State to market units to the public and to the managers of such undertakings;

| (v) | investment companies with fixed capital, as defined in Article 15(4) of Directive 77/91/EEC, the securities of which are listed or dealt in on a regulated market in a Member State; |
| --- | --- |

(v)

investment companies with fixed capital, as defined in Article 15(4) of Directive 77/91/EEC, the securities of which are listed or dealt in on a regulated market in a Member State;

Member States may exempt natural and legal persons from the scope of this Directive where they only provide investment advice and transmit orders concerning units in collective investment undertakings, and carry out these activities solely on a national basis, without any cross-border activity.

2.   The rights conferred by this Directive shall not extend to the provision of services as counterparty in transactions carried out by members of the European System of Central Banks performing their tasks as provided for by the Treaty and the Statute of the European System of Central Banks and of the European Central Bank.

3.   In order to take account of developments on financial markets, and to ensure the uniform application of this Directive, the Commission, acting in accordance with the procedure referred to in Article 60(2), may clarify the exemptions provided for under paragraph 1 of this Article.

Article 3

Definitions

1.   For the purposes of this Directive, the following definitions shall apply:

| (1) | ‘Investment firm’ means any legal person whose regular occupation or business is the provision of investment services on a professional basis
  to third parties
  ; |
| --- | --- |

(1)

‘Investment firm’ means any legal person whose regular occupation or business is the provision of investment services on a professional basis
  to third parties
  ;

| (2) | ‘Investment service’ means any of the services,
  provided for third parties,
  listed in Section A of Annex I relating to any of the instruments listed in Section C of Annex I; |
| --- | --- |

(2)

‘Investment service’ means any of the services,
  provided for third parties,
  listed in Section A of Annex I relating to any of the instruments listed in Section C of Annex I;

| (3) | ‘Ancillary service’ means any of the services listed in Section B of Annex I relating to any of the instruments listed in Section C of Annex I; |
| --- | --- |

(3)

‘Ancillary service’ means any of the services listed in Section B of Annex I relating to any of the instruments listed in Section C of Annex I;

| (4) | ‘Investment advice’ means the provision of personal recommendation to a client in respect of one or more transactions relating to financial instruments; |
| --- | --- |

(4)

‘Investment advice’ means the provision of personal recommendation to a client in respect of one or more transactions relating to financial instruments;

| (5) | ‘Execution of orders on behalf of clients’ means acting as an agent to conclude agreements to buy or sell one or more financial instruments on behalf of clients,
  including acting on behalf of clients to conclude transactions in financial instruments on a regulated market or MTF, or any comparable third-country system, where the firm acts as principal by virtue of the rules of that market or system; |
| --- | --- |

(5)

‘Execution of orders on behalf of clients’ means acting as an agent to conclude agreements to buy or sell one or more financial instruments on behalf of clients,
  including acting on behalf of clients to conclude transactions in financial instruments on a regulated market or MTF, or any comparable third-country system, where the firm acts as principal by virtue of the rules of that market or system;

| (6) | ‘Dealing on own account’ means active trading against proprietary capital, on a regular and professional basis, resulting in the conclusion of transactions in one or more financial instruments
  and not based on a previous request or a mandate of a third party; |
| --- | --- |

(6)

‘Dealing on own account’ means active trading against proprietary capital, on a regular and professional basis, resulting in the conclusion of transactions in one or more financial instruments
  and not based on a previous request or a mandate of a third party;

| (7) | ‘Client’ means any natural or legal person
  to whom an investment firm provides investment or ancillary services
  ; |
| --- | --- |

(7)

‘Client’ means any natural or legal person
  to whom an investment firm provides investment or ancillary services
  ;

| (8) | ‘Professional client’ means a client
  falling within
  the criteria and procedures laid down in Annex II; |
| --- | --- |

(8)

‘Professional client’ means a client
  falling within
  the criteria and procedures laid down in Annex II;

| (9) | ‘Retail client’ means a client who is not a professional client; |
| --- | --- |

(9)

‘Retail client’ means a client who is not a professional client;

| (10) | ‘Market operator’ means a
  legal
  person or persons who effectively direct the business of a regulated market; |
| --- | --- |

(10)

‘Market operator’ means a
  legal
  person or persons who effectively direct the business of a regulated market;

| (11) | ‘Regulated market’ means a multilateral system, operated by a market operator, which brings together multiple third-party buying and selling interests in financial instruments — in the system and in accordance with non-discretionary rules — in a way that results in a contract, in respect of the financial instruments admitted to trading under its rules and systems, and which is authorised and functions regularly and in accordance with the provisions of Title III; |
| --- | --- |

(11)

‘Regulated market’ means a multilateral system, operated by a market operator, which brings together multiple third-party buying and selling interests in financial instruments — in the system and in accordance with non-discretionary rules — in a way that results in a contract, in respect of the financial instruments admitted to trading under its rules and systems, and which is authorised and functions regularly and in accordance with the provisions of Title III;

| (12) | ‘Multilateral trading facility’ (MTF) means a multilateral system which brings together multiple thirdparty buying and selling interests in financial instruments — in the system and in accordance with non-discretionary
  rules and trading methodologies
  — in a way that results in a contract
  and which is authorised and functions in accordance with the provisions of Title II; |
| --- | --- |

(12)

‘Multilateral trading facility’ (MTF) means a multilateral system which brings together multiple thirdparty buying and selling interests in financial instruments — in the system and in accordance with non-discretionary
  rules and trading methodologies
  — in a way that results in a contract
  and which is authorised and functions in accordance with the provisions of Title II;

| (13) | ‘Market order’ means an order to buy or sell a financial instrument at the best available price
  for a specified size
  ; |
| --- | --- |

(13)

‘Market order’ means an order to buy or sell a financial instrument at the best available price
  for a specified size
  ;

| (14) | ‘Limit order’ means an order to buy or sell a financial instrument at its specified limit or better
  for a specified size and without other conditions attached; |
| --- | --- |

(14)

‘Limit order’ means an order to buy or sell a financial instrument at its specified limit or better
  for a specified size and without other conditions attached;

| (15) | ‘Financial instrument’ means those instruments specified in Section C of Annex I; |
| --- | --- |

(15)

‘Financial instrument’ means those instruments specified in Section C of Annex I;

| (16) | ‘Transferable securities’ means those classes of securities which are negotiable on the capital market, with the exception of instruments of payment, such as:






  (a) | shares in companies and other securities equivalent to shares in companies, partnership or other entities, and depositary receipts in respect of shares; |
| --- | --- | --- |

(16)

‘Transferable securities’ means those classes of securities which are negotiable on the capital market, with the exception of instruments of payment, such as:

(a)

shares in companies and other securities equivalent to shares in companies, partnership or other entities, and depositary receipts in respect of shares;

| (b) | bonds or other forms of securitised debt,
  and depositary receipts in respect of bonds
  . |
| --- | --- |

(b)

bonds or other forms of securitised debt,
  and depositary receipts in respect of bonds
  .

| (c) | any other securities giving the right to acquire or sell any such transferable securities or giving rise to a cash settlement determined by reference to transferable securities, currencies, interest rates or yields, commodities or other indices or measures; |
| --- | --- |

(c)

any other securities giving the right to acquire or sell any such transferable securities or giving rise to a cash settlement determined by reference to transferable securities, currencies, interest rates or yields, commodities or other indices or measures;

| (17) | ‘Money-market instruments’ means those classes of instruments which are normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers and excluding instruments of payment; |
| --- | --- |

(17)

‘Money-market instruments’ means those classes of instruments which are normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers and excluding instruments of payment;

| (18) | ‘Home Member State’ means:






  (a) | in the case of investment firms:






  (i) | if the investment firm is a natural person, the Member State in which its head office is situated; |
| --- | --- | --- | --- |

(18)

‘Home Member State’ means:

(a)

in the case of investment firms:

(i)

if the investment firm is a natural person, the Member State in which its head office is situated;

| (ii) | if the investment firm is a legal person, the Member State in which its registered office is situated. In this case, the competent authority shall also ensure that the head office of the firm is located in this Member State; |
| --- | --- |

(ii)

if the investment firm is a legal person, the Member State in which its registered office is situated. In this case, the competent authority shall also ensure that the head office of the firm is located in this Member State;

| (iii) | if the investment firm has, under its national law, no registered office, the Member State in which its head office is situated; |
| --- | --- |

(iii)

if the investment firm has, under its national law, no registered office, the Member State in which its head office is situated;

| (b) | in the case
  of the operator
  of a regulated market, the Member State in which the
  market operator
  is registered or, if under the law of that Member State it has no registered office, the Member State in which the head office of the
  market operator
  is situated; |
| --- | --- |

(b)

in the case
  of the operator
  of a regulated market, the Member State in which the
  market operator
  is registered or, if under the law of that Member State it has no registered office, the Member State in which the head office of the
  market operator
  is situated;

| (c) | in the case of a regulated market, the Member State granting the authorisation as a regulated market; |
| --- | --- |

(c)

in the case of a regulated market, the Member State granting the authorisation as a regulated market;

| (19) | ‘Host Member State’ means:






  (a) | in the case of investment firms,
  the Member State in which
  the
  investment firm has a branch or provides services; |
| --- | --- | --- |

(19)

‘Host Member State’ means:

(a)

in the case of investment firms,
  the Member State in which
  the
  investment firm has a branch or provides services;

| (b) | in the case of the operator of a regulated market, the Member State other than the home Member State where the market operator operates a regulated market or provides services; |
| --- | --- |

(b)

in the case of the operator of a regulated market, the Member State other than the home Member State where the market operator operates a regulated market or provides services;

| (20) | ‘Competent authority’ means the authority, designated by the home Member State in accordance with Article 46, unless otherwise specified in this Directive; |
| --- | --- |

(20)

‘Competent authority’ means the authority, designated by the home Member State in accordance with Article 46, unless otherwise specified in this Directive;

| (21) | ‘Credit institutions’ means credit institutions as defined under Directive 2000/12/EC; |
| --- | --- |

(21)

‘Credit institutions’ means credit institutions as defined under Directive 2000/12/EC;

| (22) | ‘UCITS Management company’ means a management company as defined in Directive 85/611/EEC; |
| --- | --- |

(22)

‘UCITS Management company’ means a management company as defined in Directive 85/611/EEC;

| (23) | ‘Tied agent’ means a natural or legal person who, without being considered as an investment firm for the purposes of this Directive, promotes the investment and ancillary services of
  the
  investment
  firms for which it acts
  to clients or prospective clients, collects and transmits instructions or orders from the client in respect of investment services or financial instruments to
  those
  investment
  firms
  , and provides advice to clients or prospective clients in respect of the financial instruments or services offered by
  those
  investment
  firms
  under the full and unconditional responsibility of the investment
  firms
  on whose behalf it acts; |
| --- | --- |

(23)

‘Tied agent’ means a natural or legal person who, without being considered as an investment firm for the purposes of this Directive, promotes the investment and ancillary services of
  the
  investment
  firms for which it acts
  to clients or prospective clients, collects and transmits instructions or orders from the client in respect of investment services or financial instruments to
  those
  investment
  firms
  , and provides advice to clients or prospective clients in respect of the financial instruments or services offered by
  those
  investment
  firms
  under the full and unconditional responsibility of the investment
  firms
  on whose behalf it acts;

| (24) | ‘Systematic internalisation’ means the execution, on a systematic, regular and continuous basis, of:










  1) | orders up to a standard market size undertaken by any type of clients or counterparties, |
| --- | --- | --- |

(24)

‘Systematic internalisation’ means the execution, on a systematic, regular and continuous basis, of:

1)

orders up to a standard market size undertaken by any type of clients or counterparties,

| 2) | in shares admitted to or included in trading on a regulated market, |
| --- | --- |

2)

in shares admitted to or included in trading on a regulated market,

| 3) | on own account or by means of matching with other client orders, |
| --- | --- |

3)

on own account or by means of matching with other client orders,

| 4) | within a system, a component of which is primarily aimed at facilitating the activities set out in points (1) to (3), |
| --- | --- |

4)

within a system, a component of which is primarily aimed at facilitating the activities set out in points (1) to (3),

| 5) | outside the rules or systems of a regulated market or MTF. |
| --- | --- |

5)

outside the rules or systems of a regulated market or MTF.

| (25) | ‘Branch’ means a place of business,
  other than the head office,
  which is part of an investment firm, which has no legal personality and which provides investment services
  or ancillary services
  for which the investment firm has been authorised; |
| --- | --- |

(25)

‘Branch’ means a place of business,
  other than the head office,
  which is part of an investment firm, which has no legal personality and which provides investment services
  or ancillary services
  for which the investment firm has been authorised;

| (26) | ‘Qualifying holding’ means any direct or indirect holding in an investment firm which represents 10% or more of the capital or of the voting rights, as set out in Article 7 of Council Directive 88/627/EEC (16), or which makes it possible to exercise a significant influence over the management of the investment firm in which that holding subsists; |
| --- | --- |

(26)

‘Qualifying holding’ means any direct or indirect holding in an investment firm which represents 10% or more of the capital or of the voting rights, as set out in Article 7 of Council Directive 88/627/EEC (16), or which makes it possible to exercise a significant influence over the management of the investment firm in which that holding subsists;

| (27) | ‘Parent undertaking’ means a parent undertaking as defined in Articles 1 and 2 of Council Directive 83/349/EEC (17); |
| --- | --- |

(27)

‘Parent undertaking’ means a parent undertaking as defined in Articles 1 and 2 of Council Directive 83/349/EEC (17);

| (28) | ‘Subsidiary’ means a subsidiary undertaking as defined in Articles 1 and 2 of Directive 83/349/EEC, including any subsidiary of a subsidiary undertaking of an ultimate parent undertaking; |
| --- | --- |

(28)

‘Subsidiary’ means a subsidiary undertaking as defined in Articles 1 and 2 of Directive 83/349/EEC, including any subsidiary of a subsidiary undertaking of an ultimate parent undertaking;

| (29) | ‘Control’ means control as defined in Article 1 of Directive 83/349/EEC; |
| --- | --- |

(29)

‘Control’ means control as defined in Article 1 of Directive 83/349/EEC;

| (30) | ‘Close links’ means a situation in which two or more natural or legal persons are linked by:






  (a) | participation which means the ownership, direct or by way of control, of 20% or more of the voting rights or capital of an undertaking, |
| --- | --- | --- |

(30)

‘Close links’ means a situation in which two or more natural or legal persons are linked by:

(a)

participation which means the ownership, direct or by way of control, of 20% or more of the voting rights or capital of an undertaking,

| (b) | control which means the relationship between a parent undertaking and a subsidiary, in all the cases referred to in Article 1(1) and (2) of Directive 83/349/EEC, or a similar relationship between any natural or legal person and an undertaking, any subsidiary undertaking of a subsidiary undertaking also being considered a subsidiary of the parent undertaking which is at the head of those undertakings. |
| --- | --- |

(b)

control which means the relationship between a parent undertaking and a subsidiary, in all the cases referred to in Article 1(1) and (2) of Directive 83/349/EEC, or a similar relationship between any natural or legal person and an undertaking, any subsidiary undertaking of a subsidiary undertaking also being considered a subsidiary of the parent undertaking which is at the head of those undertakings.

A situation in which two or more natural or legal persons are permanently linked to one and the same person by a control relationship shall also be regarded as constituting a close link between such persons.

2.   In order to take account of developments on financial markets, and to ensure the uniform application of this Directive, the Commission, acting in accordance with the procedure referred to in Article 60(2), may clarify the definitions provided in paragraph 1 of this Article.

TITLE II

AUTHORISATION AND OPERATING CONDITIONS FOR INVESTMENT FIRMS

CHAPTER I

CONDITIONS AND PROCEDURES FOR AUTHORISATION

Article 4

Requirement for authorisation

1.   Each Member State shall reserve the provision of investment services
  under this Directive
  to investment firms. It shall ensure that all investment firms for which it is the home Member State operate only after authorisation in accordance with the provisions of this Directive.

Notwithstanding subparagraph 1, the Member States may waive the requirement of authorisation under the provisions of this Directive in the case of investment firms within the meaning of Article 2(2)(c) and (d) of Directive 93/6/EEC, which have already been registered under Directive 2002/92/EC.

2.   By way of derogation from paragraph 1, Member States shall allow any market operator to operate an MTF, subject to compliance with Articles
  12
  , 13, 24, 27 and 28.

3.   By way of derogation from point 1 of Article 3(1), Member States may authorise as investment firms undertakings which are not legal persons, provided that:

| (a) | their legal status ensures a level of protection for third parties' interests equivalent to that afforded by legal persons, and |
| --- | --- |

(a)

their legal status ensures a level of protection for third parties' interests equivalent to that afforded by legal persons, and

| (b) | they are subject to equivalent prudential supervision appropriate to their legal form. |
| --- | --- |

(b)

they are subject to equivalent prudential supervision appropriate to their legal form.

However, where a natural person provides services involving the holding of third parties' funds or transferable securities, it may be considered as an investment firm for the purposes of this Directive only if, without prejudice to the other requirements imposed in this Directive and in Directive 93/6/EEC, it complies with the following conditions:

| (a) | the ownership rights of third parties in instruments and funds must be safeguarded, especially in the event of the insolvency of the firm or of its proprietors, seizure, set-off or any other action by creditors of the firm or of its proprietors; |
| --- | --- |

(a)

the ownership rights of third parties in instruments and funds must be safeguarded, especially in the event of the insolvency of the firm or of its proprietors, seizure, set-off or any other action by creditors of the firm or of its proprietors;

| (b) | the firm must be subject to rules designed to monitor the firm's solvency and that of its proprietors; |
| --- | --- |

(b)

the firm must be subject to rules designed to monitor the firm's solvency and that of its proprietors;

| (c) | the firm's annual accounts must be audited by one or more persons empowered, under national law, to audit accounts; |
| --- | --- |

(c)

the firm's annual accounts must be audited by one or more persons empowered, under national law, to audit accounts;

| (d) | where the firm has only one proprietor, he must make provision for the protection of investors in the event of the firm's cessation of business following his death, his incapacity or any other such event. |
| --- | --- |

(d)

where the firm has only one proprietor, he must make provision for the protection of investors in the event of the firm's cessation of business following his death, his incapacity or any other such event.

4.   Member States shall establish a register of all investment firms. This register shall be publicly accessible and shall contain information on the services for which the investment firm is authorised. It shall be updated on a regular basis.

5.   In the case of investment firms which provide only investment advice, Member States may allow the competent authority to delegate the function of granting authorisation to a body which meets the conditions set out in Article 46.

Article 5

Scope of authorisation

1.   The home Member State shall ensure that the authorisation specifies the investment services which the investment firm is authorised to provide. The authorisation may cover one or more of the ancillary services set out in Section B of Annex I. Authorisation may in no case be granted solely for the provision of ancillary services.

2.   An investment firm seeking authorisation to extend its business to additional investment or ancillary services not foreseen at the time of initial authorisation shall submit a request for extension of its authorisation.

3.   The authorisation shall be valid for the entire Community and shall allow an investment firm to provide the services for which it has been authorised, throughout the Community, either through the establishment of a branch or the free provision of services.

Article 6

Procedures for granting and refusing requests for authorisation

1.   The competent authority shall not grant authorisation unless and until such time as it is fully satisfied that the applicant complies with all requirements under the provisions adopted pursuant to this Directive.

2.   The investment firm shall provide all information, including a programme of operations setting out inter alia the types of business envisaged and the organisational structure necessary to enable the competent authority to satisfy itself that the investment firm has established, at the time of initial authorisation, all the necessary arrangements to meet its obligations under the provisions of this Chapter.

3.   An applicant shall be informed, within six months of the submission of a complete application, whether or not authorisation has been granted.

Article 7

Withdrawal of authorisations

The competent authority may withdraw the authorisation issued to an investment firm where such an investment firm:

| (a) | does not make use of the authorisation within 12 months, expressly renounces the authorisation or has provided no investment services for the preceding six months, unless the Member State concerned has provided for authorisation to lapse in such cases; |
| --- | --- |

(a)

does not make use of the authorisation within 12 months, expressly renounces the authorisation or has provided no investment services for the preceding six months, unless the Member State concerned has provided for authorisation to lapse in such cases;

| (b) | has obtained the authorisation by making false statements or by any other irregular means; |
| --- | --- |

(b)

has obtained the authorisation by making false statements or by any other irregular means;

| (c) | no longer meets the conditions under which authorisation was granted, such as compliance with the conditions set out in Directive 93/6/EEC; |
| --- | --- |

(c)

no longer meets the conditions under which authorisation was granted, such as compliance with the conditions set out in Directive 93/6/EEC;

| (d) | has seriously and systematically infringed the provisions adopted pursuant to this Directive governing the operating conditions for investment firms; |
| --- | --- |

(d)

has seriously and systematically infringed the provisions adopted pursuant to this Directive governing the operating conditions for investment firms;

| (e) | falls within any of the cases where national law, in respect of matters outside the scope of this Directive, provides for withdrawal. |
| --- | --- |

(e)

falls within any of the cases where national law, in respect of matters outside the scope of this Directive, provides for withdrawal.

Article 8

Persons who effectively direct the business

1.   Member States shall require the persons who effectively direct the business of an investment firm to be of sufficiently good repute and sufficiently experienced as to ensure the sound and prudent management of the investment firm.

2.   Member States shall require the investment firm to notify the competent authority of any changes to its management, along with all information needed to assess whether the new staff appointed to manage the firm are of sufficiently good repute and sufficiently experienced.

3.   The competent authority shall refuse authorisation if it is not satisfied that the persons who will effectively direct the business of the investment firm are of sufficiently good repute or sufficiently experienced, or if there are objective and demonstrable grounds for believing that proposed changes to the management of the firm pose a threat to its sound and prudent management.

4.   Member States shall ensure that the management of investment firms is undertaken by at least two persons meeting the requirements laid down in paragraph 1.

By way of derogation from the first subparagraph, Member States may grant authorisation to investment firms which are natural persons or to investment firms which are legal persons managed by a single natural person in accordance with their constitutive rules and national laws. Member States shall nevertheless ensure that alternative arrangements are in place which ensure the sound and prudent management of such investment firms.

Article 9

Persons exercising effective control and acquisitions of qualifying holdings

1.   Member States shall require any shareholder owning a qualifying holding in the investment firm to be suitable, having regard to the need to ensure the sound and prudent management of the investment firm.

Where close links exist between the investment firm and other natural or legal persons, the competent authority shall grant authorisation only if those links do not prevent the effective exercise of the supervisory functions of the competent authority.

2.   The competent authority shall refuse authorisation if the laws, regulations or administrative provisions of a third country governing one or more natural or legal persons with which the undertaking has close links, or difficulties involved in their enforcement, prevent the effective exercise of its supervisory functions.

3.   Member States shall require any natural or legal person who proposes to acquire or sell, directly or indirectly, a qualifying holding in an investment firm, first to notify, in accordance with the second subparagraph, the competent authority of the size of the resulting holding. Such persons shall likewise be required to notify the competent authority if they propose to increase or reduce their qualifying holding, if in consequence the proportion of the voting rights or of the capital that they hold would reach or fall below or exceed 20 %, 33% or 50% or the investment firm would become their subsidiary.

Without prejudice to the provisions of paragraph 4, the competent authority shall have up to three months from the date of the notification provided for in the first subparagraph to oppose such a plan if, in view of the need to ensure sound and prudent management of the investment firm, it is not satisfied as to the suitability of the persons referred to in the first subparagraph. If the competent authority does not oppose the plan, it may fix a deadline for its implementation.

4.   If the acquirer of any holding referred to in paragraph 3 is an investment firm, a credit institution or an insurance undertaking authorised in another Member State, or the parent undertaking of an investment firm, credit institution or insurance undertaking authorised in another Member State, or a person controlling an investment firm, credit institution or insurance undertaking authorised in another Member State, and if, as a result of that acquisition, the undertaking would become the acquirer's subsidiary or come under his control, the assessment of the acquisition shall be subject to the prior consultation provided for in Article 56.

5.   Member States shall require that, if an investment firm becomes aware of any acquisitions or disposals of holdings in its capital that cause holdings to exceed or fall below any of the thresholds referred to in the first subparagraph of paragraph 3, that investment firm is to inform the competent authority without delay.

At least once a year, investment firms shall also inform the competent authority of the names of shareholders and members possessing qualifying holdings and the sizes of such holdings as shown, for example, by the information received at annual general meetings of shareholders and members or as a result of compliance with the regulations applicable to companies whose transferable securities are admitted to trading on a regulated market.

6.   Member States shall require that, where the influence exercised by the persons referred to in the first subparagraph of paragraph 1 is likely to be prejudicial to the sound and prudent management of an investment firm, the competent authority takes appropriate measures to put an end to that situation.

Such measures may consist in applications for judicial orders and/or the imposition of sanctions against directors and those responsible for management, or suspension of the exercise of the voting rights attaching to the shares held by the shareholders or members in question.

Similar measures shall be taken in respect of persons who fail to comply with the obligation to provide prior information in relation to the acquisition or increase of a qualifying holding. If a holding is acquired despite the opposition of the competent authorities, the Member States shall, regardless of any other sanctions to be adopted, provide either for exercise of the corresponding voting rights to be suspended, for the nullity of the votes cast or for the possibility of their annulment.

Article 10

Membership of an authorised Investor Compensation Scheme

The competent authority shall verify that any entity seeking authorisation as an investment firm meets its obligations under European Parliament and Council Directive 97/9/EC of 3 March 1997 on investor compensation schemes
   (18) at the time of authorisation.

Article 11

Initial capital endowment

1.   Member States shall ensure that the competent authority does not grant authorisation unless the investment firm has sufficient initial capital in accordance with the requirements of Directive 93/6/EEC having regard to the nature of the investment service in question.

2.   Member States shall ensure that investment firms exempted from the scope of Directive 93/6/EEC, pursuant to points (c) and (d) of Article 2(2) thereof,
  have sufficient financial capacity. Such measures shall take one or more of the following forms:

| (a) | minimum initial capital of EUR 50 000; |
| --- | --- |

(a)

minimum initial capital of EUR 50 000;

| (b) | professional indemnity insurance covering the whole territory of the Community or some other comparable guarantee against liability arising from professional negligence, representing at least EUR 1 000 000 applying to each claim and in aggregate EUR 1 500 000 per year for all claims; or |
| --- | --- |

(b)

professional indemnity insurance covering the whole territory of the Community or some other comparable guarantee against liability arising from professional negligence, representing at least EUR 1 000 000 applying to each claim and in aggregate EUR 1 500 000 per year for all claims; or

| (c) | a combination of points (a) and (b), in a form resulting in protection equivalent to one of them. |
| --- | --- |

(c)

a combination of points (a) and (b), in a form resulting in protection equivalent to one of them.

The Member States need not apply the provisions of this paragraph to investment companies that already comply with them under Directive 2002/92/EC.

3.   The amounts referred to in paragraph 2 shall be periodically reviewed by the Commission in order to take account of changes in the European Index of Consumer Prices as published by Eurostat, in line with and at the same time as the adjustments made under Article 4(7) of Directive 2002/92/EC.

Article 12

Organisational requirements

1.   The home Member State shall ensure that investment firms comply with the organisational requirements set out in paragraphs 2 to 9.

2.   An investment firm shall establish adequate policies and procedures to
  take reasonable steps to
  ensure compliance of the firm and its directors, employees and tied-agents with its obligations under this Directive when conducting business with and on behalf of clients and which require it to act with market
  integrity.

3.   An investment firm shall be structured and organised in such a way as to minimise the risk of client interests being prejudiced by conflicts of interest between the firm and its clients or between one of its clients and another.

4.   An investment firm shall
  take reasonable steps to
  employ such systems, resources, and procedures as are necessary to ensure continuity and regularity in the provision of the service.

5.   An investment firm shall ensure that, when relying on a third party for the performance of functions which are critical for the provision of continuous and satisfactory service to clients, that it takes reasonable steps to avoid undue additional operational risk. Outsourcing of important operational functions may not be undertaken in such a way as to impair
  materially
  the quality of its internal control and the ability of the supervisor to monitor the firm's compliance with all obligations.

6.   An investment firm shall have sound administrative and accounting procedures, internal control mechanisms, effective procedures for risk assessment, and effective control and safeguard arrangements for information processing systems, including, in particular, rules governing personal transactions by employees.

7.   An investment firm shall arrange for records to be kept
  of transactions
  undertaken by it which shall be sufficient to enable the competent authority to monitor compliance with the requirements under this Directive, and in particular,
  where relevant
  , to ascertain that the investment firm has complied with all obligations with respect to clients.

8.   An investment firm shall, when holding financial instruments belonging to clients, make adequate arrangements so as to safeguard clients' ownership rights, especially in the event of the investment firm's insolvency, and to prevent the use of a client's instruments on own account except with the client's express consent.

9.   An investment firm shall, when holding funds belonging to clients, make adequate arrangements to safeguard the clients' rights and, except in the case of credit institutions, prevent the use of client funds for its own account.

10.   In the case of branches of investment firms, the competent authority of the Member State in which the branch is located shall, without prejudice to the possibility of the competent authority of the home Member State of the investment firm to have direct access to those records, enforce the obligation laid down in paragraph 7 with regard to transactions undertaken by the branch.

11.   In order to take account of technical developments on financial markets and to ensure the uniform application of paragraphs 2 to 10, the Commission
  may
  adopt, in accordance with the procedure referred to in Article 60(2), implementing measures which specify the
  high-level principles which should underlie the
  organisational requirements
  adopted by
  investment firms providing different investment and ancillary services or combinations thereof.

Article 13

Trading process and finalisation of transactions in an MTF

1.   Member States shall require that investment firms operating an MTF, in addition to meeting the requirements laid down in Article 12, establish transparent and non-discretionary rules
  , trading methodologies
  and procedures for fair and orderly trading and establish objective criteria for the efficient execution of orders
  , taking into account the nature of the users of the system and the type of instruments traded on it.
  Those rules
  , trading methodologies
  and procedures shall be subject to prior approval by the competent authority of the home Member State
  and shall take into account the particular nature of each MTF.

2.   Member States shall require that investment firms operating an MTF provide for access to the facility in accordance with transparent and objective commercial
  conditions.

3.   Member States shall require that investment firms operating an MTF clearly inform their users of their respective responsibilities for the settlement of the transactions executed in that facility. If investment firms operating an MTF assume part of the responsibility for the settlement of those transactions, the competent authority shall ensure that they have put in place the necessary arrangements to facilitate efficient settlement.

4.   Where a transferable security, which has been admitted to trading on a regulated market, is also traded on an MTF without the consent of the issuer, the issuer shall not be subject to any obligation relating to initial, ongoing or ad hoc financial disclosure with regard to that MTF.

5.   Member States shall ensure that any investment firm operating an MTF complies immediately with any instruction from its competent authority pursuant to Article 47(1) to suspend or remove a financial instrument from trading.

6.   In order to take account of technical developments on financial markets and to ensure uniform application of paragraphs 1 and 2, the Commission shall adopt, in accordance with the procedure referred to in Article 60(2), implementing measures governing
  transparent and non-discretionary rules, trading methodologies and procedures for
  fair and orderly trading through the MTF
  and establish objective criteria for the efficient execution of orders.

Article 14

Authorisation of third country firms and branches

1.   The Member States shall inform the Commission of any general difficulties which their investment firms encounter in establishing themselves or providing investment services in any third country.

2.   Whenever it appears to the Commission, on the basis of information submitted to it under paragraph 1, that a third country does not grant Community investment firms effective market access comparable to that granted by the Community to investment firms from that third country, the Commission may submit proposals to the Council for an appropriate mandate for negotiation with a view to obtaining comparable competitive opportunities for Community investment firms. The Council shall act by a qualified majority.

3.   Whenever it appears to the Commission, on the basis of information submitted to it under paragraph 1, that Community investment firms in a third country are not granted national treatment affording the same competitive opportunities as are available to domestic investment firms and that the conditions of effective market access are not fulfilled, the Commission may initiate negotiations in order to remedy the situation.

In the circumstances referred to in the first subparagraph, the Commission may decide in accordance with the procedure referred to in Article 60(2), at any time and in addition to the initiation of negotiations, that the competent authorities of the Member States must limit or suspend their decisions regarding requests pending or future requests for authorisation and the acquisition of holdings by direct or indirect parent undertakings governed by the law of the third country in question. Such limitations or suspensions may not be applied to the setting-up of subsidiaries by investment firms duly authorised in the Community or by their subsidiaries, or to the acquisition of holdings in Community investment firms by such firms or subsidiaries. The duration of such measures may not exceed three months.

Before the end of the three-month period referred to in the preceding subparagraph and in the light of the results of the negotiations, the Commission may decide, in accordance with the procedure referred to in Article 60(2), to extend these measures.

4.   Whenever it appears to the Commission that one of the situations referred to in paragraphs 2 and 3 obtains, the Member States shall inform it at its request:

| (a) | of any application for the authorisation of any firm which is the direct or indirect subsidiary of a parent undertaking governed by the law of the third country in question; |
| --- | --- |

(a)

of any application for the authorisation of any firm which is the direct or indirect subsidiary of a parent undertaking governed by the law of the third country in question;

| (b) | whenever they are informed in accordance with Article 9(3) that such a parent undertaking proposes to acquire a holding in a Community investment firm, in consequence of which the latter would become its subsidiary. |
| --- | --- |

(b)

whenever they are informed in accordance with Article 9(3) that such a parent undertaking proposes to acquire a holding in a Community investment firm, in consequence of which the latter would become its subsidiary.

That obligation to provide information shall lapse whenever agreement is reached with the third country concerned or when the measures referred to in the first and second subparagraphs of paragraph 3 cease to apply.

5.   Measures taken under this Article shall comply with the Community's obligations under any international agreements, bilateral or multilateral, governing the taking up or pursuit of the business of investment firms.

CHAPTER II

OPERATING CONDITIONS FOR INVESTMENT FIRMS

SECTION 1

GENERAL PROVISIONS

Article 15

General obligation in respect of on-going supervision

1.   Member States shall ensure that the competent authorities keep under regular review the organisational arrangements which investment firms are required to put in place as a condition for initial authorisation.

2.   Member States shall require investment firms
  or their external auditor
  to notify the competent authorities of any material changes to their programme of operations
  . Member States shall require investment firms
  to provide the competent authorities
  on request
  with all information needed to verify that modified organisational requirements are sufficient to ensure continued compliance with the obligations under this Directive.

3.   Member States shall ensure that the competent authorities monitor the activities of investment firms so as to assess compliance with the operating conditions provided for in this Chapter and other obligations under this Directive. Member States shall ensure that the competent authorities obtain the information needed to assess the compliance of investment firms with those obligations.

4.   In the case of investment firms which provide only investment advice, the competent authority may delegate the function of regular monitoring of operational and organisational requirements to a body meeting the requirements set out in Article 46(2).

Article 16

Conflicts of interest

1.   Member States shall require investment firms to take all reasonable steps to identify conflicts of interest between themselves, including their managers and employees, and their clients or between one client and another that arise in the course of providing any investment and ancillary services, or combinations thereof.

2.   Member States shall require that investment firms whose activities give rise to conflicts of interest maintain and operate effective organisational and administrative arrangements to prevent those conflicts from adversely affecting the interests of clients, or otherwise manage them so as to achieve the same result.

3.   Where organisational or administrative arrangements made by the investment firm to manage conflicts of interest are not sufficient to ensure, with reasonable confidence, that risks of damage to client interests will be effectively avoided, the investment firm shall clearly disclose the general nature and/or sources of conflicts of interest to the client before undertaking business on its behalf.

4.   In order to take account of technical developments on financial markets and to ensure
  consistent
  application of paragraphs 1
  and 2, the
  Commission
  may
  adopt, in accordance with the procedure referred to in Article 60(2), implementing measures to:

| (a) | specify
  the steps that investment firms might reasonably be expected to take to identify, prevent, manage and/or disclose conflicts of interest when providing various investment and ancillary services and combinations thereof,
  while leaving it to firms, subject to regulatory oversight, to determine the appropriate mix of prevention, management and disclosure. With regard to the nature of the steps to be specified under this paragraph, the Commission shall take into account the frequency of conflicts of interest (whether they occur regularly or in limited, individual cases) in different types of investment firms; |
| --- | --- |

(a)

specify
  the steps that investment firms might reasonably be expected to take to identify, prevent, manage and/or disclose conflicts of interest when providing various investment and ancillary services and combinations thereof,
  while leaving it to firms, subject to regulatory oversight, to determine the appropriate mix of prevention, management and disclosure. With regard to the nature of the steps to be specified under this paragraph, the Commission shall take into account the frequency of conflicts of interest (whether they occur regularly or in limited, individual cases) in different types of investment firms;

| (b) | address conflicts that arise from any inducement that is received or self-interest that arises in connection with the performance of an investment service which may compromise the quality or fairness of a related investment service that is performed on behalf of or provided to a client. |
| --- | --- |

(b)

address conflicts that arise from any inducement that is received or self-interest that arises in connection with the performance of an investment service which may compromise the quality or fairness of a related investment service that is performed on behalf of or provided to a client.

5.
     
  The competent authority of the home Member State shall ensure that the obligations of this provision and the implementing measures adopted under paragraph 4 are complied with by investment firms when providing services in other Member States. The competent authority of the Member State in which a branch is located shall enforce the obligations of this provision and any implementing measures adopted under paragraph 4 in respect of the services provided by a branch to its clients.

Article 17

Ongoing capital endowment

The Member States shall require that investment firms comply at all times with the rules laid down in Directive 93/6/EEC, having regard to the nature of the investment service in question.

SECTION 2

PROVISIONS TO ENSURE INVESTOR PROTECTION

Article 18

Conduct of business obligations when providing investment services to clients

1.   Member States shall ensure that, when providing investment services
  or ancillary services
  to clients, an investment firm acts honestly, fairly and professionally in accordance with the best interests of its clients and complies, in particular, with the principles set out in paragraphs 2 to 8.

2.   Marketing
  communications addressed
  to clients or potential clients shall be identified as such and shall be fair, clear and not misleading.

3.   Timely information shall be provided in a comprehensible form to clients or potential clients about the investment firm and its services, so that they are able to understand the precise nature and risks of the investment service and financial instrument that is being offered.
  Information may be provided to clients in a standard form.

4.   The necessary information shall be obtained from the client regarding its knowledge and experience in the investment field, its investment objectives and financial situation so as to enable the investment firm to determine the investment services and financial instruments suitable for that client.
  These obligations shall be modulated according to the complexity of the investment services and financial instruments being proposed and shall not apply where investment advice, as referred to in Article 3(1)(4), is not being provided. In such cases, product promotional literature and/or the initial agreement with the client shall make clear that no advice is being provided.

5.   Timely information shall be provided to the client regarding financial instruments, proposed investments and execution venues which is fair, clear and not misleading, so as to enable the client to take investment decisions on an informed basis.
  These obligations shall be modulated according to the complexity of the investment services and financial instruments being proposed and shall not apply where investment advice, as referred to in Article 3(1)(4), is not being provided. In such cases, product promotional literature and/or the initial agreement with the client shall make clear that no advice is being provided.

6.   
  When providing advice or discretionary services,
  appropriate guidance and warnings on the risks associated with investments in particular
  types of
  instruments or investment strategies shall be provided to the client having particular regard to
  the information which the firm has obtained about
  the client's knowledge and experience.

7.   A documentary record of an agreement between the firm and the client shall be established which sets out the rights and obligations of the parties and the other terms on which the firm will provide services to the client.
  A documentary record of an agreement may also be made in a standardised format.

8.   
  The client shall receive an order confirmation and a settlement note. The settlement note shall include
  the costs associated with the transactions and services undertaken on behalf of the client.

9.   In order to ensure the necessary protection of investors and the
  consistent
  application of paragraphs 1 to 8 the Commission shall adopt, in accordance with the procedure referred to in Article 60(2), implementing measures to ensure that investment firms comply with the principles set out therein when providing investment or ancillary services to their clients. Those implementing measures shall take into account:

| (a) | the nature of the service(s) offered or provided to the client or potential client, including the particular procedures and systems which investment firms use to execute orders on behalf of clients; |
| --- | --- |

(a)

the nature of the service(s) offered or provided to the client or potential client, including the particular procedures and systems which investment firms use to execute orders on behalf of clients;

| (b) | the nature of the financial instruments being offered or considered; |
| --- | --- |

(b)

the nature of the financial instruments being offered or considered;

| (c) | the retail or professional nature of the client or potential clients
  including adequate grandfathering provisions for the categorisation of existing clients and leaving a sufficient degree of flexibility for investment firms when implementing the categorisation set out in Annex II. |
| --- | --- |

(c)

the retail or professional nature of the client or potential clients
  including adequate grandfathering provisions for the categorisation of existing clients and leaving a sufficient degree of flexibility for investment firms when implementing the categorisation set out in Annex II.

Where appropriate, the implementing measures adopted under this paragraph may provide that the principles set out in paragraphs 1 to 8 shall not apply to professional clients or potential professional clients and/or that conduct of business rules may be waived by professional clients, if they so wish.

10.   Member States shall
  ensure that
  an investment firm receiving
  from another investment firm
  an instruction to perform investment or ancillary services on behalf of a client
  of that other
  investment firm
  is able
  to rely on client information transmitted by
  that
  firm
  and is not obliged to seek information about the client of that other investment firm.

The investment firm which receives an instruction to undertake services on behalf of a client in this way shall also be able to rely on any recommendations in respect of the service or transaction that have been provided to the client by another investment firm.

The investment firm which receives client instructions or orders through the medium of another investment firm shall remain responsible for concluding the service or transaction, based on any such information or recommendations, in accordance with measures adopted pursuant to paragraph 9.

11.   The competent authority of the home Member State shall ensure that the obligations of this provision and the implementing measures adopted under paragraph 9 are complied with by investment firms when providing services in other Member States.

12.   The competent authority of the Member State in which a branch is located shall enforce the obligations referred to in paragraphs 1 to 8 and the implementation measures adopted pursuant to paragraph 9 in respect of the services provided by a branch to its clients.

Article 19

Obligation to execute orders on terms most favourable to the client

1.   Member States shall require that investment firms providing services which entail the
  execution of
  client orders in financial instruments
  are responsible for making arrangements designed to
  ensure that those orders are executed in such a way that the client obtains the
  best result reasonably achievable, under the execution policy described in Article 20(3), for the size and type of the customer's order, taking into account any specific instructions from the client. The execution policy shall cover price, costs, speed and likelihood of execution and the execution venues to which the firm has access.

In the case of professional clients who have retained discretion over the manner and market of execution, the investment firm's best-execution duty shall consist only of a need to follow the client's instructions
  .

2.
     
  The requirements imposed under paragraph 1 shall take into account the size and type of order and the professional or non-professional nature of the client.

3.   The competent authority shall verify that
  such
  investment firms implement
  systematic,
  effective and efficient
  procedures for monitoring execution quality and
  facilitating execution of client orders
  in accordance with paragraph 1.
  In assessing these procedures, regard shall be had to the extent to which the procedures enable the firm to obtain the
  best result reasonably achievable
  having regard to the
  conditions of the order, and the
  conditions prevailing in the marketplace to which the investment firm can reasonably be expected to have access
  under the terms of the execution policy. The competent authority must regularly monitor compliance of investment firms with these obligations.

4.   Member States shall require investment firms to review, on a regular basis,
  their execution arrangements and, where appropriate, make changes to them so as
  to obtain the
  best result reasonably achievable
  for their
  clients.

Member States shall require that investment firms implement effective and efficient procedures for monitoring execution quality. In assessing these procedures, regard shall be had to the extent to which the procedures enable the firm to identify and correct, where appropriate, consistent inefficiencies in its execution practices.

5.   In order to ensure the protection necessary for investors, the fair and orderly functioning of markets, and to ensure the uniform application of paragraphs 1, 2 and 3, the Commission shall, in accordance with the procedure referred to in Article 60(2), adopt implementing measures concerning:

| (a) | the factors that may be taken into account for determining best execution or the calculation of best net price prevailing in the marketplace for the size and type of order and type of client
  , taking particular account of whether the client is a retail investor or a professional client
  ; |
| --- | --- |

(a)

the factors that may be taken into account for determining best execution or the calculation of best net price prevailing in the marketplace for the size and type of order and type of client
  , taking particular account of whether the client is a retail investor or a professional client
  ;

| (b) | the procedures which, taking into account the scale of operations of different investment firms, may be considered as constituting reasonable and effective methods of obtaining access to the execution venues which offer the most favourable terms of execution in the marketplace. |
| --- | --- |

(b)

the procedures which, taking into account the scale of operations of different investment firms, may be considered as constituting reasonable and effective methods of obtaining access to the execution venues which offer the most favourable terms of execution in the marketplace.

6.
     
  The competent authority of the home Member State shall ensure that the obligations of this provision and the implementing measures adopted under paragraph 5 are complied with by investment firms when providing services in other Member States. The competent authority of the Member State in which a branch is located shall enforce the obligations of this provision in respect of the services provided by a branch to its clients.

7.
     
  The obligation referred to in paragraph 1 shall not apply if the investment firm has agreed otherwise with a professional client.

Article 20

Client order handling rules

1.   Member States shall require that investment firms authorised to execute orders on behalf of clients implement procedures and arrangements which provide for the fair and expeditious execution of client orders, relative to other client orders or the trading interests of the investment firm.

2.   Member States shall ensure that investment firms operate procedures or arrangements
  or rules
  for executing otherwise comparable client orders
  which ensure that the firm does not knowingly execute orders out of time priority, unless this is carried out in accordance with a client order aggregation policy or by agreement with the client.

3.   Member States shall ensure that investment
  firms, before
  proceeding to execute
  retail
  client orders
  , disclose to their retail clients their execution policy, including whether orders are to be executed under or
  outside the rules and systems operated by a regulated market or MTF,
  and
  obtain
  their
  consent
  to it. This consent may be obtained either at the outset of the client relationship
  in the form of a general agreement or in respect of individual transactions. If the prior consent of clients is given in the form of a general agreement, it should be contained in a separate
  section.

Member States shall ensure that investment firms inform their clients of any significant change to their execution policy. Following any such significant change, clients shall always have the right to terminate without delay the contractual arrangement made with the investment firm
  .

4.   Member States shall require that, in the case of a client limit order
  for shares
  which cannot be immediately executed under prevailing market conditions, investment firms are, unless the client expressly instructs otherwise, to take measures to facilitate the earliest possible execution of that order by making public immediately
  the client
  limit order,
  in particular by forwarding the client limit order to a regulated market or MTF or by some other means which ensures that it
  is easily accessible to other market participants. Member States shall provide that the competent authorities are to be able to waive the obligation to make public a limit order that is large in scale compared with normal market size as determined under Article 42(2).

5.   In order to ensure that measures for the protection of investors and fair and orderly functioning of markets take account of technical developments in financial markets, and to ensure the consistent application of paragraphs 1 to 4, the Commission
  may
  adopt, in accordance with the procedure referred to in Article 60(2), implementing measures which define:

| (a) | the conditions and nature of the procedures and arrangements which result in the prompt, fair and expeditious execution of client orders and the situations in which or types of transaction for which investment firms may reasonably deviate from prompt execution so as obtain more favourable terms for clients; |
| --- | --- |

(a)

the conditions and nature of the procedures and arrangements which result in the prompt, fair and expeditious execution of client orders and the situations in which or types of transaction for which investment firms may reasonably deviate from prompt execution so as obtain more favourable terms for clients;

| (b) | the procedures for obtaining and renewing client consent prior to executing those orders outside the rules and systems of a regulated market or
  MTF. |
| --- | --- |

(b)

the procedures for obtaining and renewing client consent prior to executing those orders outside the rules and systems of a regulated market or
  MTF.

6.
     
  The competent authority of the home Member State shall ensure that the obligations of this provision and the implementing measures adopted under paragraph 5 are complied with by investment firms when providing services in other Member States. The competent authority of the Member State in which a branch is located shall enforce the obligations of this provision and any implementing measures adopted under paragraph 5 in respect of the services provided by a branch to its clients.

Article 21

Obligations of investment firms when employing tied agents

1.   Member States shall
  ensure that
  an investment firm
  may
  employ tied agents
  in particular
  for the purposes of promoting the services of the investment firm, soliciting business or collecting orders from clients or potential clients and transmitting these to that investment firm, and providing advice in respect of financial instruments or services offered by that investment firm
  and of all activities necessarily linked to it
  .

2.   Member States shall require an investment firm employing a tied agent to remain fully and unconditionally responsible for any action or omission on the part of the tied agent when acting on behalf of the firm.
  Should the investment firm be subject to the own funds requirement, the amount of own funds required must be geared to the actual liability risk, having regard to existing insurance cover.
  Member States shall require the investment firm to ensure that a tied agent
  , prior to mediating a particular product,
  discloses immediately to any client or potential client the capacity in which he agent is acting and the firm which he is representing.

3.   Member States shall ensure that investment firms monitor the activities of their tied agents and adopt measures and procedures so as to ensure that they operate, on a continuous basis, in compliance with this Directive.

4.   Each Member State shall ensure that tied agents which act or wish to act on its territory are entered in a public register which is established and maintained under the responsibility of the competent authority.

The competent authority shall ensure that tied agents are only admitted to the public register if it has been established that they are of sufficiently good repute and that they possess appropriate general, commercial and professional knowledge so as to be able to communicate accurately all relevant information regarding the proposed service to the client or potential client.

The existence of appropriate general, commercial and professional knowledge may be determined by way of a grandfathering clause in terms of existing professional experience or appropriate training or further training measures.

The register shall be updated on a regular basis. It shall be publicly available for consultation.

5.   Member States shall ensure that investment firms employ only tied agents entered in the public registers referred to in paragraph 4.

6.   Member States may allow the competent authority to delegate the establishment and maintenance of the public register pursuant to paragraph 4 and the tasks of monitoring compliance of tied agents with the requirements of paragraph 4 to a body meeting the conditions laid down in Article 46(2).

7.
     
  The Member States shall ensure that the rights and obligations of tied agents are geared to the requirements of Directive 2002/92/EC and that harmonisation is carried out accordingly.

Article 22

Transactions executed with eligible counterparties

1.   The Member States shall ensure that investment firms authorised to execute orders on behalf of clients
  , operate an MTF, receive and transmit orders, provide investment advice
  and/or deal on own account, may
  provide such services to
  eligible counterparties without being obliged to comply with the obligations under Articles 18, 19 and 20 in respect of those
  services
  .

2.   
  Member
  States shall recognise as eligible counterparties for the purposes of this Article:

| (a) | investment firms, |
| --- | --- |

(a)

investment firms,

| (b) | credit institutions, |
| --- | --- |

(b)

credit institutions,

| (c) | insurance companies, |
| --- | --- |

(c)

insurance companies,

| (d) | commodity and commodity derivatives dealers and other entities authorised or regulated to operate in financial markets, including entities authorised by a Member State under a Directive, entities authorised or regulated without reference to a Directive and entities authorised or regulated by a third country, |
| --- | --- |

(d)

commodity and commodity derivatives dealers and other entities authorised or regulated to operate in financial markets, including entities authorised by a Member State under a Directive, entities authorised or regulated without reference to a Directive and entities authorised or regulated by a third country,

| (e) | any other authorised or regulated financial intermediary considered as such by Community legislation, |
| --- | --- |

(e)

any other authorised or regulated financial intermediary considered as such by Community legislation,

| (f) | central banks, national governments and their representatives and corresponding offices, including public bodies which are responsible for public debt, |
| --- | --- |

(f)

central banks, national governments and their representatives and corresponding offices, including public bodies which are responsible for public debt,

| (g) | international and supranational organisations. |
| --- | --- |

(g)

international and supranational organisations.

Member States
  shall
  also recognise as eligible counterparties UCITS and their management companies, pension funds and their management companies, and other
  undertakings
  meeting pre-determined proportionate requirements, including quantitative
  thresholds.

Classification as an eligible counterparty under the second subparagraph shall be without prejudice to the right of such entities to request treatment as clients whose business with the investment firm is subject to Articles 18, 19 and 20.

3.   Member States shall ensure that transactions undertaken by users or participants of a regulated market or an MTF, on or through the systems of the regulated market or MTFs, are treated as transactions between eligible counterparties.

4.
     
  Member States shall also recognise as eligible counterparties entities having their registered office or head office in third countries and subject to rules similar to those that apply to the entities referred to in paragraph 2
  .

5.   In order to ensure the
  consistent
  application of paragraphs 1, 2 and 3 in the light of changing market practice and to facilitate the effective operation of the single market, the Commission may adopt, in accordance with the procedure referred to in Article 60(2), implementing measures concerning the classification of eligible counterparties.

SECTION 3

MARKET TRANSPARENCY AND INTEGRITY

Article 23

Obligation to uphold integrity of markets, report transactions, and maintain records

1.   Without prejudice to the allocation of responsibilities for enforcing the provisions of European Parliament and Council Directive 2003/.../EC of ... [on market abuse] (19), the competent authority shall also monitor the activities of investment firms to ensure that they act honestly, fairly and professionally and in a manner which promotes the integrity of the market.

2.   Member States shall require investment firms to keep at the disposal of the competent authority, for at least five years, the relevant data relating to all transactions in financial instruments which they have carried out, whether on own account or on behalf of a client. In the case of transactions carried out on behalf of clients, the records shall contain all the information and details of the identity of the client, and the information required under Council Directive 91/308/EEC
   (20).

3.   Member States shall require investment firms which execute transactions in any financial instruments admitted to trading on a regulated market to report details of such transactions to the competent authority in the home Member State of the investment firm. This obligation shall apply whether or not such transactions were carried out on a regulated market.

4.   Those reports shall be transmitted as quickly as possible, and no later than the close of the following working day. The reports shall specify the instrument bought/sold, the quantity, the date and time of execution, and transaction prices. They shall identify the party executing the transaction and indicate the market, trading system or other means through which the transaction was concluded.

5.   Member States shall provide that the reports are to be made to the competent authority either by the investment firm,
  a third party acting on its behalf
  or by the
  operator of the
  regulated market or MTF through whose systems the transaction was completed
  or by a trade-matching or reporting system approved by the competent authority
  . In cases where transactions on a regulated market or MTF are reported directly to the competent authority by the regulated market or MTF,
  or where the transactions are reported directly to the competent authority by a trade-matching or reporting system approved by the competent authority,
  the obligation on the investment firm laid down in paragraph 3 may be waived.

6.   In order to ensure that measures for the protection of market integrity are modified to take account of technical developments in financial markets, and to ensure the uniform application of paragraphs 1 to 5, the Commission may adopt, in accordance with the procedure referred to in Article 60(2), implementing measures which
  clarify
  the methods and arrangements for reporting financial transactions, the form and content of these reports, as well as arrangements for communicating them to the competent authorities of other Member States,
  having particular regard to the expenses incurred by any adjustment of existing reporting systems
  .

7.
     
  The competent authority of the home Member State shall ensure that the obligations of this provision and the implementing measures adopted under paragraph 6 are complied with by investment firms when providing services in other Member States. The competent authority of the Member State in which a branch is located shall enforce the obligations of this provision and any implementing measures adopted under paragraph 6 in respect of the services provided by a branch to its clients.

Article 24

Monitoring of trading on or through an MTF

1.   Member States shall ensure that,
  where necessary and appropriate given the MTF's position in the overall market for the investment concerned
  , investment firms operating an MTF establish adequate and effective arrangements to facilitate the effective and regular monitoring of transactions undertaken on or through the facility in order to identify disorderly trading conditions or behaviour that may involve market abuse.

Member States shall ensure that under those arrangements,
  which shall be proportionate to the share of trading undertaken on the MTF outside the rules of a regulated market,
  investment firms supply immediately the information gathered pursuant to the first subparagraph to the
  home Member State's
  competent authority and provide full assistance to the latter in investigating and prosecuting market abuse undertaken on or through the MTF.
  Member States shall ensure that, in complying with their obligations under this Article, operators of MTFs have no legal liability to third parties.

2.   In order to promote the orderly and effective monitoring of trading on MTFs so as to sustain overall market integrity, and to ensure the uniform application of paragraph 1, the Commission shall adopt, in accordance with the procedure referred to in Article 60(2), implementing measures which define the arrangements referred to in paragraph 1.
  The Commission shall also adopt implementing measures which define circumstances in which an MTF's reporting requirements are restricted to situations where market abuse or disorderly trading is suspected.

Article 25

Obligation for investment firms to make public firm bid and offers

1.   Member States shall
  require investment firms which practise systematic internalisation in shares
  to make public a firm bid and offer
  quotes
  for transactions of a
  standard market
  size
  in those shares, where
  those shares are admitted to trading on a regulated market and for which there is a liquid market.

Member States shall require that the investment firms referred to in the first subparagraph trade with
  their systematic internalisation clients at a price equal to or better than that quoted,
  except where justified by legitimate commercial considerations.

2.   Member States shall provide that the obligation set out in paragraph 1 is waived in respect of investment firms
  whose systematic internalisation does
  not represent an important
  provision
  of liquidity for the share(s) in question on a regular or continuous basis.

3.   Member States shall ensure that the bid and offer prices required under paragraph 1 are made public in a manner which is easily accessible to other market participants
  on reasonable commercial terms,
  on a regular and continuous basis during normal trading hours.

The competent
  authorities
  shall:

| (a) | verify whether investment firms fulfil the criteria laid down in Article 3(1)(24); |
| --- | --- |

(a)

verify whether investment firms fulfil the criteria laid down in Article 3(1)(24);

| (b) | monitor whether investment firms regularly update the bid and offer prices published in accordance with paragraph 1 and maintain prices which are generally representative of overall market conditions. |
| --- | --- |

(b)

monitor whether investment firms regularly update the bid and offer prices published in accordance with paragraph 1 and maintain prices which are generally representative of overall market conditions.

Investment firms are permitted to decide, on the basis of their own commercial policies, which persons they accept as clients and consequently with whom they deal on their prices quoted under paragraph 1. However, Member States shall require that the investment firms subject to the obligation under paragraph 1, which do not exercise their option under paragraph 4, point (e)(i) of providing their quotes through the facilities of a regulated market or MTF, have clear standards for governing access for new systematic internalisation clients, based on objective, non-discriminatory, commercial criteria.

4.   In order to ensure the uniform application of paragraphs 1, 2 and 3, in a manner which supports the efficient valuation of shares and maximises the possibility of investment firms to obtain the best deal for their clients, the Commission shall, in accordance with the procedure referred to in Article 60(2), adopt implementing measures which:

| (a) | specify
  what is a transaction of a standard market size
  in respect of which the investment firm shall make public firm bid and offer
  quotes, having regard to at least the following factors and with the aim of ensuring transparent, competitive and liquid markets:










  (i) | prevailing local market conditions and practices and respective trading volumes in different Member States and the views of local competent authorities, |
| --- | --- | --- |

(a)

specify
  what is a transaction of a standard market size
  in respect of which the investment firm shall make public firm bid and offer
  quotes, having regard to at least the following factors and with the aim of ensuring transparent, competitive and liquid markets:

(i)

prevailing local market conditions and practices and respective trading volumes in different Member States and the views of local competent authorities,

| (ii) | the effect on liquidity, competition, price formation and the general functioning of the market in different Member States, |
| --- | --- |

(ii)

the effect on liquidity, competition, price formation and the general functioning of the market in different Member States,

| (iii) | the risks to which the obligation under paragraph 1 exposes firms, including associated obligations and risks regulated under the Capital Adequacy Directives; |
| --- | --- |

(iii)

the risks to which the obligation under paragraph 1 exposes firms, including associated obligations and risks regulated under the Capital Adequacy Directives;

| (b) | specify what is an order of standard market size for the purposes of Article 3(1)(24). The Commission shall take into account the aim and factors referred to in point (a)(i) to (iii) but shall not be obliged to adopt the same specification or definition of standard market size for the purposes of Article 3(1)(24) and Article 25(1) and may, if it considers this to be appropriate, adopt a different approach to the term in the two different contexts; |
| --- | --- |

(b)

specify what is an order of standard market size for the purposes of Article 3(1)(24). The Commission shall take into account the aim and factors referred to in point (a)(i) to (iii) but shall not be obliged to adopt the same specification or definition of standard market size for the purposes of Article 3(1)(24) and Article 25(1) and may, if it considers this to be appropriate, adopt a different approach to the term in the two different contexts;

| (c) | define the shares or classes of share for which there is sufficient liquidity to allow application of the obligation under paragraph 1 |
| --- | --- |

(c)

define the shares or classes of share for which there is sufficient liquidity to allow application of the obligation under paragraph 1

| (d) | determine which types of investment firms shall be exempted, pursuant to paragraph 2, from the obligation under paragraph 1; |
| --- | --- |

(d)

determine which types of investment firms shall be exempted, pursuant to paragraph 2, from the obligation under paragraph 1;

| (e) | specify the means
  whereby
  investment firms may comply with their obligations under
  paragraph 1. These
  shall include the following possibilities: through the facilities of any regulated market which has admitted the instrument in question to trading;






  (i) | through the offices of a third party; |
| --- | --- | --- |

(e)

specify the means
  whereby
  investment firms may comply with their obligations under
  paragraph 1. These
  shall include the following possibilities: through the facilities of any regulated market which has admitted the instrument in question to trading;

(i)

through the offices of a third party;

| (ii) | through proprietary arrangements. |
| --- | --- |

(ii)

through proprietary arrangements.

Article 26

Post-trade disclosure by investment firms

1.   Member States shall require investment firms which, either on own account or on behalf of clients, conclude transactions in shares admitted to trading on a regulated market outside the rules and systems of a regulated market or MTF, to make public the volume and price of those transactions and the time at which they were concluded. This information shall be made public
  as soon as available
  on a reasonable commercial basis, and in a manner which is easily accessible to other market participants.

2.   The competent authority shall ensure that the information which is made public in accordance with paragraph 1 and the time-limits within which it is published comply with the requirements adopted pursuant to Article 43. Where the measures adopted pursuant to Article 43 provide for deferred reporting for certain categories of transaction in shares, this possibility shall apply mutatis mutandis to those transactions when undertaken outside the rules and systems of regulated markets or MTFs.

3.   In order to ensure the transparent and orderly functioning of markets and the
  consistent
  application of paragraph 1, the Commission shall adopt, in accordance with the procedure referred to in Article 60(2), implementing measures which:

| (a) | specify the means by which investment firms may comply with their obligations under paragraph 1 including the following possibilities:






  (i) | through the facilities of any regulated market which has admitted the instrument in question to trading; |
| --- | --- | --- |

(a)

specify the means by which investment firms may comply with their obligations under paragraph 1 including the following possibilities:

(i)

through the facilities of any regulated market which has admitted the instrument in question to trading;

| (ii) | through the offices of a third party; |
| --- | --- |

(ii)

through the offices of a third party;

| (iii) | through proprietary arrangements; |
| --- | --- |

(iii)

through proprietary arrangements;

| (b) | clarify
  in which circumstances
  the obligation under paragraph 1
  should apply neither
  to transactions involving the use of shares for collateral, lending or other purposes where the exchange of shares is determined by factors other than the current market valuation of the share
  nor to other transactions which contain little or no useful price information
  . |
| --- | --- |

(b)

clarify
  in which circumstances
  the obligation under paragraph 1
  should apply neither
  to transactions involving the use of shares for collateral, lending or other purposes where the exchange of shares is determined by factors other than the current market valuation of the share
  nor to other transactions which contain little or no useful price information
  .

Article 27

Pre-trade transparency requirements for MTFs

1.   Member States shall require that,
  where appropriate given the size and nature of trading undertaken on an MTF outside the rules of a regulated market,
  investment firms operating an MTF make public current bid and offer prices which are advertised through their systems
  to all users
  in respect of shares admitted to trading on a regulated market. Member States shall provide that this information is to be made available to the public on a reasonable commercial basis, as close to real time as possible.

2.   
  Competent
  authorities
  shall waive or modify
  the obligations referred to in paragraph 1
  when the particular structure of the MTF, or its small size relative to the overall market in an instrument, make it appropriate to do so.

Article 28

Post-trade transparency for MTFs

1.   Member States shall require that investment firms operating an MTF make public the price, volume and time of the transactions executed under its rules and systems in respect of shares which are admitted to trading on a regulated market. Member States shall require that details of all such transactions be made public, on a reasonable commercial basis, as close to real time as possible.
  These requirements shall not apply where details of trades executed on an MTF are made public under the rules of a regulated market.

2.   The competent authority shall ensure that the content and timing of the post-trade information, and the methods for its publication comply with the same requirements as apply pursuant to Article 43 in respect of transactions in shares undertaken on a regulated market.

CHAPTER III

RIGHTS OF INVESTMENT FIRMS

Article 29

Freedom to provide services

1.   Member States shall ensure that any investment firm authorised and supervised by the competent authorities of another Member State in accordance with this Directive may freely provide investment and ancillary services within their territories, provided that such services are covered by its authorisation. Member States shall not impose any additional requirements on such an investment firm in respect of the matters covered by this Directive.

2.   Any investment firm wishing to provide services within the territory of another Member State for the first time, or which wishes to change the range of services so provided, shall communicate the following information to the competent authorities of its home Member State:

| (a) | the Member State in which it intends to operate; |
| --- | --- |

(a)

the Member State in which it intends to operate;

| (b) | a programme of operations stating in particular the investment or ancillary services which it intends to provide and whether it intends to employ the services of tied agents in the territory of the Member States in which it intends to provide services. |
| --- | --- |

(b)

a programme of operations stating in particular the investment or ancillary services which it intends to provide and whether it intends to employ the services of tied agents in the territory of the Member States in which it intends to provide services.

3.   The competent authority of the home Member State shall, within one month of receiving the information, forward it to the competent authority of the host Member
  State
  .

4.   In the event of a change in any of the particulars communicated in accordance with paragraph 2, an investment firm shall give written notice of that change to the competent authority of the home Member State at least one month before implementing the change. The competent authority of the home Member State shall inform the competent authority of the host Member State of those changes.

5.   Member States shall, without further legal or administrative requirement, allow MTFs from other Member States to provide appropriate arrangements on their territory so as to facilitate access to and use of their systems by remote users or participants established in their territory.

Article 30

Establishment of a branch

1.   Member States shall ensure that investment and ancillary services may be provided within their territories through the establishment of a branch of an investment firm provided that those services are covered by the authorisation granted to the investment firm in the home Member State.

Member States shall not impose any additional requirements on the organisation and operation of the branch in respect of the matters covered by this Directive.

2.   Member States shall require any investment firm wishing to establish a branch within the territory of another Member State first to notify the competent authority of its home Member State and to provide it with the following information:

| (a) | the Member States within the territory of which it plans to establish a branch; |
| --- | --- |

(a)

the Member States within the territory of which it plans to establish a branch;

| (b) | a programme of operations setting out inter alia the services to be offered and the organisational structure of the branch and indicating whether the branch intends to employ the services of tied agents; |
| --- | --- |

(b)

a programme of operations setting out inter alia the services to be offered and the organisational structure of the branch and indicating whether the branch intends to employ the services of tied agents;

| (c) | the address in the host Member State from which documents may be obtained; |
| --- | --- |

(c)

the address in the host Member State from which documents may be obtained;

| (d) | the names of those responsible for the management of the branch. |
| --- | --- |

(d)

the names of those responsible for the management of the branch.

3.   Unless the competent authority of the home Member State has reason to doubt the adequacy of the administrative structure or the financial situation of an investment firm, taking into account the activities envisaged, it shall, within three months of receiving all the information, communicate that information to the competent authority of the host Member State and inform the investment firm concerned accordingly.

4.   In addition to the information referred to in paragraph 2, the competent authority of the home Member State shall communicate details of the accredited compensation scheme of which the investment firm is a member in accordance with Directive 97/9/EC to the competent authority of the host Member State. In the event of a change in the particulars, the competent authority of the home Member State shall inform the authority of the host Member State accordingly.

5.   Where the competent authority of the home Member State refuses to communicate the information to the competent authority of the host Member State, it shall give reasons for its refusal to the investment firm concerned within three months of receiving all the information.

6.   On receipt of a communication from the competent authority of the host Member State, or failing such communication from the latter at the latest after two months from the date of transmission of the communication by the competent authority of the home Member State, the branch may be established and commence
  business.

7.   
  Each
  Member State shall provide that, where an investment firm authorised in another Member State has established a branch within its territory, the competent authority of the home Member State of the investment firm, in the exercise of its responsibilities and after informing the competent authority of the host Member State, may itself or through the intermediary of persons instructed for that purpose, carry out on-site inspections in that branch.

8.   In the event of a change in any of the information communicated in accordance with paragraph 2, an investment firm shall give written notice of that change to the competent authority of the home Member State at least one month before implementing the change. The competent authority of the host Member State shall also be informed of those changes by the competent authority of the home Member State.

Article 31

Regulation of branches

The competent authority of the host Member State shall assume responsibility for ensuring that the services provided by the branch comply with the obligations laid down in Articles 12(7), 16, 18, 19, 20, 21, 22, 23, 25 and 26 and in measures adopted pursuant thereto.

The competent authority of the host Member State shall have the right to examine the branch arrangements and to request such changes as are strictly needed to enable the competent authority to enforce the obligations under Articles 12(7), 16, 18, 19, 20, 21, 22, 23, 25, and 26 and measures adopted pursuant thereto.

Article 32

Access to regulated markets

1.   Member States shall ensure that investment firms from other Member States which are authorised to execute client orders or to deal on own account have the right of membership or have access to regulated markets established in their territory by means of any or all of the following arrangements:

| (a) | directly, by setting up branches in the host Member States; |
| --- | --- |

(a)

directly, by setting up branches in the host Member States;

| (b) | indirectly, by setting up subsidiaries in the host Member States or by acquiring firms in the host Member States that are already members of their regulated markets or already have access thereto; and/or |
| --- | --- |

(b)

indirectly, by setting up subsidiaries in the host Member States or by acquiring firms in the host Member States that are already members of their regulated markets or already have access thereto; and/or

| (c) | by becoming remote members of or having remote access to the regulated market without having to be established in the home Member State of the regulated market, where the trading procedures and systems of the market in question do not require a physical presence for conclusion of transactions on the market. |
| --- | --- |

(c)

by becoming remote members of or having remote access to the regulated market without having to be established in the home Member State of the regulated market, where the trading procedures and systems of the market in question do not require a physical presence for conclusion of transactions on the market.

2.   Member States shall not impose any additional regulatory or administrative requirements, in respect of matters covered by this Directive, on investment firms exercising the right conferred by paragraph 1.

3.   The right conferred by paragraph 1 shall be without prejudice to the obligation of the investment firm to comply with any transparent and objective commercial criteria which the regulated market imposes as a condition for membership or access in accordance with Article 40.

Article 33

Access to clearing and settlement facilities and right to designate settlement system

1.   Member States shall ensure that investment firms from other Member States have the
  right
  of direct or indirect access to central counterparty, clearing and settlement systems in their territory for the purposes of finalising transactions in financial instruments.

Member States shall ensure that access of those investment firms to such facilities is subject to the same transparent and objective commercial criteria as apply to local participants. Member States shall not restrict the use of those facilities to the clearing and settlement of transactions in financial instruments undertaken on a regulated market or MTF in their territory.

2.   Member States shall ensure that regulated markets in their territory offer direct, indirect and remote members or participants the right to designate the system for the settlement of transactions in financial instruments undertaken on that regulated market, subject to:

| (a) | such links and arrangements between the designated settlement system and any other system or facility as are necessary to ensure the efficient and economic settlement of the transaction in question; and |
| --- | --- |

(a)

such links and arrangements between the designated settlement system and any other system or facility as are necessary to ensure the efficient and economic settlement of the transaction in question; and

| (b) | agreement by the competent authority responsible for the regulated market that technical conditions for settlement of transactions concluded on the regulated market through a settlement system other than that designated by the regulated market are such as to allow the smooth and orderly functioning of financial markets. |
| --- | --- |

(b)

agreement by the competent authority responsible for the regulated market that technical conditions for settlement of transactions concluded on the regulated market through a settlement system other than that designated by the regulated market are such as to allow the smooth and orderly functioning of financial markets.

3.   The rights of investment firms under paragraphs 1 and 2 shall be without prejudice to the right of operators of central counterparty, clearing or securities settlement systems to refuse on legitimate commercial grounds to make the requested services available.

4.   In order to ensure the
  consistent
  application of paragraphs 1, 2 and 3, the Commission shall adopt, in accordance with the procedure referred to in Article 60(2), implementing measures which clarify:

| (a) | the nature of the technical links between settlement systems designated by investment firms and other systems and facilities which are needed to ensure the efficient and economic settlement of transactions, and the conditions under which those links are to be considered adequate for the purposes of this Article; |
| --- | --- |

(a)

the nature of the technical links between settlement systems designated by investment firms and other systems and facilities which are needed to ensure the efficient and economic settlement of transactions, and the conditions under which those links are to be considered adequate for the purposes of this Article;

| (b) | those considerations which a competent authority is entitled to take into account when assessing whether the settlement of transactions on a regulated market through a securities settlement system other than that designated by the regulated market might prove prejudicial to the smooth and orderly functioning of financial markets. |
| --- | --- |

(b)

those considerations which a competent authority is entitled to take into account when assessing whether the settlement of transactions on a regulated market through a securities settlement system other than that designated by the regulated market might prove prejudicial to the smooth and orderly functioning of financial markets.

TITLE III

REGULATED MARKETS

Article 34

Authorisation and applicable law

1.   Member States shall reserve authorisation as a regulated market to those entities on their territory which comply with the provisions of this Title.

Authorisation as a regulated market shall be granted only where the competent authority is satisfied that both the market operator and the rules and systems of the regulated market comply with the requirements laid down in this Title.

In the event of a regulated market being a legal person and being managed or operated by a market operator other than the regulated market itself, Member States shall establish how the obligations imposed on market operators under this Directive are to be apportioned between the regulated market and the market operator.

2.   Member States shall require the
  operator of a
  regulated market to perform tasks relating to the organisation and operation of the regulated market under the supervision and responsibility of the competent authority. Member States shall ensure that competent authorities keep under regular review the compliance of regulated markets with the provisions of this Title.

3.   Without prejudice to any relevant provisions of Directive 2003/.../EC [on market abuse], the public law governing the transactions conducted under the rules and systems of the regulated market shall be that of the home Member State of the regulated market,
  unless the regulated market concerned determines that the law of another jurisdiction shall govern such transactions. The rules of the regulated market shall specify the governing law if it is not to be the law of the home Member State.

4.   Member States shall require
  the market operator
  to notify the competent authority of any intended change to the conditions under which authorisation was granted or to
  the
  programme of operations
  of a regulated market
  .

The competent authority shall refuse to authorise the proposed changes where the resulting programme of operations would not fulfil the conditions laid down in this Title.

5.   Member States shall provide that the competent authority may withdraw the authorisation granted to a regulated market where failure to comply with the provisions of this Title has resulted or may result in demonstrable and significant prejudice to the sound and prudent operation of the regulated market or the smooth and orderly functioning of financial markets.

Article 35

Requirements for the market operator

1.   Member States shall require the
  management of the
  market operator to be of sufficiently good repute and sufficiently experienced as to ensure the sound and prudent management of the regulated market. Member States shall also require
  the market operator
  to inform the competent authority of any changes to the identity of the
  senior management and key personnel
  of
  the market operator.

The competent authority shall refuse to approve proposed changes to the
  senior management and key
  personnel of the market operator where there are objective and demonstrable grounds for believing that they pose a threat to the sound and prudent management of the regulated market.

2.   Member States shall ensure that the market operator is responsible, in particular, for ensuring that the regulated market complies with all requirements under this Title.

3.   Member States shall require that the market operator possess, at the time of authorisation and on an ongoing basis, sufficient financial resources to facilitate the orderly functioning of the regulated market, having regard to the nature and extent of the transactions concluded on the regulated market and the range and degree of the risks to which the regulated market is exposed.

4.   In order to ensure the
  consistent
  application of paragraph 3, the Commission shall adopt, in accordance with the procedure referred to in Article 60(2), implementing measures to determine the financial resources that a market operator is to be required to hold, taking into account any other arrangements that may be used by the regulated market to mitigate the risks to which it is exposed.

5.   Market operators which are recognised by the competent authority of their home Member State as complying with paragraph 1 shall be deemed to comply with those requirements when seeking authorisation to establish a regulated market in another Member State.

Article 36

Requirements relating to persons exercising effective control of the operator of the regulated market

1.   Member States shall require the persons who are in a position to exercise, directly or indirectly, effective control of
  the operator of
  the regulated market to be suitable.

2.   Member States shall require the
  operator of the
  regulated market:

| (a) | to provide the competent authority with, and to make public, information regarding its ownership structure, and in particular, the identity and scale of interests of any parties in a position to exercise control over its operation; |
| --- | --- |

(a)

to provide the competent authority with, and to make public, information regarding its ownership structure, and in particular, the identity and scale of interests of any parties in a position to exercise control over its operation;

| (b) | to inform the competent authority of and to make public any transfer of ownership which gives rise to change in the identity of the persons exercising effective control. |
| --- | --- |

(b)

to inform the competent authority of and to make public any transfer of ownership which gives rise to change in the identity of the persons exercising effective control.

3.   The competent authority shall refuse to approve proposed changes to the controlling interests
  of the operator
  of the regulated market where there are objective and demonstrable grounds for believing that they would pose a threat to the sound and prudent management of the regulated market.

Article 37

Organisational requirements

Member States shall require
  the market operator
  :

| (a) | to have arrangements to identify clearly and manage the potential adverse consequences, for the operation of the regulated market or its participants, of any conflict of interest between the interest of the regulated market, its owners or its operator and the sound functioning of the regulated market, and in particular where such conflicts of interest might prove prejudicial to accomplishment of any functions delegated to the regulated market by the competent authority; |
| --- | --- |

(a)

to have arrangements to identify clearly and manage the potential adverse consequences, for the operation of the regulated market or its participants, of any conflict of interest between the interest of the regulated market, its owners or its operator and the sound functioning of the regulated market, and in particular where such conflicts of interest might prove prejudicial to accomplishment of any functions delegated to the regulated market by the competent authority;

| (b) | to be adequately equipped to manage the risks to which it is exposed, implement appropriate arrangements and systems to identify all significant risks to its operation, and have in place effective measures to mitigate those risks; |
| --- | --- |

(b)

to be adequately equipped to manage the risks to which it is exposed, implement appropriate arrangements and systems to identify all significant risks to its operation, and have in place effective measures to mitigate those risks;

| (c) | to have arrangements for the sound management of the technical operations of the system, including the establishment of effective contingency arrangements to cope with risks of systems disruptions; |
| --- | --- |

(c)

to have arrangements for the sound management of the technical operations of the system, including the establishment of effective contingency arrangements to cope with risks of systems disruptions;

| (d) | to have transparent and non-discretionary rules and procedures that provide for the efficient execution of orders in accordance with objective criteria
  , taking into account the nature of the users of the system and the type of instruments traded on it. The requirements of
  the competent authority of the home Member State
  of the regulated market shall be applicable
  ; |
| --- | --- |

(d)

to have transparent and non-discretionary rules and procedures that provide for the efficient execution of orders in accordance with objective criteria
  , taking into account the nature of the users of the system and the type of instruments traded on it. The requirements of
  the competent authority of the home Member State
  of the regulated market shall be applicable
  ;

| (e) | to have effective arrangements to facilitate the efficient and timely finalisation of the transactions executed under its rules and systems. |
| --- | --- |

(e)

to have effective arrangements to facilitate the efficient and timely finalisation of the transactions executed under its rules and systems.

Article 38

Admission of financial instruments to trading

1.   Member States shall
  require
  that regulated markets have
  , or are subject to,
  clear and transparent rules regarding the admission of financial instruments to trading. Member States shall require those rules to be approved by the competent authority, taking into account all implementing measures adopted pursuant to paragraph 6.

Those rules shall ensure that any financial instruments admitted to trading in a regulated market
  are capable of being traded in a
  fair, orderly and efficient
  manner and, in the case of transferable securities, are freely negotiable
  .

2.   In the case of derivatives, the rules shall ensure in particular that the design of the derivative contract allows for orderly pricing both in the derivative and in the underlying market
  and for effective and orderly settlement.

3.   In addition to the obligations set out in paragraphs 1 and 2, Member States shall require
  a
  regulated market
  that admits transferable securities to trading
  to establish and maintain effective arrangements to verify that issuers of
  such
  transferable securities being considered for admission to trading comply with their obligations under Community law in respect of initial, ongoing
  and
  ad hoc financial disclosure.

The competent authority shall ensure that
  a
  regulated market
  that admits transferable securities to trading
  establishes arrangements which facilitate its members or participants in obtaining access to information which has been made public under Community law
  by issuers of such transferable securities under Community law in respect of initial, ongoing or ad hoc financial disclosure
  .

4.   Member States shall ensure that regulated markets have established the necessary arrangements to review regularly the compliance with the admission requirements of the financial instruments which they admit to trading.

5.   Member States shall provide that once a transferable security issued in their territory has been admitted to trading on a regulated market, it can subsequently be admitted to trading on other regulated markets without the consent of the issuer
  in compliance with Article 4 of Directive 2003/.../EC of the European Parliament and of the Council of ... [on the prospectus to be published when securities are offered to the public or admitted to trading] (21)

  . The issuer shall be informed by the
  operator of the
  regulated market of the fact that its securities are traded on that regulated market. The issuer shall not be subject to any obligation to provide information required under paragraph 3 directly to any regulated market which has admitted the issuer's securities to trading without its consent.
  The operator of the regulated market shall also inform the competent authority of the home Member State that securities have been admitted to trading without the consent of the issuer.

6.   In order to ensure the
  consistent
  application of paragraphs 1 to 5, the Commission shall, in accordance with the procedure referred to in Article 60(2) adopt implementing measures which:

| (a) | specify the characteristics of different classes of instruments to be taken into account by the regulated market when assessing whether an instrument is issued in a manner consistent with the conditions laid down in the second subparagraph of paragraph 1 for admission to trading on the different market segments which it operates; |
| --- | --- |

(a)

specify the characteristics of different classes of instruments to be taken into account by the regulated market when assessing whether an instrument is issued in a manner consistent with the conditions laid down in the second subparagraph of paragraph 1 for admission to trading on the different market segments which it operates;

| (b) | clarify the arrangements that the regulated market is to implement so as to be considered to have fulfilled its obligation to verify that the issuer of a transferable security complies with its obligations under Community law in respect of initial, ongoing or ad hoc financial disclosure. |
| --- | --- |

(b)

clarify the arrangements that the regulated market is to implement so as to be considered to have fulfilled its obligation to verify that the issuer of a transferable security complies with its obligations under Community law in respect of initial, ongoing or ad hoc financial disclosure.

| (c) | clarify the arrangements that the regulated market is to establish in order to facilitate its members or participants in obtaining access to information which has been made public under Community law. |
| --- | --- |

(c)

clarify the arrangements that the regulated market is to establish in order to facilitate its members or participants in obtaining access to information which has been made public under Community law.

Article 39

Suspension and removal of instruments from trading

1.   Without prejudice to the right of the competent authority under Article 47(1)(j) and (k) to demand suspension or removal of an instrument from trading, the regulated market may suspend or remove from trading a financial instrument which no longer complies with its rules
  or other obligations
  unless such a step would be likely to prove detrimental to investors' interests or the orderly functioning of the market.

Member States shall ensure that a regulated market which suspends or removes from trading a financial instrument makes public this decision and communicates relevant information to the competent authority. The competent authority shall be required to inform competent authorities of other Member States accordingly.

2.   A competent authority which demands the suspension or removal of a financial instrument from trading on one or more regulated markets shall immediately make public its decision and inform the competent authorities of other Member States accordingly.

Article 40

Access to the regulated market

1.   Member States shall require the regulated market to establish and maintain transparent rules, based on objective commercial criteria, governing access to or membership of the regulated market. Those rules shall specify any obligations for the members or participants arising from:

| (a) | the constitution and administration of the regulated market; |
| --- | --- |

(a)

the constitution and administration of the regulated market;

| (b) | rules relating to transactions on the market; |
| --- | --- |

(b)

rules relating to transactions on the market;

| (c) | professional standards imposed on staff operating on and in conjunction with the market; |
| --- | --- |

(c)

professional standards imposed on staff operating on and in conjunction with the market;

| (d) | the rules and procedures for the clearing and settlement of transactions concluded on the regulated market. |
| --- | --- |

(d)

the rules and procedures for the clearing and settlement of transactions concluded on the regulated market.

Member States shall also ensure that regulated markets establish effective arrangements to monitor the continued compliance of members and participants with those rules.

2.   Member States shall ensure that regulated markets
  may offer
  membership or access to
  any person, with the exception of those who lack the requisite expertise, experience and financial resources to trade on the regulated market in question
  .

The competent authority shall assess whether the rules of a regulated market governing membership and access to that market are appropriate, taking into account the specific characteristics of the regulated market in question and, in particular, the nature of the financial instruments traded, as well as the infrastructure in place to facilitate management of the risks associated with access and with the orderly functioning of the market in question.

3.   Member States shall ensure that the rules on access to or membership of the regulated market provide for the direct, indirect or remote participation of investment firms.

4.   Member States shall, without further legal or administrative requirement, allow regulated markets from other Member States to provide appropriate arrangements on their territory so as to facilitate access to and trading on those markets by remote members or participants established in their territory.

5.   Member States shall require the regulated market to communicate, on a regular basis, the list of its members and participants to its competent authority.

Article 41

Monitoring of trading on regulated markets

1.   Member States shall ensure that regulated markets establish and maintain effective arrangements and procedures for the regular monitoring of transactions undertaken by their members or participants under their rules and systems in order to identify breaches of those rules, disorderly trading conditions or conduct that may involve market abuse.

2.   Member States shall require regulated markets to report breaches of their rules or of legal obligations relating to market integrity to the competent authority. Member States shall also require the regulated market to supply the relevant information immediately to the competent authority and to provide full assistance to the latter in investigating and prosecuting market abuse undertaken on or through the systems of the regulated market.
  Member States shall not require operators of regulated markets to provide details of insignificant breaches of their rules.

Article 42

Pre-trade transparency requirements for regulated markets

1.   Member States shall require regulated markets to make public current bid and offer prices which are advertised through their systems for shares admitted to trading. Member States shall require this information to be made available to the public on reasonable commercial terms and on a continuous basis during normal trading hours.

Member States shall also require any regulated market to make public, through the arrangements employed for making public the information required under the first subparagraph, firm bid and offer prices in shares which it has admitted to trading and which are communicated to it by investment firms pursuant to Article 25.

2.   Member States shall provide that the competent authorities may waive the obligation for regulated markets to make public the information referred to in paragraph 1 in respect of
  quotes, orders and other indications of interest
  that are large in scale compared with normal market size for the share or type of share in question.

3.   In order to ensure the
  consistent
  application of paragraphs 1 and 2, the Commission shall, in accordance with the procedure referred to in Article 60(2) adopt implementing measures as regards:

| (a) | the range of bid and offers or designated market-maker quotes, and the depth of trading interest at those prices, to be made public; |
| --- | --- |

(a)

the range of bid and offers or designated market-maker quotes, and the depth of trading interest at those prices, to be made public;

| (b) | the types of order or market-maker quote to be made public; |
| --- | --- |

(b)

the types of order or market-maker quote to be made public;

| (c) | the size or type of transactions for which pre-trade disclosure may be waived under paragraph 2; |
| --- | --- |

(c)

the size or type of transactions for which pre-trade disclosure may be waived under paragraph 2;

| (d) | the applicability of paragraphs 1 and 2 to trading methods operated by regulated markets which conclude transactions under their rules by reference to prices established outside the rules and systems of the regulated market or by periodic auction; |
| --- | --- |

(d)

the applicability of paragraphs 1 and 2 to trading methods operated by regulated markets which conclude transactions under their rules by reference to prices established outside the rules and systems of the regulated market or by periodic auction;

| (e) | appropriate arrangements for making the information public on a reasonable commercial basis. |
| --- | --- |

(e)

appropriate arrangements for making the information public on a reasonable commercial basis.

Article 43

Post-trade transparency requirements for regulated markets

1.   Member States shall require regulated markets to make public the price, volume and time of the transactions executed under their rules and systems in respect of shares admitted to trading. Member States shall require details of all such transactions to be made public, on a reasonable commercial basis and as close to real-time as possible.

Member States shall also require any regulated market to make public, through the arrangements employed for making public the information required under the first subparagraph, details of transactions in shares which it has admitted to trading and which have been reported to it by investment firms pursuant to Article 26.

2.   Member States shall provide that the competent authority may authorise regulated markets to provide for deferred publication of the details of transactions that are large in scale compared with the normal market size for that share or that class of shares. The competent authority must give prior approval to proposed arrangements for deferred trade-publication, and ensure that these arrangements are clearly disclosed to market participants and the investing public.

3.   In order to provide for the efficient and orderly functioning of financial markets, and to ensure the
  consistent
  application of paragraphs 1 and 2, the Commission shall, in accordance with the procedure referred to in Article 60(2) adopt implementing measures in respect of:

| (a) | the scope and content of the information to be made available to the public; |
| --- | --- |

(a)

the scope and content of the information to be made available to the public;

| (b) | the conditions under which a regulated market may provide for deferred publication of trades and the sizes of transaction or types of share for which deferred publication is allowed; |
| --- | --- |

(b)

the conditions under which a regulated market may provide for deferred publication of trades and the sizes of transaction or types of share for which deferred publication is allowed;

| (c) | appropriate arrangements for making the information public on a reasonable commercial basis. |
| --- | --- |

(c)

appropriate arrangements for making the information public on a reasonable commercial basis.

Article 44

Provisions regarding clearing arrangements

1.   Member States shall provide that regulated markets have the right to enter into appropriate arrangements with a central counterparty or clearing house of another Member State
  or of an appropriately authorised third country
  with a view to providing for the novation or netting of some or all trades concluded by market participants under their rules and systems.

2.   The competent authority of a regulated market may not oppose the use of central counterparty or clearing houses in another Member State except where this is demonstrably necessary in order to maintain the orderly functioning of that regulated market.

Article 45

List of regulated markets

Each Member State shall draw up a list of the regulated markets for which it is the home Member State and shall forward that list to the other Member States and the Commission. A similar communication shall be effected in respect of each change to that list. The Commission shall publish a list of all regulated markets in the Official Journal of the European Union and update it at least once a year.

TITLE IV

COMPETENT AUTHORITIES

CHAPTER I

DESIGNATION, POWERS, RESOURCES AND REDRESS PROCEDURES

Article 46

Designation of competent authorities

1.   Each Member State shall designate a competent authority to carry out each of the duties provided for under the provisions of this Directive. Member States shall inform the Commission of the identity of the competent authority responsible for enforcement of each of those duties, and of any division of those duties.

The Commission shall publish a list of competent authorities in the Official Journal of the European Union and update it at least once a year.

2.   The competent authorities referred to in paragraph 1 shall be public authorities, without prejudice to the possibility of delegating functions to other entities where that is expressly provided for.

Such delegation may take place only if a clearly defined and documented framework for the exercise of any delegated functions has been established. Prior to delegation, competent authorities shall ensure that the body to which functions are to be delegated has the capacity and resources to effectively execute all responsibilities and that it has established the necessary arrangements to clearly identify and avoid the potential negative effects of any conflict of interest between the exercise of the delegated functions and any other proprietary or commercial interest.

Competent authorities shall periodically review the effectiveness of these arrangements. They shall retain ultimate responsibility for ensuring that the provisions adopted pursuant to this Directive are applied.

3.   If a Member State designates more than one competent authority to enforce a provision of this Directive, their respective roles shall be clearly defined and they shall cooperate closely.

Each Member State shall ensure that such cooperation also takes place between the competent authorities for the purposes of this Directive and the competent authorities responsible in that Member State for the supervision of credit and other financial institutions and insurance undertakings.

Member States shall ensure that those authorities exchange any information which is essential or relevant for the exercise of their duties.

Article 47

Powers to be made available to competent authorities

1.   Member States shall ensure that the competent authorities possess all supervisory, investigatory and enforcement powers necessary for the exercise of their functions. They shall exercise such powers in conformity with national law, either directly or, where appropriate, in cooperation with other authorities, including judicial authorities.

In particular, Member States shall ensure that competent authorities have at least the powers to:

| (a) | have access to any document in any form whatsoever; |
| --- | --- |

(a)

have access to any document in any form whatsoever;

| (b) | request additional information from any person, investment firm or regulated market, and if needed to summon and question a person with a view to obtaining information; |
| --- | --- |

(b)

request additional information from any person, investment firm or regulated market, and if needed to summon and question a person with a view to obtaining information;

| (c) | carry out on-site inspections; |
| --- | --- |

(c)

carry out on-site inspections;

| (d) | require existing telephone and data traffic records; |
| --- | --- |

(d)

require existing telephone and data traffic records;

| (e) | require cessation of a practice that is contrary to the provisions laid down pursuant to this Directive; |
| --- | --- |

(e)

require cessation of a practice that is contrary to the provisions laid down pursuant to this Directive;

| (f) | request the freezing and/or the sequestration of assets; |
| --- | --- |

(f)

request the freezing and/or the sequestration of assets;

| (g) | request temporary prohibition of professional activity; |
| --- | --- |

(g)

request temporary prohibition of professional activity;

| (h) | require authorised entities' auditors to provide information; |
| --- | --- |

(h)

require authorised entities' auditors to provide information;

| (i) | adopt any type of measure to ensure that authorised entities continue to comply with the legal requirements; |
| --- | --- |

(i)

adopt any type of measure to ensure that authorised entities continue to comply with the legal requirements;

| (j) | demand the suspension of trading in a financial instrument; |
| --- | --- |

(j)

demand the suspension of trading in a financial instrument;

| (k) | demand the removal of a financial instrument from trading, whether on a regulated market or under other trading arrangements; |
| --- | --- |

(k)

demand the removal of a financial instrument from trading, whether on a regulated market or under other trading arrangements;

| (l) | seek judicial orders and take other action to ensure compliance with these regulatory, administrative and investigation powers; |
| --- | --- |

(l)

seek judicial orders and take other action to ensure compliance with these regulatory, administrative and investigation powers;

| (m) | impose administrative sanctions; |
| --- | --- |

(m)

impose administrative sanctions;

| (n) | initiate or refer matters for criminal prosecution. |
| --- | --- |

(n)

initiate or refer matters for criminal prosecution.

2.   Member States shall ensure that competent authorities have the adequate resources for the exercise of their functions, and that the staff of such authorities observe professional standards and are subject to appropriate internal procedures or rules of conduct which ensure, in particular, the protection of personal data, procedural fairness and the proper observance of confidentiality and secrecy provisions.

Article 48

Sanctions

1.   Without prejudice to the procedures for the withdrawal of authorisation or to the right of Member States to impose criminal penalties, Member States shall ensure, in conformity with their national law, that the competent authorities take appropriate administrative measures or impose administrative sanctions in respect of the persons responsible where the provisions adopted pursuant to this Directive have not been complied with. Member States shall ensure that these measures are effective, proportionate and dissuasive.

2.   Member States shall determine the sanctions to be applied for failure to co-operate in an investigation.

3.   Member States shall provide that the competent authority may disclose to the public any measure or sanction that will be imposed for infringement of the provisions adopted pursuant to this Directive, unless the disclosure would jeopardise the financial markets or cause disproportionate damage to the parties involved.

Article 49

Right of appeal

1.   Member States shall ensure that any decision taken under laws, regulations or administrative provisions adopted in accordance with this Directive is properly reasoned and is open to appeal or review by the courts. The same shall apply where, in respect of an application for authorisation which provides all the information required, no decision is taken within six months of its submission.

2.   With regard to the right of appeal referred to in paragraph 1, Member States shall provide that
  public bodies or their representatives
  as determined by national law, may, in the interests of consumers and in accordance with national law, take action before the competent authority or the
  courts.

Article 50

Extra-judicial mechanism for investors' complaints

1.   Member States shall set up efficient and effective complaints and redress procedures for the out-of-court settlement of consumer disputes concerning the provision of investment and ancillary services provided by investment firms, using existing bodies where appropriate.

2.   Member States
  shall cooperate to identify, share and encourage best practice and
  shall ensure that those bodies are not prevented by legal or regulatory provisions from cooperating effectively in the resolution of cross-border disputes.

Article 51

Professional secrecy

1.   Member States shall ensure that all persons who work or who have worked for the competent authorities or bodies to whom functions are delegated pursuant to Article 46(2), as well as auditors and experts instructed by the competent authorities, are bound by the obligation of professional secrecy. No confidential information which they may receive in the course of their duties may be divulged to any person or authority whatsoever, save in summary or aggregate form such that individual investment firms cannot be identified, without prejudice to cases covered by criminal law.

2.   Where an investment firm has been declared bankrupt or is being compulsorily wound up, confidential information which does not concern third parties involved in attempts to rescue that investment firm may be divulged in civil or commercial proceedings.

Article 52

Relations with auditors

1.   Member States shall provide at least that any person authorised within the meaning of Council Directive 84/253/EEC (22), performing in an investment firm the task described in Article 51 of Council Directive 78/660/EEC (23), Article 37 of Directive 83/349/EEC or Article 31 of Directive 85/611/EEC or any other task prescribed by law, shall have a duty to report promptly to the competent authorities any fact or decision concerning that undertaking of which that person has become aware while carrying out that task and which is liable to:

| (a) | constitute a material breach of the laws, regulations or administrative provisions which lay down the conditions governing authorisation or which specifically govern pursuit of the activities of investment firms; |
| --- | --- |

(a)

constitute a material breach of the laws, regulations or administrative provisions which lay down the conditions governing authorisation or which specifically govern pursuit of the activities of investment firms;

| (b) | affect the continuous functioning of the investment firm; |
| --- | --- |

(b)

affect the continuous functioning of the investment firm;

| (c) | lead to refusal to certify the accounts or to the expression of reservations. |
| --- | --- |

(c)

lead to refusal to certify the accounts or to the expression of reservations.

That person shall also have a duty to report any facts and decisions of which the person becomes aware in the course of carrying out one of the tasks referred to in the first subparagraph in an undertaking having close links resulting from a control relationship with the investment firm within which he is carrying out that task.

2.   The disclosure in good faith to the competent authorities, by persons authorised within the meaning of Directive 84/253/EEC, of any fact or decision referred to in paragraph 1 shall not constitute a breach of any contractual or legal restriction on disclosure of information and shall not involve such persons in liability of any kind.

CHAPTER II

COOPERATION BETWEEN COMPETENT AUTHORITIES OF DIFFERENT MEMBER STATES

Article 53

Obligation to cooperate

1.   Competent authorities of different Member States shall co-operate with each other whenever necessary for the purpose of carrying out their duties under this Directive, in the exercise of their powers under this Directive or national law.

Competent authorities shall render assistance to competent authorities of other Member States. In particular, they shall exchange information and co-operate in any investigation activities.

2.   Member States shall take the necessary administrative and organisational measures to facilitate the assistance provided for in paragraph 1.

Competent authorities
  shall use
  their powers
  to the full
  for the purpose of cooperation, even in cases where the conduct under investigation does not constitute an infringement of any regulation in force in that Member State.

3.   Where a competent authority is convinced that acts contrary to the provisions of this Directive, carried out by entities not subject to its supervision, are being or have been carried out on the territory of another Member State, it shall notify this in as specific a manner as possible to the competent authority of the other Member State. The latter authority shall take appropriate action. It shall inform the notifying competent authority of the outcome of the action and, to the extent possible, of significant interim developments.

Article 54

Cooperation in investigations

1.   A competent authority of one Member State may request the co-operation of the competent authority of another Member State for an on-the-spot verification or in an investigation.

Competent authorities which receive such requests shall, within the framework of their powers, act upon them by:

| (a) | carrying out the verifications themselves; |
| --- | --- |

(a)

carrying out the verifications themselves;

| (b) | allowing the authorities who have requested them to carry them out; or |
| --- | --- |

(b)

allowing the authorities who have requested them to carry them out; or

| (c) | allowing auditors or experts to carry out the verification. |
| --- | --- |

(c)

allowing auditors or experts to carry out the verification.

2.   A competent authority may refuse to act on a request for cooperation in carrying out an investigation as provided for in paragraph 1 only where:

| (a) | such an investigation might adversely affect the sovereignty, security or public policy of the State addressed; |
| --- | --- |

(a)

such an investigation might adversely affect the sovereignty, security or public policy of the State addressed;

| (b) | judicial proceedings have already been initiated in respect of the same actions and the same persons before the authorities of the Member State addressed; |
| --- | --- |

(b)

judicial proceedings have already been initiated in respect of the same actions and the same persons before the authorities of the Member State addressed;

| (c) | final judgement has already been given in the Member State addressed in respect of the same persons and the same actions. |
| --- | --- |

(c)

final judgement has already been given in the Member State addressed in respect of the same persons and the same actions.

In the case of such a refusal, the competent authority shall notify the requesting competent authority accordingly, providing as detailed information as possible.

Article 55

Exchange of information

1.   Competent authorities of Member States shall immediately supply one another with the information required for the purposes of carrying out their duties set out in the provisions adopted pursuant to this Directive.

Article 51 shall not prevent the competent authorities from exchanging information in accordance with this Directive.

Competent authorities communicating information shall indicate what information, or part of it, thus supplied shall be considered confidential and therefore covered by professional secrecy.

The Commission may adopt, in accordance with the procedure referred to in Article 60(2), implementing measures concerning procedures for the exchange of information.

2.   Competent authorities receiving confidential information under paragraph 1 of this Article or under Articles 52 and 59 may use it only in the course of their duties:

| (a) | to check that the conditions governing the taking up of the business of investment firms are met and to facilitate the monitoring, on a non-consolidated or consolidated basis, of the conduct of that business, especially with regard to the capital adequacy requirements imposed by Directive 93/6/EEC, administrative and accounting procedures and internal-control mechanisms; |
| --- | --- |

(a)

to check that the conditions governing the taking up of the business of investment firms are met and to facilitate the monitoring, on a non-consolidated or consolidated basis, of the conduct of that business, especially with regard to the capital adequacy requirements imposed by Directive 93/6/EEC, administrative and accounting procedures and internal-control mechanisms;

| (b) | to monitor the proper functioning of trading venues; |
| --- | --- |

(b)

to monitor the proper functioning of trading venues;

| (c) | to impose sanctions; |
| --- | --- |

(c)

to impose sanctions;

| (d) | in administrative appeals against decisions by the competent authorities; or |
| --- | --- |

(d)

in administrative appeals against decisions by the competent authorities; or

| (e) | in court proceedings initiated under Article 49. |
| --- | --- |

(e)

in court proceedings initiated under Article 49.

However, where the competent authority communicating information consents thereto, the authority receiving the information may use it for other purposes.

3.   Paragraphs 1 and 2 of this Article and Article 51 shall neither preclude the disclosure of information to bodies which administer compensation schemes where this is necessary for the performance of their functions nor the exchange of information needed for the performance of supervisory functions:

| (a) | within a Member State or between Member States, between competent authorities and






  (i) | bodies responsible for the liquidation and bankruptcy of investment firms and other similar procedures; |
| --- | --- | --- |

(a)

within a Member State or between Member States, between competent authorities and

(i)

bodies responsible for the liquidation and bankruptcy of investment firms and other similar procedures;

| (ii) | and persons responsible for carrying out statutory audits of the accounts of investment firms and other financial institutions and insurance undertakings, |
| --- | --- |

(ii)

and persons responsible for carrying out statutory audits of the accounts of investment firms and other financial institutions and insurance undertakings,

| (b) | between competent authorities and the authorities or bodies of other Member States responsible for the supervision of credit institutions, other financial institutions and insurance undertakings. |
| --- | --- |

(b)

between competent authorities and the authorities or bodies of other Member States responsible for the supervision of credit institutions, other financial institutions and insurance undertakings.

Such information shall be subject to the conditions of professional secrecy laid down in Article 51.

4.   Notwithstanding paragraphs 1 and 2 of this Article and Articles 51 and 59, Member States may authorise exchanges of information between, the competent authorities and:

| (a) | the authorities responsible for overseeing the bodies involved in the liquidation and bankruptcy of investment firms and other similar procedures; |
| --- | --- |

(a)

the authorities responsible for overseeing the bodies involved in the liquidation and bankruptcy of investment firms and other similar procedures;

| (b) | the authorities responsible for overseeing persons charged with carrying out statutory audits of the accounts of insurance undertakings, credit institutions, investment firms and other financial institutions. |
| --- | --- |

(b)

the authorities responsible for overseeing persons charged with carrying out statutory audits of the accounts of insurance undertakings, credit institutions, investment firms and other financial institutions.

Member States which have recourse to the option provided for in the first subparagraph shall require at least that the following conditions are met:

| (a) | the information must be for the purpose of performing the task of overseeing referred to in the first subparagraph; |
| --- | --- |

(a)

the information must be for the purpose of performing the task of overseeing referred to in the first subparagraph;

| (b) | information received in that context must be subject to the conditions of professional secrecy laid down in Article 51; |
| --- | --- |

(b)

information received in that context must be subject to the conditions of professional secrecy laid down in Article 51;

| (c) | where the information originates in another Member State, it must not be disclosed without the express agreement of the competent authorities which have transmitted it and, where appropriate, solely for the purposes for which those authorities gave their agreement. |
| --- | --- |

(c)

where the information originates in another Member State, it must not be disclosed without the express agreement of the competent authorities which have transmitted it and, where appropriate, solely for the purposes for which those authorities gave their agreement.

Member States shall communicate to the Commission and to the other Member States the names of the authorities which may receive information pursuant to this paragraph.

5.   Notwithstanding paragraphs 1 and 2 of this Article and Articles 51 and 59, Member States shall, with the aim of strengthening the stability and integrity of the financial system, authorise the exchange of information between the competent authorities and the authorities or bodies with legal responsibility for the detection and investigation of breaches of company law.

Member States which have recourse to the option provided for in the first subparagraph shall require at least that the following conditions are met:

| (a) | the information shall be for the purpose of performing the task referred to in the first subparagraph; |
| --- | --- |

(a)

the information shall be for the purpose of performing the task referred to in the first subparagraph;

| (b) | information received in this context shall be subject to the conditions of professional secrecy imposed in Article 51; |
| --- | --- |

(b)

information received in this context shall be subject to the conditions of professional secrecy imposed in Article 51;

| (c) | where the information originates in another Member State, it must not be disclosed without the express agreement of the competent authorities which have transmitted it and, where appropriate, solely for the purposes for which those authorities gave their agreement. |
| --- | --- |

(c)

where the information originates in another Member State, it must not be disclosed without the express agreement of the competent authorities which have transmitted it and, where appropriate, solely for the purposes for which those authorities gave their agreement.

Where, in a Member State, the authorities or bodies referred to in the first subparagraph perform their task of detection or investigation with the aid, in view of their specific competence, of persons appointed for that purpose and not employed in the public sector, the possibility of exchanging information provided for in the first subparagraph may be extended to such persons under the conditions stipulated in the second subparagraph.

In cases referred to in point (c) of the second subparagraph, the authorities or bodies referred to in the first subparagraph shall communicate to the competent authorities which have transmitted the information the names and precise responsibilities of the persons to whom it is to be sent.

Member States shall communicate to the Commission and to the other Member States the names of the authorities or bodies which may receive information pursuant to this paragraph.

6.   This Article and Articles 51 and 59 shall not prevent a competent authority from transmitting to central banks, the European System of Central Banks and the European Central Bank, in their capacity as monetary authorities, and, where appropriate, to other public authorities responsible for overseeing payment systems, information intended for the performance of their tasks.

Likewise such authorities or bodies shall not be prevented from communicating to the competent authorities such information as they may need for the purposes of paragraph 3. Information received in this context shall be subject to the conditions of professional secrecy laid down in Article 51.

7.   This Article and Articles 51 and 59 shall not prevent the competent authorities from communicating the information to a clearing house or other similar body recognised under national law for the provision of clearing or settlement services for the markets of one of the Member States, if the competent authorities consider that it is necessary to communicate that information in order to ensure the proper functioning of those bodies in relation to defaults or potential defaults by market participants.

The information received shall be subject to the conditions of professional secrecy laid down in Article 51. The Member States shall, however, ensure that information received under paragraph 1 of this Article may not be disclosed in the circumstances referred to in this paragraph without the express consent of the competent authorities which transmitted it.

8.   In addition to and notwithstanding the provisions referred to in paragraphs 1 and 2 and in Articles 51 and 59, Member States may, by virtue of provisions laid down by law, authorise the disclosure of certain information to other departments of their central government administrations responsible for legislation on the supervision of credit institutions, financial institutions, investment firms and insurance undertakings and to inspectors instructed by those departments.

Such disclosures may, however, be made only where necessary for reasons of prudential supervision.

9.   This Article and Article 51 shall not prevent the competent authorities from communicating information to any body or bodies to whom they have delegated their functions if they consider it necessary in order to ensure the proper exercise of those functions.

The information received shall be subject to the conditions of professional secrecy laid down in Article 51. The Member States shall, however, ensure that information received under paragraph 1 of this Article from the competent authorities of other Member States may not be disclosed in the circumstances referred to in this paragraph without the express consent of the competent authorities which transmitted it.

Article 56

Inter-authority consultation prior to supplementary authorisation

1.   The competent authorities of the other Member State involved shall be consulted prior to granting authorisation to any investment firm which is:

| (a) | a subsidiary of an investment firm or credit institution authorised in another Member State; |
| --- | --- |

(a)

a subsidiary of an investment firm or credit institution authorised in another Member State;

| (b) | a subsidiary of the parent undertaking of an investment firm or credit institution authorised in another Member State; |
| --- | --- |

(b)

a subsidiary of the parent undertaking of an investment firm or credit institution authorised in another Member State;

| (c) | controlled by the same natural or legal persons as control an investment firm or credit institution authorised in another Member State |
| --- | --- |

(c)

controlled by the same natural or legal persons as control an investment firm or credit institution authorised in another Member State

2.   The competent authority of the Member State responsible for the supervision of credit institutions or insurance undertakings shall be consulted prior to granting an authorisation to an investment firm which is:

| (a) | a subsidiary of a credit institution or insurance undertaking authorised in the Community; or |
| --- | --- |

(a)

a subsidiary of a credit institution or insurance undertaking authorised in the Community; or

| (b) | a subsidiary of the parent undertaking of a credit institution or insurance undertaking authorised in the Community; |
| --- | --- |

(b)

a subsidiary of the parent undertaking of a credit institution or insurance undertaking authorised in the Community;

| (c) | controlled by the same person, whether natural or legal, who controls a credit institution or insurance undertaking authorised in the Community. |
| --- | --- |

(c)

controlled by the same person, whether natural or legal, who controls a credit institution or insurance undertaking authorised in the Community.

3.   The relevant competent authorities referred to in paragraphs 1 and 2 shall in particular consult each other when assessing the suitability of the shareholders and the reputation and experience of directors involved in the management of another entity of the same group. They shall exchange all information regarding the suitability of shareholders and the reputation and experience of directors that is of relevance to the other competent authorities involved, for the granting of an authorisation as well as for the ongoing assessment of compliance with operating conditions.

Article 57

Powers for host Member States

1.   Host Member States may, for statistical purposes, require all investment firms with branches within their territories to report to them periodically on the activities of those branches.

2.   In discharging their responsibilities under this Directive, host Member States may require branches of investment firms to provide the information necessary for the monitoring of their compliance with the standards set by the host Member State that apply to them. Those requirements may not be more stringent than those which the same Member State imposes on established firms for the monitoring of their compliance with the same standards.

Article 58

Precautionary powers for host Member States

1.   Where the competent authority of the host Member State has clear and demonstrable grounds for believing that an investment firm acting within its territory under the freedom to provide services is in breach of the obligations arising from the provisions adopted pursuant to this Directive, it shall refer those findings to the competent authority of the home Member State.

2.   If
  in exceptional circumstances
  , despite the measures taken by the competent authority of the home Member State or because such measures prove inadequate, the investment firm persists in acting in a manner that is clearly prejudicial to the interests of host country investors or the orderly functioning of markets, the competent authority of the host Member State, after informing the competent authority of the home Member State, shall take all the appropriate measures needed in order to protect investors and the proper functioning of the markets. The Commission shall be informed of such measures without delay.

Article 59

Exchange of information with third countries

1.   Member States may conclude cooperation agreements providing for the exchange of information with the competent authorities of third countries or with third country authorities or bodies whose responsibilities are analogous to those of the bodies referred to in points (i) and (ii) of Article 55(3)(a) and points (a) and (b) of the first subparagraph of Article 55(4) only if the information disclosed is subject to guarantees of professional secrecy at least equivalent to those required under Article 51. Such exchange of information must be intended for the performance of the supervisory task of those authorities or bodies.

2.   Where the information originates in another Member State, it may not be disclosed without the express agreement of the competent authorities which have transmitted it and, where appropriate, solely for the purposes for which those authorities gave their agreement.

TITLE V

FINAL PROVISIONS

Article 60

1.   The Commission shall be assisted by the European Securities Committee instituted by Commission Decision 2001/528/EC (24)
  of 6 June 2001 (hereinafter referred to as ‘the Committee’).

2.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof, provided that the implementing measures adopted in accordance with this procedure do not modify the essential provisions of this Directive.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be three months.

3.   Without prejudice to the implementing measures already adopted, on the expiry of a four-year period following the entry into force of this Directive, the application of its provisions requiring the adoption of technical rules and decisions in accordance with paragraph 2 shall be suspended. On a proposal from the Commission, the European Parliament and the Council may renew the provisions concerned in accordance with the procedure laid down in Article 251 of the Treaty and, to that end, they shall review them prior to the expiry of that period.

Article 61

The Commission shall seek to ensure that any implementing measures adopted under this Directive are proportionate to the regulatory goals sought and shall take account of the impact of these measures (including cost impact) on the differing sizes, business activities and business structures of credit institutions authorised under Directive 2000/12/EC, investment firms and operators of regulated markets.

Article 62

Reports and review

1.
     
  The committee referred to in Article 60(1) shall monitor and evaluate the impact of Article 25 — and of the exemptions provided for therein — in terms of market distortion, distortion of competition and creation of counterparty risk, and report to the Commission. On the basis of such reports, the Commission shall submit proposals for amendments to this Directive with a view to taking prompt remedial action.

2.   Not later than ... (25) the Commission shall, on the basis of public consultation and in the light of discussions with competent authorities, report to the European Parliament and Council on:

| (a) | the continued appropriateness of the obligation in Article 25 for investment firms to make public bids and offers; |
| --- | --- |

(a)

the continued appropriateness of the obligation in Article 25 for investment firms to make public bids and offers;

| (b) | the possible extension of scope of the provisions of the Directive concerning pre- and post-trade transparency obligations to transactions in classes of financial instrument other than shares. |
| --- | --- |

(b)

the possible extension of scope of the provisions of the Directive concerning pre- and post-trade transparency obligations to transactions in classes of financial instrument other than shares.

On the basis of that report, the Commission may submit proposals for related amendments to this Directive.

3.   Not later
  than ... (26), the
  Commission shall, on the basis of public consultations and in the light of discussions with competent authorities, report to the European Parliament and Council on:

| (a) | the continued appropriateness of the exemption under Article 2(1)(i)
  of this Directive for persons or
  undertakings whose main business is dealing on own account in commodities
  and/or the
  derivatives
  referred to in that point
  ; |
| --- | --- |

(a)

the continued appropriateness of the exemption under Article 2(1)(i)
  of this Directive for persons or
  undertakings whose main business is dealing on own account in commodities
  and/or the
  derivatives
  referred to in that point
  ;

| (b) | the content and form of proportionate requirements for the authorisation and supervision of such undertakings as investment firms within the meaning of this Directive; |
| --- | --- |

(b)

the content and form of proportionate requirements for the authorisation and supervision of such undertakings as investment firms within the meaning of this Directive;

| (c) | modifications to the rules laid down in Directive 93/6/EEC for those persons or undertakings which deal in commodities or the derivatives referred to in Article 2(1)(i) to ensure that those rules are proportionate, having regard to the nature of that business. |
| --- | --- |

(c)

modifications to the rules laid down in Directive 93/6/EEC for those persons or undertakings which deal in commodities or the derivatives referred to in Article 2(1)(i) to ensure that those rules are proportionate, having regard to the nature of that business.

On the basis of that report, the Commission may submit proposals for related amendments to this Directive.

4.
     
  Not later than ... (27), the Commission shall, on the basis of public consultations and in the light of discussions with the competent authorities, report to the European Parliament and Council on:

| (a) | the appropriateness of the criteria laid down in Article 3(1)(24) for classification as systematic internalisation; |
| --- | --- |

(a)

the appropriateness of the criteria laid down in Article 3(1)(24) for classification as systematic internalisation;

| (b) | suitable requirements in relation to the practice of systematic internalisation. |
| --- | --- |

(b)

suitable requirements in relation to the practice of systematic internalisation.

On the basis of that report, the Commission may submit proposals for related amendments to this Directive.

5.
     
  The Commission shall assess the need to lay down at European level definitions of central counterparty and clearing and settlement systems. On the basis of this assessment, the Commission shall submit a proposal to the European Parliament and Council.

Article 63

Amendment of Directive 85/611/EEC

In Article 5 of Directive 85/611/EEC, paragraph 4 is replaced by the following:

‘4.   Articles 2(2), 11, 12, 17 and 18 of European Parliament and Council Directive 2003/.../EC
   (28) [OPOCE to insert number of this Directive] shall apply to the provision of the services referred to in paragraph 3 of this Article by management companies.

Article 64

Amendment of Directive 93/6/EEC

Amendment of Directive 93/6/EEC

In Directive 93/6/EEC, point (2) of Article 2 is replaced by the following:

| ‘2. | Investment firms shall mean all institutions that provide investment services in accordance with European Parliament and Council Directive 2003/.../EC
   (29) [OPOCE to insert reference to this Directive] with the exception of:






  (a) | credit institutions; |
| --- | --- | --- |

‘2.

Investment firms shall mean all institutions that provide investment services in accordance with European Parliament and Council Directive 2003/.../EC
   (29) [OPOCE to insert reference to this Directive] with the exception of:

(a)

credit institutions;

| (b) | local firms; |
| --- | --- |

(b)

local firms;

| (c) | firms which only receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debit with their clients; |
| --- | --- |

(c)

firms which only receive and transmit orders from investors without holding money or securities belonging to their clients and which for that reason may not at any time place themselves in debit with their clients;

| (d) | investment firms which are authorised to provide only the service of investment advice
  and firms which are authorised to provide only the services of investment advice and insurance advice. |
| --- | --- |

(d)

investment firms which are authorised to provide only the service of investment advice
  and firms which are authorised to provide only the services of investment advice and insurance advice.

| (e) | investment firms that provide only the investment services covered in points (c) and (d). |
| --- | --- |

(e)

investment firms that provide only the investment services covered in points (c) and (d).

Article 65

Article 65

Amendment of Directive 2000/12/EC

Annex I of Directive 2000/12/EC is amended as follows:

Annex I of Directive 2000/12/EC is amended as follows:

| (a) | in point 7 the following point is added:






  ‘(f) | commodity
  and other
  derivatives’ |
| --- | --- | --- |

(a)

in point 7 the following point is added:

‘(f)

commodity
  and other
  derivatives’

and other

| (b) | the following
  points are
  added:






  ‘15. | Operation of a multilateral trading facility; |
| --- | --- | --- |

(b)

the following
  points are
  added:

points are

‘15.

15.

Operation of a multilateral trading facility;

| 16. | Services related to commodities; |
| --- | --- |

16.

16.

Services related to commodities;

| 17. | Reception and transmission of orders in relation to one or more financial instruments; |
| --- | --- |

17.

17.

Reception and transmission of orders in relation to one or more financial instruments;

| 18. | Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments.
  ’ |
| --- | --- |

18.

18.

Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments.

Article 66

Article 66

Repeal of Directive 93/22/EEC

Directive 93/22/EEC is repealed with effect from the date of application set out in Article 67.

Article 67.

References to Directive 93/22/EEC shall be construed as references to this Directive.

Article 67

Article 67

Transposition

Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 30 June 2006 [18 months after its entry into force] at the latest
  , subject to any transitional provisions which may be strictly necessary in order to cover the extension of licensing rights, in particular where it is necessary to create new systems or infrastructure (for instance in relation to transparency requirements for investment firms and MTFs) or to put in place new documentation
  .

after

, subject to any transitional provisions which may be strictly necessary in order to cover the extension of licensing rights, in particular where it is necessary to create new systems or infrastructure (for instance in relation to transparency requirements for investment firms and MTFs) or to put in place new documentation

They shall apply those provisions as from 1 July 2006.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

Article 68

Article 68

Entry into force

This Directive shall enter into force on the day following that of its publication in the Official Journal of the European Union.

Union.

Article 69

Article 69

Addressees

This Directive is addressed to the Member States.

Done at ..., on ...

For the European Parliament

The President

For the Council

The President

---

(1)  
  OJ C 71 E, 25.3.2003, p. 62.

1

OJ C 71 E, 25.3.2003, p. 62.

(2)  
  OJ C 220, 19.9.2003, p. 1.

2

OJ C 220, 19.9.2003, p. 1.

(3)  
  OJ C 144, 20.6.2003, p. 6.

3

OJ C 144, 20.6.2003, p. 6.

(4)  Position of the European Parliament of 25 September 2003.

4

Position of the European Parliament of 25 September 2003.

(5)  OJ L 141, 11.6.1993, p. 27. Directive as last amended by European Parliament and Council Directive 2002/87/EC (OJ L 35, 11.2.2003, p. 1).

5

2002/87/EC (OJ L 35, 11.2.2003, p. 1)

(6)  OJ 56, 4.4.1964, p. 878
  . Directive as amended by the Act of Accession of Denmark, Ireland and the United Kingdom.

6

878

(7)  OJ L 228, 16.8.1973, p. 3. Directive as last amended by Directive 2002/87/EC.

7

by Directive 2002/87/EC

(8)  OJ L 63, 13.3.1979, p. 1. Directive as last amended by Directive 2002/87/EC.

8

by Directive 2002/87/EC

(9)  OJ L 141, 11.6.1993, P. 1. Directive as last amended by Directive 2002/87/EC.

9

by Directive 2002/87/EC

(10)  
  OJ L 9, 15.1.2003, p. 3.

10

OJ L 9, 15.1.2003, p. 3.

(11)  OJ L 184, 6.7.2001, p. 1.

11

(12)  OJ L 115, 17.4.1998, p. 31.

12

(13)  OJ L 184, 17.7.1999, p. 23.

13

(14)  OJ L 375, 31.12.1985, p. 3. Directive as last amended by European Parliament and Council Directive 2001/108/EC (OJ L 41, 13.2.2002, p. 35).

14

(15)  OJ L 126, 26.5.2000, p. 1. Directive as amended by Directive 2002/87/EC.

15

2002/87/EC

(16)  OJ L 348, 17.12.1988, p. 62.

16

(17)  OJ L 193, 18.7.1983, p. 1.

17

(18)  OJ L 84, 26.3.1997, p. 22.

18

(19)  OJ L ...

19

(20)  OJ L 166, 28.6.1991, p. 77.

20

(21)  OJ L ...

21

(22)  OJ L 126, 12.5.1985, p. 20.

22

(23)  OJ L 222, 14.8.1978, p. 11.

23

(24)  OJ L 191, 13.7.2001, p. 45.

24

(25)  Four years after the date of entry into force of this Directive.

25

Four years after the date of entry into force of this Directive.

(26)  Five years after the date of entry into force of this Directive.

26

(27)  Five years after the date of entry into force of this Directive.

27

ANNEX I

LIST OF SERVICES AND FINANCIAL INSTRUMENTS

SECTION A

INVESTMENT SERVICES

| 1. | Reception and transmission, of orders in relation to one or more financial instruments. |
| --- | --- |

1.

Reception and transmission, of orders in relation to one or more financial instruments.

| 2. | Execution of orders on behalf of clients. |
| --- | --- |

2.

Execution of orders on behalf of clients.

| 3. | Dealing on own account. |
| --- | --- |

3.

Dealing on own account.

| 4. | Managing portfolios in accordance with mandates given by clients on a discretionary client-by-client basis where such portfolios include one or more financial instruments. |
| --- | --- |

4.

Managing portfolios in accordance with mandates given by clients on a discretionary client-by-client basis where such portfolios include one or more financial instruments.

| 5. | Investment advice. |
| --- | --- |

5.

Investment advice.

| 6. | (a) | underwriting and placing of financial instruments on a firm commitment basis; |
| --- | --- | --- |

6.

(a)

underwriting and placing of financial instruments on a firm commitment basis;

| (b) | placing without a firm commitment or other activities undertaken in agreement with the issuer of the instrument to assist the distribution of or subscription to public or private offers of financial instruments. |
| --- | --- |

(b)

placing without a firm commitment or other activities undertaken in agreement with the issuer of the instrument to assist the distribution of or subscription to public or private offers of financial instruments.

| 7. | Operation of Multilateral Trading Facilities. |
| --- | --- |

7.

Operation of Multilateral Trading Facilities.

SECTION B

ANCILLARY SERVICES

| 1. | Safekeeping and administration of financial instruments for the account of clients, including custodianship and related services such as cash/collateral management; |
| --- | --- |

1.

Safekeeping and administration of financial instruments for the account of clients, including custodianship and related services such as cash/collateral management;

| 2. | Granting credits or loans to an investor to allow him to carry out a transaction in one or more financial instruments, where the firm granting the credit or loan is involved in the transaction; |
| --- | --- |

2.

Granting credits or loans to an investor to allow him to carry out a transaction in one or more financial instruments, where the firm granting the credit or loan is involved in the transaction;

| 3. | Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings; |
| --- | --- |

3.

Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings;

| 4. | Foreign exchange
  services; |
| --- | --- |

4.

Foreign exchange
  services;

| 5. | Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments; |
| --- | --- |

5.

Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments;

| 6. | Services related to commodities. |
| --- | --- |

6.

Services related to commodities.

SECTION C

FINANCIAL INSTRUMENTS

| 1. | Transferable securities; |
| --- | --- |

1.

Transferable securities;

| 2. | Money-market instruments; |
| --- | --- |

2.

Money-market instruments;

| 3. | Units in collective investment undertakings; |
| --- | --- |

3.

Units in collective investment undertakings;

| 4. | Options and futures contracts in respect of securities, currencies, interest rates or yields, commodities or other derivatives instruments, indices or measures; |
| --- | --- |

4.

Options and futures contracts in respect of securities, currencies, interest rates or yields, commodities or other derivatives instruments, indices or measures;

| 5. | Interest-rate, currency and equity swaps; |
| --- | --- |

5.

Interest-rate, currency and equity swaps;

| 6. | Forward-rate agreements and any other derivative contract for a cash settlement determined by reference to prices of securities, interest rates or yields, foreign exchange rates, commodities or other indices or measures; |
| --- | --- |

6.

Forward-rate agreements and any other derivative contract for a cash settlement determined by reference to prices of securities, interest rates or yields, foreign exchange rates, commodities or other indices or measures;

| 7. | Contracts for differences or other derivative instruments for transfer of credit risk. |
| --- | --- |

7.

Contracts for differences or other derivative instruments for transfer of credit risk.

ANNEX II

PROFESSIONAL CLIENTS FOR THE PURPOSE OF THIS DIRECTIVE

I.   Categories of client who are considered to be professionals

The following should all be regarded as professionals in all investment services and instruments for the purposes of the Directive.
  A professional is deemed to possess the experience, knowledge and expertise to make his own investment decisions and properly assess the risks he incurs.

| 1. | Entities which are required to be authorised or regulated to operate in the financial markets. The list below should be understood as including all authorised entities carrying out the characteristic activities of the entities mentioned: entities authorised by a Member State under a European Directive, entities authorised or regulated by a Member State without reference to a European Directive, and entities authorised or regulated by a non-Member State:






  (a) | Credit institutions, |
| --- | --- | --- |

1.

Entities which are required to be authorised or regulated to operate in the financial markets. The list below should be understood as including all authorised entities carrying out the characteristic activities of the entities mentioned: entities authorised by a Member State under a European Directive, entities authorised or regulated by a Member State without reference to a European Directive, and entities authorised or regulated by a non-Member State:

(a)

Credit institutions,

| (b) | Investment firms, |
| --- | --- |

(b)

Investment firms,

| (c) | Other authorised or regulated financial institutions, |
| --- | --- |

(c)

Other authorised or regulated financial institutions,

| (d) | Insurance companies, |
| --- | --- |

(d)

Insurance companies,

| (e) | Collective investment schemes and management companies of such schemes, |
| --- | --- |

(e)

Collective investment schemes and management companies of such schemes,

| (f) | Pension funds and management companies of such funds, |
| --- | --- |

(f)

Pension funds and management companies of such funds,

| (g) | Commodity dealers. |
| --- | --- |

(g)

Commodity dealers.

| 2. | Large companies,
  charitable trusts
  and other institutional investors:






  (a) | large companies and partnerships meeting two of the following size requirements on a company basis:






  — | balance sheet total:
  EUR 12 500 000, |
| --- | --- | --- | --- |

2.

Large companies,
  charitable trusts
  and other institutional investors:

(a)

large companies and partnerships meeting two of the following size requirements on a company basis:

—

balance sheet total:
  EUR 12 500 000,

| — | net turnover:
  EUR 25 000 000, |
| --- | --- |

—

net turnover:
  EUR 25 000 000,

| — | own funds: EUR 2 000 000. |
| --- | --- |

—

own funds: EUR 2 000 000.

| (b) | Other institutional investors whose corporate purpose is to invest in financial instruments. |
| --- | --- |

(b)

Other institutional investors whose corporate purpose is to invest in financial instruments.

| 3. | National and regional governments, Central Banks, international and supranational institutions such as the World Bank, the IMF, the ECB, the EIB and other similar international organisations.
  The entities mentioned above are considered to be
  professionals. Where
  the client of an investment firm is a company or a partnership referred to above, the investment firm must inform it prior to any provision of services that, on the basis of the information available to the firm, the client is deemed to be professional client, and will be treated as such unless the firm and the client agree otherwise.
  It is the responsibility of the client, considered to be a professional client, to ask for a higher level of protection when it deems it is unable to properly assess or manage the risks involved.
  This higher level of protection will be provided when a client who is considered to be a professional enters into a written agreement with the investment firm to the effect that it shall not be treated as a professional for the purposes of the applicable conduct of business regime. Such agreement should specify whether this applies to one or more particular services or transactions, or to one or more types of product or transaction. |
| --- | --- |

3.

National and regional governments, Central Banks, international and supranational institutions such as the World Bank, the IMF, the ECB, the EIB and other similar international organisations.

The entities mentioned above are considered to be
  professionals. Where
  the client of an investment firm is a company or a partnership referred to above, the investment firm must inform it prior to any provision of services that, on the basis of the information available to the firm, the client is deemed to be professional client, and will be treated as such unless the firm and the client agree otherwise.

It is the responsibility of the client, considered to be a professional client, to ask for a higher level of protection when it deems it is unable to properly assess or manage the risks involved.

This higher level of protection will be provided when a client who is considered to be a professional enters into a written agreement with the investment firm to the effect that it shall not be treated as a professional for the purposes of the applicable conduct of business regime. Such agreement should specify whether this applies to one or more particular services or transactions, or to one or more types of product or transaction.

II.   Clients who may be treated as professionals on request

| 1. | Identification criteria
  Clients other than those mentioned in section I, including public sector bodies and private individual investors, may also be allowed to waive some of the protections afforded by the conduct of business rules.
  Investment firms should therefore be allowed to treat any of the above clients as professionals provided the relevant criteria and procedure mentioned below are
  fulfilled
  .
  Any such waiver of the protection afforded by the standard conduct of business regime shall be considered valid only if an adequate assessment of the expertise, experience and knowledge of the client, undertaken by the investment firm, gives reasonable assurance, in light of the nature of the transactions or services envisaged, that the client is capable of making his own investment decisions and understanding the risks
  involved.




  In
  the case of small entities, the person subject to the above assessment should be the person authorised to carry out transactions on behalf of the entity.
  In the course of the above assessment, as a minimum, two of the following criteria should be satisfied:






  — | The client has carried out transactions, in significant size, on the relevant market at an average frequency of 10 per quarter over the previous four quarters; |
| --- | --- | --- |

1.

Identification criteria

Clients other than those mentioned in section I, including public sector bodies and private individual investors, may also be allowed to waive some of the protections afforded by the conduct of business rules.

Investment firms should therefore be allowed to treat any of the above clients as professionals provided the relevant criteria and procedure mentioned below are
  fulfilled
  .

Any such waiver of the protection afforded by the standard conduct of business regime shall be considered valid only if an adequate assessment of the expertise, experience and knowledge of the client, undertaken by the investment firm, gives reasonable assurance, in light of the nature of the transactions or services envisaged, that the client is capable of making his own investment decisions and understanding the risks
  involved.

In
  the case of small entities, the person subject to the above assessment should be the person authorised to carry out transactions on behalf of the entity.

In the course of the above assessment, as a minimum, two of the following criteria should be satisfied:

—

The client has carried out transactions, in significant size, on the relevant market at an average frequency of 10 per quarter over the previous four quarters;

| — | The size of the client's financial instrument portfolio, defined as including cash deposits and financial instruments exceeds EUR 0,5 million; |
| --- | --- |

—

The size of the client's financial instrument portfolio, defined as including cash deposits and financial instruments exceeds EUR 0,5 million;

| — | The client works or has worked in the financial sector for at least one year in a professional position, which requires knowledge of the transactions or services envisaged. |
| --- | --- |

—

The client works or has worked in the financial sector for at least one year in a professional position, which requires knowledge of the transactions or services envisaged.

| 2. | Procedure
  The clients defined above may waive the benefit of the detailed rules of conduct only where the following procedure is followed:






  — | they must state in writing to the investment firm that they wish to be treated as a professional client, either generally or in respect of a particular investment service or transaction, or type of transaction or product; |
| --- | --- | --- |

2.

Procedure

The clients defined above may waive the benefit of the detailed rules of conduct only where the following procedure is followed:

—

they must state in writing to the investment firm that they wish to be treated as a professional client, either generally or in respect of a particular investment service or transaction, or type of transaction or product;

| — | the investment firm must give them a clear written warning of the protections and investor compensation rights they may lose; |
| --- | --- |

—

the investment firm must give them a clear written warning of the protections and investor compensation rights they may lose;

| — | they must state in writing, in a separate document from the contract, that they are aware of the consequences of losing such protections. |
| --- | --- |

—

they must state in writing, in a separate document from the contract, that they are aware of the consequences of losing such protections.

Before deciding to accept any request for waiver, investment firms must be required to take all reasonable steps to ensure that the client requesting to be treated as a professional client meets the relevant requirements stated in Section II.1.

However, if clients have already been categorised as professionals under parameters and procedures similar to those above, it is not intended that their relationships with investment firms should be affected by any new rules adopted pursuant to this paper.

Firms must implement appropriate written internal policies and procedures to categorise clients.

Professional clients are responsible for keeping the firm informed about any change, which could affect their current categorisation. Should the investment firm become aware however that the client no longer fulfils the initial conditions, which made him eligible for a professional treatment, the investment firm must take appropriate action.

P5_TA(2003)0411

Solvents in decorative paints and varnishes ***I

European Parliament legislative resolution on the proposal for a European Parliament and Council directive on the limitation of emissions of volatile organic compounds due to the use of organic solvents in decorative paints and varnishes and vehicle refinishing products and amending Directive 1999/13/EC (COM(2002) 750 — C5-0632/2002 — 2002/0301(COD))

(Codecision procedure: first reading)

The European Parliament,

| — | having regard to the Commission proposal to the European Parliament and the Council (COM(2002) 750) (1), |
| --- | --- |

—

having regard to the Commission proposal to the European Parliament and the Council (COM(2002) 750) (1),

| — | having regard to Article 251(2) and Article 95 of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C5-0632/2002), |
| --- | --- |

—

having regard to Article 251(2) and Article 95 of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C5-0632/2002),

| — | having regard to Rule 67 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 67 of its Rules of Procedure,

| — | having regard to the report of the Committee on the Environment, Public Health and Consumer Policy (A5-0292/2003), |
| --- | --- |

—

having regard to the report of the Committee on the Environment, Public Health and Consumer Policy (A5-0292/2003),

| 1. | Approves the Commission proposal as amended; |
| --- | --- |

1.

Approves the Commission proposal as amended;

| 2. | Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text; |
| --- | --- |

2.

Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

| 3. | Instructs its President to forward its position to the Council and Commission. |
| --- | --- |

3.

Instructs its President to forward its position to the Council and Commission.

---

(1)  OJ C not yet published.

P5_TC1-COD(2002)0301

Position of the European Parliament adopted at first reading on 25 September 2003 with a view to the adoption of European Parliament and Council Directive 2003/.../EC on the limitation of emissions of volatile organic compounds due to the use of organic solvents in decorative paints and varnishes and vehicle refinishing products and amending Directive 1999/13/EC

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 95 thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the European Economic and Social Committee (2),

Acting in accordance with the procedure laid down in Article 251 of the Treaty (3),

Whereas:

| (1) | The Community and its Member States are parties to the Gothenburg Protocol of 1 December 1999 to the United Nations Economic Commission for Europe (UNECE) Convention on Long-Range Transboundary Air Pollution, which aims to abate acidification, eutrophication and ground-level ozone. The Gothenburg Protocol lays down emission ceilings for volatile organic compounds (hereinafter: ‘VOCs’), as well as limit values for emissions of VOCs from stationary sources. |
| --- | --- |

(1)

The Community and its Member States are parties to the Gothenburg Protocol of 1 December 1999 to the United Nations Economic Commission for Europe (UNECE) Convention on Long-Range Transboundary Air Pollution, which aims to abate acidification, eutrophication and ground-level ozone. The Gothenburg Protocol lays down emission ceilings for volatile organic compounds (hereinafter: ‘VOCs’), as well as limit values for emissions of VOCs from stationary sources.

| (2) | VOCs are transported in the atmosphere over long distances and represent one of the main sources of transboundary air pollution. In particular, as regards ozone in ambient air, VOCs are an ‘ozone precursor substance’ within the meaning of Directive 2002/3/EC of the European Parliament and of the Council of 12 February 2002 relating to ozone in ambient air (4), which calls on the Commission to consider whether further action should be taken at Community level to reduce emissions of ozone precursor substances. |
| --- | --- |

(2)

VOCs are transported in the atmosphere over long distances and represent one of the main sources of transboundary air pollution. In particular, as regards ozone in ambient air, VOCs are an ‘ozone precursor substance’ within the meaning of Directive 2002/3/EC of the European Parliament and of the Council of 12 February 2002 relating to ozone in ambient air (4), which calls on the Commission to consider whether further action should be taken at Community level to reduce emissions of ozone precursor substances.

| (3) | Since the objective of the proposed action, namely to reduce emissions of VOCs, cannot be sufficiently achieved by the Member States, as emissions of VOCs in one Member State affect air quality in other Member States, and can therefore, for reasons of the scale and effects of the action, be better achieved at Community level, the Community may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives. |
| --- | --- |

(3)

Since the objective of the proposed action, namely to reduce emissions of VOCs, cannot be sufficiently achieved by the Member States, as emissions of VOCs in one Member State affect air quality in other Member States, and can therefore, for reasons of the scale and effects of the action, be better achieved at Community level, the Community may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

| (4) | Member States should promote the use of water-based paints and the wise use of different paints in different situations. Wise use would also contribute to achieving the objective of this Directive, which is to reduce emissions of VOCs into the environment. |
| --- | --- |

(4)

Member States should promote the use of water-based paints and the wise use of different paints in different situations. Wise use would also contribute to achieving the objective of this Directive, which is to reduce emissions of VOCs into the environment.

| (5) | Directive 2001/81/EC of the European Parliament and of the Council of 23 October 2001 on national emission ceilings for certain atmospheric pollutants (5) sets national ceilings for emissions of certain pollutants, including VOCs, to be attained by 2010 as part of the Community's integrated strategy to combat acidification and ground-level ozone, but does not include limit values for emissions of those pollutants from specific sources. |
| --- | --- |

(5)

Directive 2001/81/EC of the European Parliament and of the Council of 23 October 2001 on national emission ceilings for certain atmospheric pollutants (5) sets national ceilings for emissions of certain pollutants, including VOCs, to be attained by 2010 as part of the Community's integrated strategy to combat acidification and ground-level ozone, but does not include limit values for emissions of those pollutants from specific sources.

| (6) | Because of the characteristics of organic solvents, their use in
  decorative paints and varnishes and vehicle refinishing products
  gives rise to emissions of organic compounds into the air, which contributes to the local and transboundary formation of photochemical oxidants in the boundary layer of the troposphere and, under certain exposure conditions, has harmful effects on human health. |
| --- | --- |

(6)

Because of the characteristics of organic solvents, their use in
  decorative paints and varnishes and vehicle refinishing products
  gives rise to emissions of organic compounds into the air, which contributes to the local and transboundary formation of photochemical oxidants in the boundary layer of the troposphere and, under certain exposure conditions, has harmful effects on human health.

| (7) | The objective of this Directive, and in particular of future revisions thereto, is to prevent direct and indirect emissions of VOCs into the general or human environment due to the use of organic solvents in decorative paints and varnishes and vehicle refinishing products, and to prevent direct risks to human health, by limiting the maximum content of VOCs. |
| --- | --- |

(7)

The objective of this Directive, and in particular of future revisions thereto, is to prevent direct and indirect emissions of VOCs into the general or human environment due to the use of organic solvents in decorative paints and varnishes and vehicle refinishing products, and to prevent direct risks to human health, by limiting the maximum content of VOCs.

| (8) | Emissions of VOCs should therefore be avoided or reduced, especially since potentially less harmful substitutes
  for decorative paints and varnishes and vehicle refinishing products
  are available, or soon will be. |
| --- | --- |

(8)

Emissions of VOCs should therefore be avoided or reduced, especially since potentially less harmful substitutes
  for decorative paints and varnishes and vehicle refinishing products
  are available, or soon will be.

| (9) | Emissions of VOCs from decorative paints and varnishes and vehicle refinishing products
  should be reduced
  where
  technically and economically feasible. |
| --- | --- |

(9)

Emissions of VOCs from decorative paints and varnishes and vehicle refinishing products
  should be reduced
  where
  technically and economically feasible.

| (10) | A high level of environmental protection requires the setting and achievement of content limit values for VOCs used in
  decorative paints and varnishes and vehicle refinishing products, for example
  . |
| --- | --- |

(10)

A high level of environmental protection requires the setting and achievement of content limit values for VOCs used in
  decorative paints and varnishes and vehicle refinishing products, for example
  .

| (11) | For product subcategory (d) in Annex II point A ‘interior/exterior trim and cladding paints for wood and metal’ the balance between technical feasibility and economic impact is not sufficiently clear yet. It is therefore necessary to carry out a further study in order to determine the economic and technical feasibility of an improved maximum value in 2010 compared to the value set for 2007. |
| --- | --- |

(11)

For product subcategory (d) in Annex II point A ‘interior/exterior trim and cladding paints for wood and metal’ the balance between technical feasibility and economic impact is not sufficiently clear yet. It is therefore necessary to carry out a further study in order to determine the economic and technical feasibility of an improved maximum value in 2010 compared to the value set for 2007.

| (12) | The repair and refurbishment of certain old and treasured vehicles may require the use of authentic repair materials. |
| --- | --- |

(12)

The repair and refurbishment of certain old and treasured vehicles may require the use of authentic repair materials.

| (13) | Content limit values need to be monitored in order to determine whether the mass concentrations of VOCs found in each category of
  decorative paints and varnishes and vehicle refinishing
  products covered by this Directive are within the permitted limits. |
| --- | --- |

(13)

Content limit values need to be monitored in order to determine whether the mass concentrations of VOCs found in each category of
  decorative paints and varnishes and vehicle refinishing
  products covered by this Directive are within the permitted limits.

| (14) | Council Directive 1999/13/EC of 11 March 1999 on the limitation of emissions of volatile organic compounds due to the use of organic solvents in certain activities and installations (6) should therefore be amended accordingly
  in order to include vehicle refinishing
  . |
| --- | --- |

(14)

Council Directive 1999/13/EC of 11 March 1999 on the limitation of emissions of volatile organic compounds due to the use of organic solvents in certain activities and installations (6) should therefore be amended accordingly
  in order to include vehicle refinishing
  .

| (15) | National laws and provisions in this field need to be harmonised in order to ensure that the free movement of the goods covered by this Directive is not restricted. |
| --- | --- |

(15)

National laws and provisions in this field need to be harmonised in order to ensure that the free movement of the goods covered by this Directive is not restricted.

| (16) | The Member States should lay down rules on penalties applicable to infringements of the provisions of this Directive and ensure that they are implemented. Those penalties must be effective, proportionate and dissuasive. |
| --- | --- |

(16)

The Member States should lay down rules on penalties applicable to infringements of the provisions of this Directive and ensure that they are implemented. Those penalties must be effective, proportionate and dissuasive.

| (17) | This Directive does not prejudice nor affect
  existing or new
  measures taken at Community or national level to protect the health of workers and their working environment. |
| --- | --- |

(17)

This Directive does not prejudice nor affect
  existing or new
  measures taken at Community or national level to protect the health of workers and their working environment.

| (18) | The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (7), |
| --- | --- |

(18)

The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (7),

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Purpose and scope

1.   The purpose of this Directive is to prevent or reduce the direct and indirect effects of emissions into the environment of VOCs due to the use of organic solvents in decorative paints and varnishes and vehicle refinishing
  products by
  limiting the maximum content of VOCs.

2.   To the extent necessary for the achievement of the objective set out in paragraph 1, this Directive shall approximate the technical specifications for decorative paints and vehicle refinishing products.

3.
     
  This Directive does not impede Member States from taking measures to protect workers and consumers and in this way they may prohibit or restrict the use of certain products containing high levels of VOCs.

4.   This Directive shall apply to the products set out in Annex I.

Article 2

Definitions

For the purposes of this Directive, the following definitions shall apply:

| 1. | ‘competent authority’ means the authority or authorities or bodies responsible under the legal provisions of the Member States for carrying out the obligations arising from this Directive; |
| --- | --- |

1.

‘competent authority’ means the authority or authorities or bodies responsible under the legal provisions of the Member States for carrying out the obligations arising from this Directive;

| 2. | ‘VOC content limit value’ means the mass of volatile organic compounds,
  excluding any part that reacts during drying of the coating,
  expressed in terms of certain specific parameters, such as concentration expressed in g/l, which may not be exceeded in the formulation of the
  ready-to-use
  product; |
| --- | --- |

2.

‘VOC content limit value’ means the mass of volatile organic compounds,
  excluding any part that reacts during drying of the coating,
  expressed in terms of certain specific parameters, such as concentration expressed in g/l, which may not be exceeded in the formulation of the
  ready-to-use
  product;

| 3. | ‘substances’means any chemical element and its compounds, as they occur in their natural state or as produced by industry, whether in solid, liquid or gaseous form; |
| --- | --- |

3.

‘substances’means any chemical element and its compounds, as they occur in their natural state or as produced by industry, whether in solid, liquid or gaseous form;

| 4. | ‘organic compound’ means any compound containing at least one carbon atom and one or more atoms of hydrogen, halogens, oxygen, sulphur, phosphorus, silicon or nitrogen, with the exception of carbon oxides and inorganic carbonates and bicarbonates; |
| --- | --- |

4.

‘organic compound’ means any compound containing at least one carbon atom and one or more atoms of hydrogen, halogens, oxygen, sulphur, phosphorus, silicon or nitrogen, with the exception of carbon oxides and inorganic carbonates and bicarbonates;

| 5. | ‘volatile organic compound (VOC)’ means any organic compound having a boiling point less than or equal to 250 °C measured at a standard pressure of 101.3 kPa; |
| --- | --- |

5.

‘volatile organic compound (VOC)’ means any organic compound having a boiling point less than or equal to 250 °C measured at a standard pressure of 101.3 kPa;

| 6. | ‘organic solvent’ means any VOC which is used alone or in combination with other
  agents to
  dissolve
  or dilute
  raw materials, products, or waste materials, or is used as a cleaning agent to dissolve contaminants, or as a dispersion medium, a viscosity adjuster, a surface tension adjuster, a plasticiser, a preservative
  , a reactive diluent or a paint stripper
  ; |
| --- | --- |

6.

‘organic solvent’ means any VOC which is used alone or in combination with other
  agents to
  dissolve
  or dilute
  raw materials, products, or waste materials, or is used as a cleaning agent to dissolve contaminants, or as a dispersion medium, a viscosity adjuster, a surface tension adjuster, a plasticiser, a preservative
  , a reactive diluent or a paint stripper
  ;

| 7. | ‘coating’ means any preparation, including all the organic solvents or preparations containing organic solvents necessary for its proper application, which is used to provide a
  film with decorative, protective and/or other specific effects
  on a surface; |
| --- | --- |

7.

‘coating’ means any preparation, including all the organic solvents or preparations containing organic solvents necessary for its proper application, which is used to provide a
  film with decorative, protective and/or other specific effects
  on a surface;

| 8. | ‘water- borne coatings (WB)’ means coatings, the viscosity of which is adjusted by the use of water; |
| --- | --- |

8.

‘water- borne coatings (WB)’ means coatings, the viscosity of which is adjusted by the use of water;

| 9. | ‘solvent- borne coatings (SB)’ means coatings, the viscosity of which is adjusted by the use of organic solvent; |
| --- | --- |

9.

‘solvent- borne coatings (SB)’ means coatings, the viscosity of which is adjusted by the use of organic solvent;

Article 3

Requirements

Without prejudice to the provisions of Article 1,
  Member States shall ensure that only products set out in Annex I with a VOC content not exceeding the values set out in Annex II shall be
  produced for the internal market or imported into
  their territory after the dates laid down in that Annex.
  Coating materials produced for export to non-member countries are excluded.

Existing or new measures taken at national or Community level to protect the health of workers and their environment and which provide a higher level of protection than that achieved by this Directive shall not be affected.

Member States shall ensure that decorative paints and varnishes and vehicle refinishing products do not contain substances that have been classified as carcinogens, mutagens, or toxic to reproduction under Council Directive 67/548/EEC of 27 June 1967 on the approximation of laws, regulations and administrative provisions relating to the classification, packaging and labelling of dangerous substances (8).

Should a Member State have adopted stricter measures than those required by this Directive, it shall, on the entry into force of this Directive, inform the Commission of the nature of these provisions as well as the grounds for maintaining them.

Certain old and treasured vehicles may require the use of authentic repair materials which may not in all cases meet the VOC control values set out in Annex II. Small quantities of such products may be placed on the market by specialist suppliers and special interest clubs or groups. This exemption shall not represent more than 0,5% of total sales in the vehicle refinishing sector.

Article 4

Labelling

Member States shall ensure that the products set out in Annex I carry a label when they are placed on the market
  , indicating the potential risks of exposure to solvents and how to use the products wisely, taking into account the distinction between products for indoor and outdoor use. The label shall provide at least the following information for the product in ready-to-use format:

| — | the quantity of solvent per volume of product in g/l for any organic solvent present above 2 g/l, |
| --- | --- |

—

the quantity of solvent per volume of product in g/l for any organic solvent present above 2 g/l,

| — | a graded colour and/or numerical scale based on existing best practice in the sector, |
| --- | --- |

—

a graded colour and/or numerical scale based on existing best practice in the sector,

| — | a clear warning about the potential direct and indirect effects on human health and the environment due to emissions of VOCs. |
| --- | --- |

—

a clear warning about the potential direct and indirect effects on human health and the environment due to emissions of VOCs.

Products shall be labelled to prevent their disposal via waterways and drains.

Further
  indications required on the label shall be determined in accordance with the procedure referred to in Article 14, with particular reference to existing best practice in the sector
  .

The Commission shall produce guidelines so that any mandatory labelling requirements complement rather than undermine existing more stringent schemes in the European market.

Article 5

Competent authority

1.   Member States shall take all necessary measures to ensure that the requirements of Articles 3 and 4, and Annex II, are complied with.

2.   For the purposes of paragraph 1, Member States shall designate a competent authority responsible for fulfilling the obligations laid down in this Directive, and shall inform the Commission thereof not later than one year after the date referred to in Article 17.

3.
     
  Member States shall take measures to promote and monitor the wise, controlled and responsible use of the products set out in Annex I.

Article 6

Restoration of buildings of historical value

1.   
  For the purpose of the restoration and maintenance of buildings designated by national authorities as being of particular historical value, Member States may licence the use of special paints which do not meet the solvent limit values laid down in Annex II.

2.
     
  In the tri-annual reports required under Article 9, Member States shall inform the Commission about the number of licences granted and the nature and volume of the special paints licensed according to paragraph 1.

Article 7

Substitution

The Commission shall ensure that an exchange of information between Member States on the use of organic solvents in decorative paints and varnishes and vehicle refinishing products and their potential substitutes takes place. It shall consider the questions of:

| — | fitness for use, |
| --- | --- |

—

fitness for use,

| — | potential effects on human health and occupational exposure in particular, |
| --- | --- |

—

potential effects on human health and occupational exposure in particular,

| — | potential effects on the environment, and |
| --- | --- |

—

potential effects on the environment, and

| — | the economic consequences, in particular the costs and benefits of the options available, |
| --- | --- |

—

the economic consequences, in particular the costs and benefits of the options available,

with a view to providing guidance on the use of products and techniques which have the least detrimental effects on air, water, soil, ecosystems and human health.

The information shall be made publicly available on the Commission's web site. Every two years, the Commission shall publish updated guidance for each product category.

Article 8

Monitoring

Member States shall set up a monitoring programme for the purpose of monitoring the VOC content of the products set out in Annex I.

Member States shall use
  the available CEN or ISO11890
  methods
  for
  determination of the VOC content.

Article 9

Report

Member States shall report every three years, no later than 30 June of the year following the three year period considered, and for the first time on [30 June 200... ], the results of the monitoring programme to demonstrate compliance with the Directive. Annual data shall be made available to the Commission upon request. The Commission shall develop a common format for the submission of monitoring data in accordance with the procedure referred to in Article 14.

No later than ... (9), the Commission shall submit a report assessing the actual and anticipated reduction in ozone formation as a result of this Directive.

Article 10

Free circulation

Without prejudice to existing measures taken at Community or national level to protect the health of workers when using the products referred to in this Directive,
  Member States shall not prohibit, restrict or prevent the placing on the market of products which comply with the requirements of this Directive.

This Directive shall not affect existing or new measures taken at Community or national level to protect the health of workers using the products referred to in this Directive.

Article 11

Review

By 31 December 2006 at the latest, the Commission shall review the technical and economic feasibility of applying from 2010
  the limit value indicated in subcategory (d) of Annex II point A concerning the maximum VOC content in solvent-borne products
  , and shall make a proposal to the European Parliament and Council for the value to be applied from 2010.

Article 12

Penalties

Member States shall lay down the rules on penalties applicable to infringements of the national provisions adopted pursuant to this Directive and shall take the necessary measures to ensure that they are implemented. The penalties provided for must be effective, proportionate and dissuasive. Member States shall notify those provisions to the Commission by the date specified in Article 17 at the latest, and shall notify it without delay of any subsequent amendment affecting them.

Article 13

Adaptation to technical progress

Any amendments necessary in order to adapt the Directive to take account of technical progress in the measuring methods used to determine the VOC content of products shall be adopted by the Commission in accordance with the regulatory procedure referred to in Article 14(2).

Article 14

Committee

1.   The Commission shall be assisted by the committee established by Article 13 of Directive 1999/13/EC, hereinafter referred to as ‘the Committee’.

2.   Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3.   The Committee shall adopt its rules of procedure.

Article 15

Amendment to Directive 1999/13/EC

Directive 1999/13/EC shall be amended as follows:

| 1. | In Annex I the ‘vehicle refinishing’ section is deleted. |
| --- | --- |

1.

In Annex I the ‘vehicle refinishing’ section is deleted.

| 2. | In the first column of row 6 in Annex IIA, the words ‘and vehicle refinishing’ are deleted. |
| --- | --- |

2.

In the first column of row 6 in Annex IIA, the words ‘and vehicle refinishing’ are deleted.

| 3. | In Annex IIA, point II, in the footnote to the table, the words ‘for the vehicle refinishing sector’ are deleted. |
| --- | --- |

3.

In Annex IIA, point II, in the footnote to the table, the words ‘for the vehicle refinishing sector’ are deleted.

| 4. | In Annex IIB, in the second table, the words ‘vehicle refinishing’ are deleted. |
| --- | --- |

4.

In Annex IIB, in the second table, the words ‘vehicle refinishing’ are deleted.

Article 16

Transposition

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by [...] at the latest, and immediately inform the Commission thereof.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

2.   Member States shall communicate to the Commission the text of the provisions of national law which they adopt in the field covered by this Directive, together with a table showing how the provisions of this Directive correspond to the national provisions adopted.

Article 17

Entry into force of the Directive

This Directive shall enter into force on the twentieth day after that of its publication in the Official Journal of the European Union.

Article 18

Addressees

This Directive is addressed to the Member States.

Done at ..., on ...

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C ...

1

(2)  OJ C 220 of 16.9.2003, p. 43
  .

2

220 of 16.9.2003, p. 43

(3)  Position of the European Parliament of 25 September 2003.

3

Position

25 September 2003

(4)  OJ L 67, 9.3.2002, p. 14.

4

(5)  OJ L 309, 27.11.2001, p. 22.

5

(6)  
  OJ L 85, 29.03.1999, p. 1.

6

OJ L 85, 29.03.1999, p. 1.

(7)  OJ L 184, 17.7.1999, p. 23.

7

(8)  OJ 196, 16.8.1967, p. 1. Directive as last amended by Regulation (EC) No 807/2003 (OJ L 122, 16.5.2003, p. 36).

8

(9)  Two years after the entry into force of this Directive.

9

ANNEX I

SCOPE

I.1. ‘Decorative paints and varnishes’ means products listed in the subcategories below. They are coatings applied to buildings, their trim and fittings, and associated structures for decorative, functional and protective purposes.
  Aerosols, wood preservatives, high performance protective coatings and
  products used in the coating of substrates at their original point of manufacture are excluded.

I.1.1. Subcategories:

| (a) | ‘Matt coatings for interior walls and ceilings’ means coatings designed for application to indoor walls and ceilings with a degree of gloss ≤
  [below or equal to]
  25@64 > 60. |
| --- | --- |

(a)

‘Matt coatings for interior walls and ceilings’ means coatings designed for application to indoor walls and ceilings with a degree of gloss ≤
  [below or equal to]
  25@64 > 60.

| (b) | ‘Glossy coatings for interior walls and ceilings’ means coatings designed for application to indoor walls and ceilings with a degree of gloss > 25@64 > 60 °. |
| --- | --- |

(b)

‘Glossy coatings for interior walls and ceilings’ means coatings designed for application to indoor walls and ceilings with a degree of gloss > 25@64 > 60 °.

| (c) | ‘Exterior walls of mineral substrate’ means coatings designed for application to outdoor walls of masonry, brick or stucco. |
| --- | --- |

(c)

‘Exterior walls of mineral substrate’ means coatings designed for application to outdoor walls of masonry, brick or stucco.

| (d) | ‘Interior/exterior trim and cladding paints for wood
  ,
  metal
  and plastics
  ’ means coatings designed for application to trim and cladding which produce an opaque film. These coatings are designed either for a wood
  ,
  metal
  or plastic
  substrate. This subcategory includes
  undercoats and intermediate coatings
  . |
| --- | --- |

(d)

‘Interior/exterior trim and cladding paints for wood
  ,
  metal
  and plastics
  ’ means coatings designed for application to trim and cladding which produce an opaque film. These coatings are designed either for a wood
  ,
  metal
  or plastic
  substrate. This subcategory includes
  undercoats and intermediate coatings
  .

| (e) | ‘Interior/exterior trim varnishes and woodstains’ means coatings designed for application to trim which produce a transparent or semi-transparent film for decoration and protection of wood, metal and plastics. |
| --- | --- |

(e)

‘Interior/exterior trim varnishes and woodstains’ means coatings designed for application to trim which produce a transparent or semi-transparent film for decoration and protection of wood, metal and plastics.

| (f) | ‘Minimal build woodstains’ means woodstains which, in accordance with EN 927 _ 1:1996, have a mean thickness less than 5ìm when tested according to ISO 2808: 1997, method 5A. |
| --- | --- |

(f)

‘Minimal build woodstains’ means woodstains which, in accordance with EN 927 _ 1:1996, have a mean thickness less than 5ìm when tested according to ISO 2808: 1997, method 5A.

| (g) | ‘Primers’ means coatings with sealing and/or blocking properties designed for use on wood or walls and ceilings. |
| --- | --- |

(g)

‘Primers’ means coatings with sealing and/or blocking properties designed for use on wood or walls and ceilings.

| (h) | ‘Binding primers’ means coatings designed to stabilise loose substrate particles or impart hydrophobic properties and/or to protect wood against blue stain. |
| --- | --- |

(h)

‘Binding primers’ means coatings designed to stabilise loose substrate particles or impart hydrophobic properties and/or to protect wood against blue stain.

| (i) | ‘One-pack performance coatings’ means performance coatings based on film-forming material. They are designed for applications requiring a special performance, such as primer and top coats for plastics, primer coat for ferrous substrates, primer coat for reactive metals such as zinc and aluminium, anticorrosion finishes, floor coatings, including for wood and cement floors, graffiti resistance, flame retardant, and hygiene standards in the food or drink industry or health services. |
| --- | --- |

(i)

‘One-pack performance coatings’ means performance coatings based on film-forming material. They are designed for applications requiring a special performance, such as primer and top coats for plastics, primer coat for ferrous substrates, primer coat for reactive metals such as zinc and aluminium, anticorrosion finishes, floor coatings, including for wood and cement floors, graffiti resistance, flame retardant, and hygiene standards in the food or drink industry or health services.

| (j) | ‘Two-pack performance coatings’ means coatings with the same use as one-performance coatings, but with a second component (e.g. tertiary amines) added prior to application. |
| --- | --- |

(j)

‘Two-pack performance coatings’ means coatings with the same use as one-performance coatings, but with a second component (e.g. tertiary amines) added prior to application.

| (k) | ‘Multicoloured coatings’ means coatings designed to give a two-tone or multiple-colour effect, directly from the primary application. |
| --- | --- |

(k)

‘Multicoloured coatings’ means coatings designed to give a two-tone or multiple-colour effect, directly from the primary application.

| (l) | ‘Decorative effect coatings’ means coatings designed to give special aesthetic effects over specially prepared pre-painted substrates or base coats and subsequently treated with various tools during the drying period. |
| --- | --- |

(l)

‘Decorative effect coatings’ means coatings designed to give special aesthetic effects over specially prepared pre-painted substrates or base coats and subsequently treated with various tools during the drying period.

I.2. ‘Vehicle refinishing products’ means products used
  in any industrial or commercial coating activity and associated degreasing activities performing:

| — | the coating of road vehicles as defined in Council Directive 70/156/EEC of 6 February 1970 on the approximation of the laws of the Member States relating to the type-approval of motor vehicles and their trailers (1), or part of them, carried out as part of vehicle repair, conservation or decoration outside of manufacturing installations, or |
| --- | --- |

—

the coating of road vehicles as defined in Council Directive 70/156/EEC of 6 February 1970 on the approximation of the laws of the Member States relating to the type-approval of motor vehicles and their trailers (1), or part of them, carried out as part of vehicle repair, conservation or decoration outside of manufacturing installations, or

| — | the original coating of road vehicles as defined in Directive 70/156/EEC, or part of them, with refinishing-type materials, where this is carried out away from the original manufacturing line, or the coating of trailers (including semi-trailers) (category O). |
| --- | --- |

—

the original coating of road vehicles as defined in Directive 70/156/EEC, or part of them, with refinishing-type materials, where this is carried out away from the original manufacturing line, or the coating of trailers (including semi-trailers) (category O).

I.2.1. Subcategories:

| (a) | ‘Preparation and cleaning’ means products designed for application, either mechanically or chemically, to remove old coatings and rust or to provide a key for new coatings.






  — | ‘Gunwash’ means a cleaning product designed for use with spray-guns and other equipment. It includes paint strippers, degreasers (including anti-static types for plastic) and silicon removers. |
| --- | --- | --- |

(a)

‘Preparation and cleaning’ means products designed for application, either mechanically or chemically, to remove old coatings and rust or to provide a key for new coatings.

—

‘Gunwash’ means a cleaning product designed for use with spray-guns and other equipment. It includes paint strippers, degreasers (including anti-static types for plastic) and silicon removers.

| — | ‘Precleaner’ means a cleaning product designed for the removal of surface contamination during preparation for and prior to the application of coating materials. |
| --- | --- |

—

‘Precleaner’ means a cleaning product designed for the removal of surface contamination during preparation for and prior to the application of coating materials.

| (b) | ‘Filler and bodyfiller/stoppers’ means heavy-bodied compounds designed to be sprayed or applied by knife in order to fill deep surface imperfections prior to application of the paint system. |
| --- | --- |

(b)

‘Filler and bodyfiller/stoppers’ means heavy-bodied compounds designed to be sprayed or applied by knife in order to fill deep surface imperfections prior to application of the paint system.

| (c) | ‘Primer’ means any coating that is designed for application to bare metal or existing finishes to provide corrosion protection prior to application of a primer surfacer.






  — | ‘Surfacer’ means any coating designed for application prior to the application of top coat for the purpose of corrosion resistance, to ensure adhesion of the topcoat, and to promote the formation of a uniform surface finish by filling in minor surface imperfections. |
| --- | --- | --- |

(c)

‘Primer’ means any coating that is designed for application to bare metal or existing finishes to provide corrosion protection prior to application of a primer surfacer.

—

‘Surfacer’ means any coating designed for application prior to the application of top coat for the purpose of corrosion resistance, to ensure adhesion of the topcoat, and to promote the formation of a uniform surface finish by filling in minor surface imperfections.

| — | ‘General metal primers’ means coatings designed for application as primers, such as adhesion promoters, sealers, surfacers, undercoats, plastic primers, wet-on-wet, non-sand fillers and spray fillers. |
| --- | --- |

—

‘General metal primers’ means coatings designed for application as primers, such as adhesion promoters, sealers, surfacers, undercoats, plastic primers, wet-on-wet, non-sand fillers and spray fillers.

| — | ‘Wash primer’ means any coating containing at least 0.5% by weight of phosphoric acid designed to be applied directly to bare metal surfaces to provide corrosion resistance and adhesion. It includes coatings used as weldable primers, or mordant solutions (galvanised and zinc). |
| --- | --- |

—

‘Wash primer’ means any coating containing at least 0.5% by weight of phosphoric acid designed to be applied directly to bare metal surfaces to provide corrosion resistance and adhesion. It includes coatings used as weldable primers, or mordant solutions (galvanised and zinc).

| (d) | ‘Topcoat’ means any pigmented coating that is designed to be applied either as a single-layer or as a multiple-layer base to provide gloss and durability. It includes all products involved such as base coatings and clear coatings.






  — | ‘Base coatings’ means pigmented coatings designed to provide colour and any desired optical effects, but not the gloss or surface resistance of the coating system. |
| --- | --- | --- |

(d)

‘Topcoat’ means any pigmented coating that is designed to be applied either as a single-layer or as a multiple-layer base to provide gloss and durability. It includes all products involved such as base coatings and clear coatings.

—

‘Base coatings’ means pigmented coatings designed to provide colour and any desired optical effects, but not the gloss or surface resistance of the coating system.

| — | ‘Clear coating’ means a transparent coating designed to provide the final gloss and resistance properties of the coating system. |
| --- | --- |

—

‘Clear coating’ means a transparent coating designed to provide the final gloss and resistance properties of the coating system.

| (e) | ‘Special
  products
  ’ means
  matting, texturing and leather graining coatings and agents; antigraffiti clearcoat; coatings for plastic components, flexible/adhesion primers, plasticising additives; spot repair fade out additive; anti surface-defect additive; transparent, special effect design colours; organic solvent degreasers/silicone removers; electrostatic additive and aerosols
  . |
| --- | --- |

(e)

‘Special
  products
  ’ means
  matting, texturing and leather graining coatings and agents; antigraffiti clearcoat; coatings for plastic components, flexible/adhesion primers, plasticising additives; spot repair fade out additive; anti surface-defect additive; transparent, special effect design colours; organic solvent degreasers/silicone removers; electrostatic additive and aerosols
  .

---

(1)  OJ L 42, 23.2.1970, p. 1. Directive as last amended by Regulation (EC) No 807/2003.

ANNEX II

A.   Maximum VOC content limit values for decorative paints and varnishes

| | Product Subcategory | Type | Phase I (g/l) (1) (from 1.1.2007) | Phase II (g/l) (1) (from 1.1.2010) |
| --- | --- | --- | --- | --- |
| a | Interior matt walls and ceilings
  (Gloss < 25@60°) | WB
  SB | 75
  400 | 30
  30 |
| b | Interior glossy walls and ceilings
  (Gloss > 25@60°) | WB
  SB | 150
  400 | 100
  100 |
| c | Exterior walls of mineral substrate | WB
  SB | 75
  450 | 40
  430 |
| d | Interior/exterior trim and cladding paints for wood and metal | WB
  SB | 150
  300 | 130



   (2) 300 |
| e | Interior/exterior trim varnishes and woodstains, including opaque woodstains | WB
  SB | 150
  500 | 130


  400 |
| f | Interior and exterior minimal build woodstains | WB
  SB | 150
  700 | 130
  700 |
| g | Primers | WB
  SB | 50


  400 | 30
  350 |
| h | Binding primers | WB
  SB | 50
  750 | 30
  750 |
| i | One-pack performance coatings | WB
  SB | 140
  600 | 140
  500 |
| j | Two-pack reactive performance coatings for specific end use such as floors | WB
  SB | 140
  550 | 140
  500 |
| k | Multi-coloured coatings | WB
  SB | 150
  400 | 100
  100 |
| l | Decorative effect coatings | WB
  SB | 300
  500 | 200
  200 |

Product Subcategory

Type

Phase I (g/l) (1) (from 1.1.2007)

Phase II (g/l) (1) (from 1.1.2010)

a

Interior matt walls and ceilings

(Gloss < 25@60°)

WB

SB

75

400

30

30

b

Interior glossy walls and ceilings

(Gloss > 25@60°)

WB

SB

150

400

100

100

c

Exterior walls of mineral substrate

WB

SB

75

450

40

430

d

Interior/exterior trim and cladding paints for wood and metal

WB

SB

150

300

130

(2) 300

e

Interior/exterior trim varnishes and woodstains, including opaque woodstains

WB

SB

150

500

130

400

f

Interior and exterior minimal build woodstains

WB

SB

150

700

130

700

g

Primers

WB

SB

50

400

30

350

h

Binding primers

WB

SB

50

750

30

750

i

One-pack performance coatings

WB

SB

140

600

140

500

j

Two-pack reactive performance coatings for specific end use such as floors

WB

SB

140

550

140

500

k

Multi-coloured coatings

WB

SB

150

400

100

100

l

Decorative effect coatings

WB

SB

300

500

200

200

B.   Maximum VOC content limit values for vehicle refinishing products

| | Product Subcategory | Coatings | VOC g/l (3) (1.1.2007) |
| --- | --- | --- | --- |
| a | Preparation and cleaning | Gun wash
  Pre-cleaner | 850
  200 |
| b | Bodyfillers/stoppers | All types | 250 |
| c | Primers/Sealers/Surfacers/Fillers | General (metal) primers
  Wash primers | 540
  780 |
| d | Topcoat | All types | 420 |
| e | Special finishes | All types | 840 |

Product Subcategory

Coatings

VOC g/l (3) (1.1.2007)

a

Preparation and cleaning

Gun wash

Pre-cleaner

850

200

b

Bodyfillers/stoppers

All types

250

c

Primers/Sealers/Surfacers/Fillers

General (metal) primers

Wash primers

540

780

d

Topcoat

All types

420

e

Special finishes

All types

840

---

(1)  g/l ready to use.

(2)  
  Limit value to be confirmed in the review provided for in Article 11.

(3)  g/l of ready-to-use paint, discounting any water content of the coating.

P5_TA(2003)0412

Outcome of the WTO Ministerial

European Parliament resolution on the Fifth Ministerial Conference of the World Trade Organisation in Cancun

The European Parliament,

| — | having regard to its resolution of 3 July 2003 on preparations for the Fifth WTO Ministerial Conference in Cancun (1), |
| --- | --- |

—

having regard to its resolution of 3 July 2003 on preparations for the Fifth WTO Ministerial Conference in Cancun (1),

| — | having regard to its resolution of 18 November 1999 on the communication from the Commission to the Council and the European Parliament on the EU approach to the WTO Millennium Round (2), its resolution of 15 December 1999 on the Third Ministerial Conference of the World Trade Organisation in Seattle (3) and its resolution of 13 March 2001 containing the European Parliament's recommendations to the Commission on the WTO Built-in Agenda negotiations (4), |
| --- | --- |

—

having regard to its resolution of 18 November 1999 on the communication from the Commission to the Council and the European Parliament on the EU approach to the WTO Millennium Round (2), its resolution of 15 December 1999 on the Third Ministerial Conference of the World Trade Organisation in Seattle (3) and its resolution of 13 March 2001 containing the European Parliament's recommendations to the Commission on the WTO Built-in Agenda negotiations (4),

| — | having regard to the results of the Fourth WTO Ministerial Conference Declaration adopted on 14 November 2001 in Doha, and having regard to its resolution of 13 December 2001 on the WTO meeting in Qatar (5), |
| --- | --- |

—

having regard to the results of the Fourth WTO Ministerial Conference Declaration adopted on 14 November 2001 in Doha, and having regard to its resolution of 13 December 2001 on the WTO meeting in Qatar (5),

| — | having regard to its resolution of 12 March 2003 on the General Agreement on Trade in Services (GATS) within the WTO, including cultural diversity (6), its resolution of 12 February 2003 on the WTO agricultural trade negotiations (7), its resolution of 4 July 2002 on the Commission communication to the Council, the European Parliament and the Economic and Social Committee entitled ‘Promoting core Labour Standards and Improving Social governance in the context of globalisation’ (8) and its resolution of 25 October 2001 on openness and democracy in international trade (9), |
| --- | --- |

—

having regard to its resolution of 12 March 2003 on the General Agreement on Trade in Services (GATS) within the WTO, including cultural diversity (6), its resolution of 12 February 2003 on the WTO agricultural trade negotiations (7), its resolution of 4 July 2002 on the Commission communication to the Council, the European Parliament and the Economic and Social Committee entitled ‘Promoting core Labour Standards and Improving Social governance in the context of globalisation’ (8) and its resolution of 25 October 2001 on openness and democracy in international trade (9),

| 1. | Regrets that WTO members missed the opportunity to implement the Doha Development Agenda and establish a framework for its conclusion by 2004; fears that this will be to the detriment of the world economy but not least to the developing countries; stresses, however, that the Doha Development Round continues and confirms that the EU offer in the negotiations still stands; |
| --- | --- |

1.

Regrets that WTO members missed the opportunity to implement the Doha Development Agenda and establish a framework for its conclusion by 2004; fears that this will be to the detriment of the world economy but not least to the developing countries; stresses, however, that the Doha Development Round continues and confirms that the EU offer in the negotiations still stands;

| 2. | Welcomes the new level of organisation and assertiveness of developing countries, which offers the prospect of the emergence of a new and fairer world order and, through the creation of a small number of negotiating blocs, potentially facilitates the task of reaching agreement among the WTO's 148 members; |
| --- | --- |

2.

Welcomes the new level of organisation and assertiveness of developing countries, which offers the prospect of the emergence of a new and fairer world order and, through the creation of a small number of negotiating blocs, potentially facilitates the task of reaching agreement among the WTO's 148 members;

| 3. | Believes that a deal was within reach at Cancun, which would have brought benefits to developed and developing countries and LDCs through reduction and elimination of trade-distorting farm subsidies, fairer access to industrial, agricultural and services markets, and progress on multilateral rules to ensure fair play and to safeguard non-trade concerns such as environmental and food safety standards; |
| --- | --- |

3.

Believes that a deal was within reach at Cancun, which would have brought benefits to developed and developing countries and LDCs through reduction and elimination of trade-distorting farm subsidies, fairer access to industrial, agricultural and services markets, and progress on multilateral rules to ensure fair play and to safeguard non-trade concerns such as environmental and food safety standards;

| 4. | Continues strongly to support multilateral trade agreements as the best mechanism for promoting free and fair trade to the benefit of all, not least for the developing countries; warns WTO members against the risks for developing countries, and especially less developed countries, inherent in unilateral trade policies; stresses, therefore, its commitment to the open and liberal multilateral trading system of the WTO; calls on the United States to rally to the EU and its efforts to save the multilateral approach in international trade politics; |
| --- | --- |

4.

Continues strongly to support multilateral trade agreements as the best mechanism for promoting free and fair trade to the benefit of all, not least for the developing countries; warns WTO members against the risks for developing countries, and especially less developed countries, inherent in unilateral trade policies; stresses, therefore, its commitment to the open and liberal multilateral trading system of the WTO; calls on the United States to rally to the EU and its efforts to save the multilateral approach in international trade politics;

| 5. | Emphasises the need now for confidence-building measures in order to revive the negotiations; calls therefore on the WTO to put into operation the agreed measures on ‘implementation issues’ and to reach early agreement on the remaining issues; believes that, to forestall a drift towards bilateralism, a new impetus must urgently be given to the Doha Round through the convening of a special Ministerial Conference in early 2004, with the task of advancing the implementation of the Doha Development Agenda; and calls upon the Commission to take an early initiative to that effect; |
| --- | --- |

5.

Emphasises the need now for confidence-building measures in order to revive the negotiations; calls therefore on the WTO to put into operation the agreed measures on ‘implementation issues’ and to reach early agreement on the remaining issues; believes that, to forestall a drift towards bilateralism, a new impetus must urgently be given to the Doha Round through the convening of a special Ministerial Conference in early 2004, with the task of advancing the implementation of the Doha Development Agenda; and calls upon the Commission to take an early initiative to that effect;

| 6. | Believes further that the experience of Cancun demonstrates the need for far-reaching reform both of the WTO itself and of its place in the wider framework of global governance; |
| --- | --- |

6.

Believes further that the experience of Cancun demonstrates the need for far-reaching reform both of the WTO itself and of its place in the wider framework of global governance;

| 7. | Considers that reform of WTO rules, working methods and decision-making procedures is needed to create a more efficient, rule-based, open and inclusive organisation, and calls on the Commission, after consultation with Parliament, to bring forward proposals to that effect; |
| --- | --- |

7.

Considers that reform of WTO rules, working methods and decision-making procedures is needed to create a more efficient, rule-based, open and inclusive organisation, and calls on the Commission, after consultation with Parliament, to bring forward proposals to that effect;

| 8. | Notes also that Cancun highlighted the difficulty of finding solutions within a purely WTO framework to the problems of poor countries in coping with the transitional impact of trade liberalisation and responding to the opportunities for export growth; and recognises that Cancun saw the emergence of a new alliance of developing countries, uniting the ACP, the African Union and LDCs, for whom this issue was a central problem; |
| --- | --- |

8.

Notes also that Cancun highlighted the difficulty of finding solutions within a purely WTO framework to the problems of poor countries in coping with the transitional impact of trade liberalisation and responding to the opportunities for export growth; and recognises that Cancun saw the emergence of a new alliance of developing countries, uniting the ACP, the African Union and LDCs, for whom this issue was a central problem;

| 9. | Considers that this underlines the need to build a closer relationship between the WTO and other international organisations such as the UNDP, the ILO, UNEP, the MEA secretariats and the World Bank, as an essential step towards a different and more sustainable model of globalisation, in which global institutions work together in the service of the common objectives set out for example in the UN's goals and the ILO core labour standards; |
| --- | --- |

9.

Considers that this underlines the need to build a closer relationship between the WTO and other international organisations such as the UNDP, the ILO, UNEP, the MEA secretariats and the World Bank, as an essential step towards a different and more sustainable model of globalisation, in which global institutions work together in the service of the common objectives set out for example in the UN's goals and the ILO core labour standards;

| 10. | Warmly welcomes the agreement reached in Geneva on affordable access to medicines; notes, however, the concerns expressed that rules designed to prevent abuse could obstruct the effective operation of the agreement; calls on the Member States to make a clear commitment to the expeditious authorisation of the necessary licences on request; and stresses that access to medicines is only part of the solution to the difficulties faced by developing countries' health systems; |
| --- | --- |

10.

Warmly welcomes the agreement reached in Geneva on affordable access to medicines; notes, however, the concerns expressed that rules designed to prevent abuse could obstruct the effective operation of the agreement; calls on the Member States to make a clear commitment to the expeditious authorisation of the necessary licences on request; and stresses that access to medicines is only part of the solution to the difficulties faced by developing countries' health systems;

| 11. | Expresses particular regret at the failure in Cancun to agree on the abolition of trade-distorting subsidies, particularly the USD 3,5 billion subsidies paid to US cotton producers, which threaten the livelihoods of 10 million African cotton farmers; welcomes the EU's willingness to take on board the cotton initiative of Mali, Burkina Faso, Chad and Benin, and calls on the Commission, in close cooperation with the ACP and other developing countries, to table proposals for an early agreement on a fair deal for cotton producers, as well as to press the USA to respond positively with an early reform of its cotton sector; |
| --- | --- |

11.

Expresses particular regret at the failure in Cancun to agree on the abolition of trade-distorting subsidies, particularly the USD 3,5 billion subsidies paid to US cotton producers, which threaten the livelihoods of 10 million African cotton farmers; welcomes the EU's willingness to take on board the cotton initiative of Mali, Burkina Faso, Chad and Benin, and calls on the Commission, in close cooperation with the ACP and other developing countries, to table proposals for an early agreement on a fair deal for cotton producers, as well as to press the USA to respond positively with an early reform of its cotton sector;

| 12. | Welcomes the flexibility demonstrated by the EU's negotiators in moving towards developing country positions on the key issues of agricultural trade, investment and competition rules; and recalls that its abovementioned resolution of 3 July 2003 expressed doubts about the existence of the necessary support among WTO Members for the launch of negotiations on the Singapore issues; |
| --- | --- |

12.

Welcomes the flexibility demonstrated by the EU's negotiators in moving towards developing country positions on the key issues of agricultural trade, investment and competition rules; and recalls that its abovementioned resolution of 3 July 2003 expressed doubts about the existence of the necessary support among WTO Members for the launch of negotiations on the Singapore issues;

| 13. | Underlines the importance of trade facilitation and transparency in public procurement for enhancing trade among all countries, notably developing countries; also supports, however, the Commission's willingness to show flexibility on these issues in the negotiation procedure, if this can produce a balanced result; |
| --- | --- |

13.

Underlines the importance of trade facilitation and transparency in public procurement for enhancing trade among all countries, notably developing countries; also supports, however, the Commission's willingness to show flexibility on these issues in the negotiation procedure, if this can produce a balanced result;

| 14. | Notes that the reform of the Common Agricultural Policy proved to be the right starting point for discussions, and calls on other major players, notably the USA, to undertake similar ambitious reforms; |
| --- | --- |

14.

Notes that the reform of the Common Agricultural Policy proved to be the right starting point for discussions, and calls on other major players, notably the USA, to undertake similar ambitious reforms;

| 15. | Considers that the last CAP reform laid a solid foundation for a flexible EU negotiating position; and requests the Commission to continue its planned reform of the CAP with a view to eliminating trade-distorting subsidies and in time to find a formula which maintains the multi-functional character of agricultural activity and supports the way of life and employment in agricultural areas; |
| --- | --- |

15.

Considers that the last CAP reform laid a solid foundation for a flexible EU negotiating position; and requests the Commission to continue its planned reform of the CAP with a view to eliminating trade-distorting subsidies and in time to find a formula which maintains the multi-functional character of agricultural activity and supports the way of life and employment in agricultural areas;

| 16. | Insists that the negotiations must remain within the Doha Agenda and that the EU must strongly defend its position on geographical indications; |
| --- | --- |

16.

Insists that the negotiations must remain within the Doha Agenda and that the EU must strongly defend its position on geographical indications;

| 17. | Believes that capacity building must be expanded to improve opportunities for developing countries, especially LDCs, and to rebuild trust; |
| --- | --- |

17.

Believes that capacity building must be expanded to improve opportunities for developing countries, especially LDCs, and to rebuild trust;

| 18. | Welcomes the fact that all three institutions acted with great unity in Cancun; expresses its satisfaction with the way the Commission handled the negotiations; and commends the Commission for keeping Parliament fully informed during the Ministerial Conference, including discussing the EU's negotiating strategy; regrets, however, the formal status of the Members of European Parliament at the Ministerial Conference and requests that this be urgently reviewed; |
| --- | --- |

18.

Welcomes the fact that all three institutions acted with great unity in Cancun; expresses its satisfaction with the way the Commission handled the negotiations; and commends the Commission for keeping Parliament fully informed during the Ministerial Conference, including discussing the EU's negotiating strategy; regrets, however, the formal status of the Members of European Parliament at the Ministerial Conference and requests that this be urgently reviewed;

| 19. | Notes with satisfaction the parliamentary conference on the WTO which took place during the Fifth Ministerial Conference; notes that 300 parliamentarians from around the world took part, and that it unanimously adopted a declaration calling for parliamentarians to be more closely associated with the WTO negotiating process; |
| --- | --- |

19.

Notes with satisfaction the parliamentary conference on the WTO which took place during the Fifth Ministerial Conference; notes that 300 parliamentarians from around the world took part, and that it unanimously adopted a declaration calling for parliamentarians to be more closely associated with the WTO negotiating process;

| 20. | Continues to call for enhanced democratic accountability and openness of the WTO and for the creation of a WTO Parliamentary Assembly; |
| --- | --- |

20.

Continues to call for enhanced democratic accountability and openness of the WTO and for the creation of a WTO Parliamentary Assembly;

| 21. | Calls on its President to set up a small reflection group within Parliament to consider the WTO reforms necessary for maintaining the multilateral character of the world trading system; |
| --- | --- |

21.

Calls on its President to set up a small reflection group within Parliament to consider the WTO reforms necessary for maintaining the multilateral character of the world trading system;

| 22. | Undertakes to organise, at the beginning of 2004, in cooperation with the Inter-parliamentary Union, a new parliamentary conference on the WTO with a view to discussing further steps in both the WTO trade negotiations and reform of the WTO; |
| --- | --- |

22.

Undertakes to organise, at the beginning of 2004, in cooperation with the Inter-parliamentary Union, a new parliamentary conference on the WTO with a view to discussing further steps in both the WTO trade negotiations and reform of the WTO;

| 23. | Instructs its President to forward this resolution to the Council, the Commission, the parliaments of the Member States and the accession states, and the Director-General of the WTO. |
| --- | --- |

23.

Instructs its President to forward this resolution to the Council, the Commission, the parliaments of the Member States and the accession states, and the Director-General of the WTO.

---

(1)  P5_TA(2003)0336.

(2)  OJ C 189, 7.7.2000, p. 213.

(3)  OJ C 296, 18.10.2000, p. 121.

(4)  OJ C 343, 5.12.2001, p. 96.

(5)  OJ C 177 E, 25.7.2002, p. 290.

(6)  P5_TA(2003)0087.

(7)  P5_TA(2003)0053.

(8)  P5_TA(2002)0374.

(9)  OJ C 112 E, 9.5.2002, p. 326.

P5_TA(2003)0413

Access to European Parliament, Council and Commission documents

European Parliament resolution on public access to Parliament, Council and Commission documents (implementation of Regulation (EC) No 1049/2001 in the year 2002) (2003/2022(INI))

The European Parliament,

| — | having regard to the Commission report on the application in 2002 of Regulation (EC) No 1049/2001 of the European Parliament and of the Council regarding public access to European Parliament, Council and Commission documents (COM(2003) 216); to the annual report of the Council on the implementation of Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (1), and to the information provided by the Bureau of the Parliament in the review of the implementation within Parliament during 2002 of Regulation (EC) 1049/2001 of the Parliament and the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents pursuant to Article 17 of Regulation (EC) No 1049/2001 (2), |
| --- | --- |

—

having regard to the Commission report on the application in 2002 of Regulation (EC) No 1049/2001 of the European Parliament and of the Council regarding public access to European Parliament, Council and Commission documents (COM(2003) 216); to the annual report of the Council on the implementation of Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (1), and to the information provided by the Bureau of the Parliament in the review of the implementation within Parliament during 2002 of Regulation (EC) 1049/2001 of the Parliament and the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents pursuant to Article 17 of Regulation (EC) No 1049/2001 (2),

| — | having regard to Article 255 of the EC Treaty, Regulation (EC) No 1049/2001 (3) and other provisions adopted and/or in the process of being adopted to ensure citizens' right of access to documents of the institutions and agencies, |
| --- | --- |

—

having regard to Article 255 of the EC Treaty, Regulation (EC) No 1049/2001 (3) and other provisions adopted and/or in the process of being adopted to ensure citizens' right of access to documents of the institutions and agencies,

| — | having regard to the practical measures taken by the institutions and agencies in 2002 to make the exercise of the right of access effective, |
| --- | --- |

—

having regard to the practical measures taken by the institutions and agencies in 2002 to make the exercise of the right of access effective,

| — | having regard to the work carried out in 2002 by the Interinstitutional Committee established under Article 15 of Regulation (EC) No 1049/2001, |
| --- | --- |

—

having regard to the work carried out in 2002 by the Interinstitutional Committee established under Article 15 of Regulation (EC) No 1049/2001,

| — | having regard to the first implementation of the registers by the institutions and their impact on the organisation of work within these institutions and between them, |
| --- | --- |

—

having regard to the first implementation of the registers by the institutions and their impact on the organisation of work within these institutions and between them,

| — | having regard to the steps taken to date to ensure a coherent and interinstitutional view of legislative work and to implement the requests formulated by the EP at the time of the adoption of the 2002 Budget, |
| --- | --- |

—

having regard to the steps taken to date to ensure a coherent and interinstitutional view of legislative work and to implement the requests formulated by the EP at the time of the adoption of the 2002 Budget,

| — | having regard to the measures taken by the institutions in 2002 to ensure the provision of information to citizens, |
| --- | --- |

—

having regard to the measures taken by the institutions in 2002 to ensure the provision of information to citizens,

| — | having regard to the disputes and/or actions lodged with the Ombudsman and the Community courts as well as the decisions and recommendations taken by those bodies, |
| --- | --- |

—

having regard to the disputes and/or actions lodged with the Ombudsman and the Community courts as well as the decisions and recommendations taken by those bodies,

| — | having regard, in particular, to Case T-84/03 (Maurizio Turco v. Council of the European Union), pending before the Court of First Instance, on access to legal opinions and identification of the positions of national delegations within the Council in the decision-making process; |
| --- | --- |

—

having regard, in particular, to Case T-84/03 (Maurizio Turco v. Council of the European Union), pending before the Court of First Instance, on access to legal opinions and identification of the positions of national delegations within the Council in the decision-making process;

| — | having regard to its resolution of 14 March 2002 on the implementation of Regulation (EC) No 1049/2001 on public access to European Parliament, Council and Commission documents (4), |
| --- | --- |

—

having regard to its resolution of 14 March 2002 on the implementation of Regulation (EC) No 1049/2001 on public access to European Parliament, Council and Commission documents (4),

| — | having regard to Rules 172(7) and 47(1) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 172(7) and 47(1) of its Rules of Procedure,

| — | having regard to the report of the Committee on Citizens' Freedoms and Rights, Justice and Home Affairs and the opinion of the Committee on Constitutional Affairs (A5-0298/2003), |
| --- | --- |

—

having regard to the report of the Committee on Citizens' Freedoms and Rights, Justice and Home Affairs and the opinion of the Committee on Constitutional Affairs (A5-0298/2003),

In general as regards transparency policy

| 1. | Reaffirms its determination to promote effective transparency in the work of the Union in order to strengthen the principle of democracy, which is one of the principles on which the Union is based (Article 6(1) of the EU Treaty); |
| --- | --- |

1.

Reaffirms its determination to promote effective transparency in the work of the Union in order to strengthen the principle of democracy, which is one of the principles on which the Union is based (Article 6(1) of the EU Treaty);

| 2. | Welcomes the draft text of the Constitution that confirmed the right of access to documents, extended the obligation of transparency to all institutions, agencies and bodies, included Articles 41 and 42 of the Charter on Fundamental Rights of the European Union, which relate to access to documents, and opened the legislative process, particularly as regards Council, to the public; |
| --- | --- |

2.

Welcomes the draft text of the Constitution that confirmed the right of access to documents, extended the obligation of transparency to all institutions, agencies and bodies, included Articles 41 and 42 of the Charter on Fundamental Rights of the European Union, which relate to access to documents, and opened the legislative process, particularly as regards Council, to the public;

As regards the measures taken and to be taken on the basis of Regulation (EC) No 1049/2001

| 3. | Congratulates the institutions — and the people who work in them — on the progress achieved so far and at the same time wishes to encourage them to continue the work; is pleased at the considerable increase in documents now being placed at the disposal of the citizens, in particular by the Council, but remarks however that if hundreds of thousands of documents become accessible, suitable tools must also be devised to ensure the best possible targeted response to citizens' requests and especially when monitoring of preparatory legislative work is involved (5); |
| --- | --- |

3.

Congratulates the institutions — and the people who work in them — on the progress achieved so far and at the same time wishes to encourage them to continue the work; is pleased at the considerable increase in documents now being placed at the disposal of the citizens, in particular by the Council, but remarks however that if hundreds of thousands of documents become accessible, suitable tools must also be devised to ensure the best possible targeted response to citizens' requests and especially when monitoring of preparatory legislative work is involved (5);

| 4. | Considers that the situation is still unsatisfactory as regards:






  — | the European Council, which does not give full access to the documents under discussion it if they have not previously been subject to discussions in the Council of Ministers; |
| --- | --- | --- |

4.

Considers that the situation is still unsatisfactory as regards:

—

the European Council, which does not give full access to the documents under discussion it if they have not previously been subject to discussions in the Council of Ministers;

| — | the European Convention which does not consider itself bound to apply the principles of Regulation (EC) No 1049/2001; |
| --- | --- |

—

the European Convention which does not consider itself bound to apply the principles of Regulation (EC) No 1049/2001;

| — | the Council and the Commission, which do not give direct access to the preparatory acts of delegated legislation (e.g. proposals submitted to the Committees assisting the Commission and proposals for executive measures submitted to Coreper); |
| --- | --- |

—

the Council and the Commission, which do not give direct access to the preparatory acts of delegated legislation (e.g. proposals submitted to the Committees assisting the Commission and proposals for executive measures submitted to Coreper);

| — | the Council, which does not permit the identification of the positions of the various national delegations at the time of the decision-making process: the removal of this information, which is essential to the supervision of national government positions, is against the spirit and the letter of the Regulation (EC) No 1049/2001, which permits exceptions based on the content of a document (Article 4(7)) and not on the basis of the activity of national delegations when acting as a component of the Council, it is also a contradiction because initiatives of Member States, which also aim at amending legislation, are made public; |
| --- | --- |

—

the Council, which does not permit the identification of the positions of the various national delegations at the time of the decision-making process: the removal of this information, which is essential to the supervision of national government positions, is against the spirit and the letter of the Regulation (EC) No 1049/2001, which permits exceptions based on the content of a document (Article 4(7)) and not on the basis of the activity of national delegations when acting as a component of the Council, it is also a contradiction because initiatives of Member States, which also aim at amending legislation, are made public;

| — | the Council, which seems to systematically refuse applications for documents concerning public security on the basis of Article 4(1) of the Regulation; considers that this could be against the letter and the spirit of the Regulation; reiterates that all requests for documents must be considered on a case-bycase basis; |
| --- | --- |

—

the Council, which seems to systematically refuse applications for documents concerning public security on the basis of Article 4(1) of the Regulation; considers that this could be against the letter and the spirit of the Regulation; reiterates that all requests for documents must be considered on a case-bycase basis;

| — | the European Parliament, the Council and the Commission, which seem to refuse systematically all applications for legal opinions, which could also be against the spirit and the letter of Regulation (EC) No 1049/2001; in this connection, and following the entry into force of the Treaty of Nice which gives to the European Parliament a general right to appeal, requests its Committee on Legal Affairs and the Internal Market to discuss the European Parliament's participation in the T-84/03 proceedings; |
| --- | --- |

—

the European Parliament, the Council and the Commission, which seem to refuse systematically all applications for legal opinions, which could also be against the spirit and the letter of Regulation (EC) No 1049/2001; in this connection, and following the entry into force of the Treaty of Nice which gives to the European Parliament a general right to appeal, requests its Committee on Legal Affairs and the Internal Market to discuss the European Parliament's participation in the T-84/03 proceedings;

| — | the Council: regrets the use of a classification of ‘Limited’ or ‘Restricted’ and accordingly states that such documents cannot be registered as Sensitive Documents, the definition of such being très secret/top secret, secret or confidentiel; |
| --- | --- |

—

the Council: regrets the use of a classification of ‘Limited’ or ‘Restricted’ and accordingly states that such documents cannot be registered as Sensitive Documents, the definition of such being très secret/top secret, secret or confidentiel;

| — | the Council, which received an unknown number of sensitive documents and drew up 173 sensitive documents that were not referred to in the register; and the Commission, which drew up and received an unknown number of sensitive documents which are not referred to in any register; |
| --- | --- |

—

the Council, which received an unknown number of sensitive documents and drew up 173 sensitive documents that were not referred to in the register; and the Commission, which drew up and received an unknown number of sensitive documents which are not referred to in any register;

| — | the Council, which stopped recording certain meetings to avoid having to provide the tapes on request; wishes to know the reasons relating to good administration for not recording meetings held in camera or whether this measure may be considered as a means of distorting the objectives set out in Article 1(2) of the TEU (principle of openness), Article 255 of the EC Treaty and Regulation (EC) No 1049/2001; |
| --- | --- |

—

the Council, which stopped recording certain meetings to avoid having to provide the tapes on request; wishes to know the reasons relating to good administration for not recording meetings held in camera or whether this measure may be considered as a means of distorting the objectives set out in Article 1(2) of the TEU (principle of openness), Article 255 of the EC Treaty and Regulation (EC) No 1049/2001;

| — | the Council and the Commission, which should give direct access to documents more often; |
| --- | --- |

—

the Council and the Commission, which should give direct access to documents more often;

| — | the Commission, which as a reason for refusal in 38% of the cases invoked ‘various exceptions and unspecified exception’; considers this to be unacceptable; |
| --- | --- |

—

the Commission, which as a reason for refusal in 38% of the cases invoked ‘various exceptions and unspecified exception’; considers this to be unacceptable;

| — | the Commission, whose interpretation of the Regulation is questionable when it systematically denies citizens access to correspondence from the Member States in the context of infringement proceedings once the proceedings have been completed or suspended; it should, instead, carry out an independent assessment of the matter on the basis of presumption of accessibility; and reminds the Commission that applications for access to documents must be considered on a case-by-case basis; |
| --- | --- |

—

the Commission, whose interpretation of the Regulation is questionable when it systematically denies citizens access to correspondence from the Member States in the context of infringement proceedings once the proceedings have been completed or suspended; it should, instead, carry out an independent assessment of the matter on the basis of presumption of accessibility; and reminds the Commission that applications for access to documents must be considered on a case-by-case basis;

| — | the Commission, which has not set up one single electronic register but has in fact several; argues that it was the intention of Regulation (EC) No 1049/2001 that the institutions set up one register; |
| --- | --- |

—

the Commission, which has not set up one single electronic register but has in fact several; argues that it was the intention of Regulation (EC) No 1049/2001 that the institutions set up one register;

| — | as regards all institutions which seem to have problems with the operation of the registers; requests increased efforts to improve them and also to assist citizens asking for documents, including increased interinstitutional cooperation on this issue in order to exchange best practice and the examination of the idea of setting up an interinstitutional help desk, especially in relation to unspecific requests for documents; requests better information of citizens about their right of access to documents; |
| --- | --- |

—

as regards all institutions which seem to have problems with the operation of the registers; requests increased efforts to improve them and also to assist citizens asking for documents, including increased interinstitutional cooperation on this issue in order to exchange best practice and the examination of the idea of setting up an interinstitutional help desk, especially in relation to unspecific requests for documents; requests better information of citizens about their right of access to documents;

| — | the annual reports which should in the future be established following a common methodology between the institutions; |
| --- | --- |

—

the annual reports which should in the future be established following a common methodology between the institutions;

calls on the abovementioned institutions to take urgent action in this respect to apply the Regulation and in order to guarantee full transparency and citizens' access to documents;

| 5. | Invites the other institutions, agencies and bodies to apply the Regulation; welcomes the fact that the legal acts providing for the application of Regulation (EC) No 1049/2001 by the Community agencies have finally been adopted; |
| --- | --- |

5.

Invites the other institutions, agencies and bodies to apply the Regulation; welcomes the fact that the legal acts providing for the application of Regulation (EC) No 1049/2001 by the Community agencies have finally been adopted;

| 6. | Urges Parliament and its services to apply the highest standards with respect to transparency; urges in particular Committee secretariats to ensure up-to-date information about their workings on their websites and to operate in full transparency; |
| --- | --- |

6.

Urges Parliament and its services to apply the highest standards with respect to transparency; urges in particular Committee secretariats to ensure up-to-date information about their workings on their websites and to operate in full transparency;

| 7. | Welcomes the measures taken within the institutions for the reorganisation of the coding process, production, filing and distribution of documents, making it possible to identify the authors, the nature of the document and other information necessary for the traceability of documents within each institution; remarks however that at the interinstitutional level almost everything still remains to be done and that, notwithstanding the resources invested since 1987 under the INSIS and IDA programmes, the institutions have not yet established:






  — | a general system of interinstitutional coding, both for the types of documents and for the decisional procedures to which they refer (including the procedures in which the EP is not associated); |
| --- | --- | --- |

7.

Welcomes the measures taken within the institutions for the reorganisation of the coding process, production, filing and distribution of documents, making it possible to identify the authors, the nature of the document and other information necessary for the traceability of documents within each institution; remarks however that at the interinstitutional level almost everything still remains to be done and that, notwithstanding the resources invested since 1987 under the INSIS and IDA programmes, the institutions have not yet established:

—

a general system of interinstitutional coding, both for the types of documents and for the decisional procedures to which they refer (including the procedures in which the EP is not associated);

| — | common programmes for the drafting of texts to allow their re-use by the recipient institution, and/or the publication if necessary in the Official Journal (as is already the case for the budgetary documents); |
| --- | --- |

—

common programmes for the drafting of texts to allow their re-use by the recipient institution, and/or the publication if necessary in the Official Journal (as is already the case for the budgetary documents);

| — | a common directory of the organisations which intervene in the legislative process (parliamentary committees, Coreper and Article 36 Committees); |
| --- | --- |

—

a common directory of the organisations which intervene in the legislative process (parliamentary committees, Coreper and Article 36 Committees);

| — | except in the case of the parliamentary committees, a direct link between the agendas of the Council and of the Commission and the documents for a given meeting; |
| --- | --- |

—

except in the case of the parliamentary committees, a direct link between the agendas of the Council and of the Commission and the documents for a given meeting;

| 8. | Recalls that a further important step in guaranteeing transparency and citizens' access to documents would be to make the main institutional events available on the internet in an audio-video format, along the lines of Parliament's current pilot project regarding part-sessions and, in future, committee and other meetings; calls for such resources also to be subsequently available and accessible through registries and search engines; |
| --- | --- |

8.

Recalls that a further important step in guaranteeing transparency and citizens' access to documents would be to make the main institutional events available on the internet in an audio-video format, along the lines of Parliament's current pilot project regarding part-sessions and, in future, committee and other meetings; calls for such resources also to be subsequently available and accessible through registries and search engines;

| 9. | Calls on the Secretaries-General of the institutions to report to it before 1 March 2004 on






  — | the rules and methods currently used to produce, classify, manage and distribute documents both within and outside each institution, |
| --- | --- | --- |

9.

Calls on the Secretaries-General of the institutions to report to it before 1 March 2004 on

—

the rules and methods currently used to produce, classify, manage and distribute documents both within and outside each institution,

| — | the nature and scope of the projects already financed, ranging from the INSIS programme to the IDA (I and II) programmes, including to what extent they have been successful or have met with difficulties, |
| --- | --- |

—

the nature and scope of the projects already financed, ranging from the INSIS programme to the IDA (I and II) programmes, including to what extent they have been successful or have met with difficulties,

| — | the measures taken or yet to be taken to establish a genuine common working area, in particular between the institutions and bodies involved in the interinstitutional decision-making process as provided for in the Treaties; |
| --- | --- |

—

the measures taken or yet to be taken to establish a genuine common working area, in particular between the institutions and bodies involved in the interinstitutional decision-making process as provided for in the Treaties;

| 10. | Recalls that Regulation (EC) No 1049/2001 requires the publication in the Official Journal of the principal preparatory acts (Commission proposals, Parliament's positions, Council common positions etc.) in order to permit non-discriminatory access for both citizens and the national parliaments; remarks however that the practice currently followed by the institutions is very disparate (6) and consequently suggests:






  — | the establishment, within the framework of the Official Journal, of a specific electronic edition for the publication on the Internet of the principal texts adopted within and by the institutions during the legislative procedure; the publication on the interinstitutional site would take place at the same time as the publication in the register of the document in question, this could also serve the purpose of setting a clear starting date for the period for consulting national parliaments; |
| --- | --- | --- |

10.

Recalls that Regulation (EC) No 1049/2001 requires the publication in the Official Journal of the principal preparatory acts (Commission proposals, Parliament's positions, Council common positions etc.) in order to permit non-discriminatory access for both citizens and the national parliaments; remarks however that the practice currently followed by the institutions is very disparate (6) and consequently suggests:

—

the establishment, within the framework of the Official Journal, of a specific electronic edition for the publication on the Internet of the principal texts adopted within and by the institutions during the legislative procedure; the publication on the interinstitutional site would take place at the same time as the publication in the register of the document in question, this could also serve the purpose of setting a clear starting date for the period for consulting national parliaments;

| — | to include, in this specific electronic edition for following the interinstitutional legislative procedures, the factual and analytical data, such as the dates of main events and summaries of texts, already included in their legislative databases, such as Pre-lex and the Legislative Observatory, to allow citizens better to understand and follow the decision-making process, as previously indicated in its resolution of 19 December 2002 on the draft general budget of the European Union for the financial year 2003 as modified by the Council (all sections) and Letters of Amendment No 2/2003 and No 3/2003 to the draft general budget of the European Union for the financial year 2003 (7); |
| --- | --- |

—

to include, in this specific electronic edition for following the interinstitutional legislative procedures, the factual and analytical data, such as the dates of main events and summaries of texts, already included in their legislative databases, such as Pre-lex and the Legislative Observatory, to allow citizens better to understand and follow the decision-making process, as previously indicated in its resolution of 19 December 2002 on the draft general budget of the European Union for the financial year 2003 as modified by the Council (all sections) and Letters of Amendment No 2/2003 and No 3/2003 to the draft general budget of the European Union for the financial year 2003 (7);

| 11. | Urges the Council and the Commission in the spirit of loyal cooperation between the institutions to grant at least Members of the European Parliament systematic access to documents whose distribution is Limite relating to the legislative process to which citizens would not have direct access under Regulation (EC) No 1049/2001; |
| --- | --- |

11.

Urges the Council and the Commission in the spirit of loyal cooperation between the institutions to grant at least Members of the European Parliament systematic access to documents whose distribution is Limite relating to the legislative process to which citizens would not have direct access under Regulation (EC) No 1049/2001;

| 12. | Declares its willingness to cooperate in all the areas called for by the national parliaments and asks those concerned in the national parliaments to set up a virtual ‘forum’ of European legislators via the Internet, focusing on the monitoring of EU legislative procedures; proposes, as an initial theme for such an exercise, the monitoring of procedures relating to the area of freedom, security and justice, as defined in Article 2 of the TEU; |
| --- | --- |

12.

Declares its willingness to cooperate in all the areas called for by the national parliaments and asks those concerned in the national parliaments to set up a virtual ‘forum’ of European legislators via the Internet, focusing on the monitoring of EU legislative procedures; proposes, as an initial theme for such an exercise, the monitoring of procedures relating to the area of freedom, security and justice, as defined in Article 2 of the TEU;

| 13. | Welcomes the political agreement reached by the Council on 21 July 2003 on the amended proposal for a Council Regulation amending Regulation (EEC, Euratom) No 354/83 concerning the opening to the public of the historical archives of the Communities (COM(2003) 244) as provided for in Article 18 of Regulation (EC) No1049/2001; |
| --- | --- |

13.

Welcomes the political agreement reached by the Council on 21 July 2003 on the amended proposal for a Council Regulation amending Regulation (EEC, Euratom) No 354/83 concerning the opening to the public of the historical archives of the Communities (COM(2003) 244) as provided for in Article 18 of Regulation (EC) No1049/2001;

| 14. | Urges the Register Services of the Institutions to inform citizens after access to a document is partially or completely refused of their right to complain to the European Ombudsman and to give the address of the European Ombudsman's website; |
| --- | --- |

14.

Urges the Register Services of the Institutions to inform citizens after access to a document is partially or completely refused of their right to complain to the European Ombudsman and to give the address of the European Ombudsman's website;

| 15. | Invites the Commission to incorporate in its report on the revision of Regulation (EC) No 1049/2001 the proposals made in this resolution; also invites the Commission to check beforehand and make proposals on the following elements:






  — | the prior preparation of a special report by the European Ombudsman on the application of Article 4 of the Regulation; |
| --- | --- | --- |

15.

Invites the Commission to incorporate in its report on the revision of Regulation (EC) No 1049/2001 the proposals made in this resolution; also invites the Commission to check beforehand and make proposals on the following elements:

—

the prior preparation of a special report by the European Ombudsman on the application of Article 4 of the Regulation;

| — | strengthening of interinstitutional cooperation; |
| --- | --- |

—

strengthening of interinstitutional cooperation;

| — | amending Article 12 of the Regulation to provide for the setting-up of a single interinstitutional register for procedures in which more than one institution is involved; |
| --- | --- |

—

amending Article 12 of the Regulation to provide for the setting-up of a single interinstitutional register for procedures in which more than one institution is involved;

| — | clarification of the Regulation to avoid varying interpretations by the institutions (legal opinions, positions of national delegations and other issues mentioned in paragraph 4 etc.) including definitions on the use of certain concepts such as ‘public interest’; |
| --- | --- |

—

clarification of the Regulation to avoid varying interpretations by the institutions (legal opinions, positions of national delegations and other issues mentioned in paragraph 4 etc.) including definitions on the use of certain concepts such as ‘public interest’;

| — | the establishment of one set of rules on the treatment of confidential documents putting all institutions on the same footing as regards granting each other access; |
| --- | --- |

—

the establishment of one set of rules on the treatment of confidential documents putting all institutions on the same footing as regards granting each other access;

| — | archiving; |
| --- | --- |

—

archiving;

| 16. | Considers that the Council differentiates between documents forwarded by the Member States acting, firstly, in their capacity as members of Council and, secondly, as individual Member States; European citizens must have the same or comparable rights to openness with regard to both the Union and to their own Member State if it affects European competences; calls on the Commission to submit a proposal to that end; |
| --- | --- |

16.

Considers that the Council differentiates between documents forwarded by the Member States acting, firstly, in their capacity as members of Council and, secondly, as individual Member States; European citizens must have the same or comparable rights to openness with regard to both the Union and to their own Member State if it affects European competences; calls on the Commission to submit a proposal to that end;

*

- *

| 17. | Instructs its President to forward this resolution to all other institutions, agencies and bodies of the European Union. |
| --- | --- |

17.

Instructs its President to forward this resolution to all other institutions, agencies and bodies of the European Union.

---

(1)  7957/2003.

(2)  PE 324.892/BUR, available on: http://www4.europarl.eu.int/registre/recherche/DemandeDocuments.cfm?langue=EN

(3)  OJ L 145, 31.5.2001, p. 43.

(4)  OJ C 47 E, 27.2.2003, p. 483.

(5)  Recital 6 and Article 12 of Regulation (EC) No 1049/2001.

(6)  The Commission has not published its proposals in the Official Journal since April 2003, whilst Parliament's positions and Council common positions have, for several years, been published only in the electronic version of the C series of the Official Journal. The Council still publishes Member State initiatives (third pillar) in the paper version of the Official Journal. The joint texts produced at the end of the conciliation procedure are not published at all.

(7)  P5_TA(2002)0624.

P5_TA(2003)0414

Progress report on European Union participation in the plan of implementation of the world summit on sustainable development (Johannesburg 2002)

European Parliament resolution on the EU's contribution to the World Summit on Sustainable Development (WSSD) Plan of Implementation

The European Parliament,

| — | having regard to the outcome of the World Summit on Sustainable Development (WSSD) in Johannesburg and its resolution of 26 September 2002 thereon (1), |
| --- | --- |

—

having regard to the outcome of the World Summit on Sustainable Development (WSSD) in Johannesburg and its resolution of 26 September 2002 thereon (1),

| — | having regard to its resolution of 16 May 2002 on the communication from the Commission to the Council and the European Parliament entitled ‘Ten years after Rio: preparing for the World Summit on Sustainable Development in 2002’ (2), |
| --- | --- |

—

having regard to its resolution of 16 May 2002 on the communication from the Commission to the Council and the European Parliament entitled ‘Ten years after Rio: preparing for the World Summit on Sustainable Development in 2002’ (2),

| — | having regard to its resolution of 16 May 2002 on the Commission communication to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions entitled ‘Towards a global partnership for sustainable development’ (3), |
| --- | --- |

—

having regard to its resolution of 16 May 2002 on the Commission communication to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions entitled ‘Towards a global partnership for sustainable development’ (3),

| A. | whereas one year after the Summit, the need to ensure sustainable development, both inside and outside the EU, is more urgent than ever, |
| --- | --- |

A.

whereas one year after the Summit, the need to ensure sustainable development, both inside and outside the EU, is more urgent than ever,

| B. | whereas in a long-term strategy for sustainable development, its three dimensions of economic growth, social cohesion and environmental protection must be mutually supportive, |
| --- | --- |

B.

whereas in a long-term strategy for sustainable development, its three dimensions of economic growth, social cohesion and environmental protection must be mutually supportive,

| C. | whereas the ambitions set by the EU in its preparation for the Johannesburg Summit were higher than the results obtained, |
| --- | --- |

C.

whereas the ambitions set by the EU in its preparation for the Johannesburg Summit were higher than the results obtained,

| D. | whereas very little effort has been made by industrialised countries to move towards sustainable consumption and production patterns, |
| --- | --- |

D.

whereas very little effort has been made by industrialised countries to move towards sustainable consumption and production patterns,

| E. | recalling existing commitments to achieve the Millennium Development Goals:






  — | Eradicate extreme poverty and hunger, |
| --- | --- | --- |

E.

recalling existing commitments to achieve the Millennium Development Goals:

—

Eradicate extreme poverty and hunger,

| — | Achieve universal primary education, |
| --- | --- |

—

Achieve universal primary education,

| — | Promote gender equality and empower women, |
| --- | --- |

—

Promote gender equality and empower women,

| — | Reduce child mortality, |
| --- | --- |

—

Reduce child mortality,

| — | Improve maternal health, |
| --- | --- |

—

Improve maternal health,

| — | Combat HIV/AIDS, malaria and other diseases, |
| --- | --- |

—

Combat HIV/AIDS, malaria and other diseases,

| — | Ensure environmental sustainability, |
| --- | --- |

—

Ensure environmental sustainability,

| — | Develop a global partnership for development; |
| --- | --- |

—

Develop a global partnership for development;

| F. | emphasising the importance of the new commitments agreed upon at Johannesburg:






  — | to halve the proportion of people living without sanitation as a complement to the Millennium Goal of halving the number of people without access to fresh water, |
| --- | --- | --- |

F.

emphasising the importance of the new commitments agreed upon at Johannesburg:

—

to halve the proportion of people living without sanitation as a complement to the Millennium Goal of halving the number of people without access to fresh water,

| — | to promote the renewable energy sector, |
| --- | --- |

—

to promote the renewable energy sector,

| — | to establish a framework of programmes for sustainable production and consumption, |
| --- | --- |

—

to establish a framework of programmes for sustainable production and consumption,

| — | to minimise significant adverse effects of chemicals on human health and the environment, |
| --- | --- |

—

to minimise significant adverse effects of chemicals on human health and the environment,

| — | to reduce the loss of biodiversity, |
| --- | --- |

—

to reduce the loss of biodiversity,

| — | to halt fishstock depletion and to establish new protected areas; |
| --- | --- |

—

to halt fishstock depletion and to establish new protected areas;

| 1. | Reaffirms, on the first anniversary of the WSSD, the need to act urgently on the commitments made in Johannesburg, as outlined in the political declaration and the plan of implementation and considers that effective follow-up will be the best proof the EU's commitment to sustainable development; |
| --- | --- |

1.

Reaffirms, on the first anniversary of the WSSD, the need to act urgently on the commitments made in Johannesburg, as outlined in the political declaration and the plan of implementation and considers that effective follow-up will be the best proof the EU's commitment to sustainable development;

| 2. | Considers, therefore, that the EU must continue to ensure leadership in the follow-up process, involving all stakeholders in the decision-making and implementing process, and that the EU and Member States should now put in place ambitious plans of action, timetables and resources to follow up on the recommendations made; |
| --- | --- |

2.

Considers, therefore, that the EU must continue to ensure leadership in the follow-up process, involving all stakeholders in the decision-making and implementing process, and that the EU and Member States should now put in place ambitious plans of action, timetables and resources to follow up on the recommendations made;

| 3. | Notes that it is imperative that the EU promote and implement policies to fulfil the Johannesburg commitments and take new initiatives which are needed to achieve the long-term goals of sustainable development; |
| --- | --- |

3.

Notes that it is imperative that the EU promote and implement policies to fulfil the Johannesburg commitments and take new initiatives which are needed to achieve the long-term goals of sustainable development;

| 4. | Welcomes, in this context, the provisions of the draft Constitution Treaty, which require all external actions and aspects of Union policies to be consistent with the objectives of sustainable development, poverty eradication and environmental protection in developing countries; |
| --- | --- |

4.

Welcomes, in this context, the provisions of the draft Constitution Treaty, which require all external actions and aspects of Union policies to be consistent with the objectives of sustainable development, poverty eradication and environmental protection in developing countries;

EU Water Initiative

| 5. | Calls for the further development of the EU Water Initiative to take the form of support by the EU, through its own funding instruments and by other activities, for partnership projects in countries in Africa, eastern Europe, the Caucasus and Central Asia with a view to ensuring that the countries themselves are committed to implementation and that they feel ownership of the proposed activities; calls on the Commission to ensure that, in the current WTO negotiations on services (GATS), equitable access to water resources is guaranteed for the local communities; |
| --- | --- |

5.

Calls for the further development of the EU Water Initiative to take the form of support by the EU, through its own funding instruments and by other activities, for partnership projects in countries in Africa, eastern Europe, the Caucasus and Central Asia with a view to ensuring that the countries themselves are committed to implementation and that they feel ownership of the proposed activities; calls on the Commission to ensure that, in the current WTO negotiations on services (GATS), equitable access to water resources is guaranteed for the local communities;

| 6. | Takes the view that the establishment of a European Water Fund from the European Development Fund reserve is a good initiative in principle and that the fund must have as its main objective support for the water policy of the beneficiary countries, which must be based on democratic management and equitable distribution; believes that additional funding will be needed in future for the implementation of the EU Water Initiative; |
| --- | --- |

6.

Takes the view that the establishment of a European Water Fund from the European Development Fund reserve is a good initiative in principle and that the fund must have as its main objective support for the water policy of the beneficiary countries, which must be based on democratic management and equitable distribution; believes that additional funding will be needed in future for the implementation of the EU Water Initiative;

| 7. | Emphasises that the focus of the EU Water Initiative should be on the provision of clean water and sanitation and on the introduction of sustainable water management practices, taking into account integrated river basin management and transboundary cooperation; |
| --- | --- |

7.

Emphasises that the focus of the EU Water Initiative should be on the provision of clean water and sanitation and on the introduction of sustainable water management practices, taking into account integrated river basin management and transboundary cooperation;

EU Energy Initiative and Johannesburg Renewable Energy Coalition

| 8. | Takes the view that access to energy is an indispensable component of development and therefore constitutes an economic and social right; welcomes the EU Energy Initiative, but deplores the fact that no new financial resources have been allocated to address effectively the energy/poverty nexus as well as the energy/environment nexus; emphasises that the establishment of a special EU Sustainable Energy Fund — like the one considered for water — would represent a significant contribution to the solution of energy poverty; |
| --- | --- |

8.

Takes the view that access to energy is an indispensable component of development and therefore constitutes an economic and social right; welcomes the EU Energy Initiative, but deplores the fact that no new financial resources have been allocated to address effectively the energy/poverty nexus as well as the energy/environment nexus; emphasises that the establishment of a special EU Sustainable Energy Fund — like the one considered for water — would represent a significant contribution to the solution of energy poverty;

| 9. | Supports the aims of the Johannesburg Renewable Energy Coalition initiated by a coalition of likeminded countries for the promotion of renewable energies; believes that the International Conference for Renewable Energies hosted by Germany in 2004 will be a key place to discuss issues such as: removal of barriers, financial incentives for clean technologies and an assessment of the way export credit agencies work in developing countries; |
| --- | --- |

9.

Supports the aims of the Johannesburg Renewable Energy Coalition initiated by a coalition of likeminded countries for the promotion of renewable energies; believes that the International Conference for Renewable Energies hosted by Germany in 2004 will be a key place to discuss issues such as: removal of barriers, financial incentives for clean technologies and an assessment of the way export credit agencies work in developing countries;

| 10. | Calls on the Commission to make sure that the primary purpose of energy programmes, within its development portfolio, is local development, facilitated by the involvement of local actors in programme implementation and by the decentralisation of energy programmes; believes that technology should be used to improve energy efficiency, while using clean and renewable energy sources; |
| --- | --- |

10.

Calls on the Commission to make sure that the primary purpose of energy programmes, within its development portfolio, is local development, facilitated by the involvement of local actors in programme implementation and by the decentralisation of energy programmes; believes that technology should be used to improve energy efficiency, while using clean and renewable energy sources;

Global governance and link between trade and environment

| 11. | Underlines that one of the key lessons of the WSSD was the need to create a coherent and integrated system of global environmental governance, and that this should, therefore, be the priority for policy-makers in the next few years; |
| --- | --- |

11.

Underlines that one of the key lessons of the WSSD was the need to create a coherent and integrated system of global environmental governance, and that this should, therefore, be the priority for policy-makers in the next few years;

| 12. | Welcomes the European Council's commitment in Thessaloniki to establish a European diplomacy based on the environment and the principle of sustainable development as a mechanism to promote EU leadership, and believes that the first test cases of a ‘European green diplomacy’ are the Russian ratification of the Kyoto Protocol and the promotion of the precautionary principle in international trade negotiations; |
| --- | --- |

12.

Welcomes the European Council's commitment in Thessaloniki to establish a European diplomacy based on the environment and the principle of sustainable development as a mechanism to promote EU leadership, and believes that the first test cases of a ‘European green diplomacy’ are the Russian ratification of the Kyoto Protocol and the promotion of the precautionary principle in international trade negotiations;

| 13. | Stresses that the EU must bring its influence to bear to ensure that the Millennium Development Goals and the Johannesburg commitments are taken into account in its own activities, as well as in the activities of the various UN bodies; believes that, to ensure this, there is a need for a political dialogue between the EU and the UN; |
| --- | --- |

13.

Stresses that the EU must bring its influence to bear to ensure that the Millennium Development Goals and the Johannesburg commitments are taken into account in its own activities, as well as in the activities of the various UN bodies; believes that, to ensure this, there is a need for a political dialogue between the EU and the UN;

| 14. | Underlines that the EU agricultural subsidies and their effects on developing countries have become a barrier for a good working relationship between the EU and G77 countries on the international scene; a reform of the CAP, giving access to developing countries' agricultural products, is therefore needed to ensure the credibility of EU commitments on sustainable development; |
| --- | --- |

14.

Underlines that the EU agricultural subsidies and their effects on developing countries have become a barrier for a good working relationship between the EU and G77 countries on the international scene; a reform of the CAP, giving access to developing countries' agricultural products, is therefore needed to ensure the credibility of EU commitments on sustainable development;

| 15. | Recalls that the WTO is not an environmental policy-making body and looks for further clarification of the relationship between WTO rules and multilateral environment agreements to ensure that sustainable development objectives are not weakened by trade rules; |
| --- | --- |

15.

Recalls that the WTO is not an environmental policy-making body and looks for further clarification of the relationship between WTO rules and multilateral environment agreements to ensure that sustainable development objectives are not weakened by trade rules;

Sustainable production and consumption

| 16. | Recalls that one of the key commitments in Johannesburg was for the industrialised countries to develop a 10-year programme for sustainable production and consumption, which would significantly help to decouple economic growth from resource use; calls therefore on the Commission to draw up an action plan to meet these objectives, so that the EU can become the driving force behind innovations in this field; welcomes, in the context of the Sixth Environmental Action Programme, the future EU thematic strategy on ‘Sustainable use and management of resources’; |
| --- | --- |

16.

Recalls that one of the key commitments in Johannesburg was for the industrialised countries to develop a 10-year programme for sustainable production and consumption, which would significantly help to decouple economic growth from resource use; calls therefore on the Commission to draw up an action plan to meet these objectives, so that the EU can become the driving force behind innovations in this field; welcomes, in the context of the Sixth Environmental Action Programme, the future EU thematic strategy on ‘Sustainable use and management of resources’;

| 17. | Calls on the Commission, Council and Member States to promote corporate accountability and corporate social responsibility at international level by integrating such principles in external relations, development and trade policies; recommends, in particular, that these concepts be promoted among export credit and development finance agencies and other institutions involved in foreign direct investment; asks the EU to take the lead by adopting binding rules on corporate accountability; |
| --- | --- |

17.

Calls on the Commission, Council and Member States to promote corporate accountability and corporate social responsibility at international level by integrating such principles in external relations, development and trade policies; recommends, in particular, that these concepts be promoted among export credit and development finance agencies and other institutions involved in foreign direct investment; asks the EU to take the lead by adopting binding rules on corporate accountability;

Streamlining WSSD commitments

| 18. | Calls on the European Council to ensure that sustainable development becomes a major and regular aspect of forthcoming Spring Councils, by asking the Commission to prepare an annual stocktaking of the Johannesburg, Cardiff (environmental integration) and Göteborg (EU sustainable development strategies) processes in the context of its synthesis report, before the end of the year preceding the Spring Council; |
| --- | --- |

18.

Calls on the European Council to ensure that sustainable development becomes a major and regular aspect of forthcoming Spring Councils, by asking the Commission to prepare an annual stocktaking of the Johannesburg, Cardiff (environmental integration) and Göteborg (EU sustainable development strategies) processes in the context of its synthesis report, before the end of the year preceding the Spring Council;

| 19. | Recalls its commitment to examining its own internal working mechanisms, not only to ensure that there is an effective annual process within Parliament for reviewing progress with regard to the economic, social and environmental aspects of sustainable development at European Union level, but also to monitor the international agenda for sustainable development; |
| --- | --- |

19.

Recalls its commitment to examining its own internal working mechanisms, not only to ensure that there is an effective annual process within Parliament for reviewing progress with regard to the economic, social and environmental aspects of sustainable development at European Union level, but also to monitor the international agenda for sustainable development;

| 20. | Believes that monitoring of the WSSD commitments and timetables must be carried out as systematically as possible; undertakes, in this context, to do this on an annual basis — together with a broader interim assessment, evaluating the progress of global and EU activities and the need for new initiatives to be taken and support given for implementation — and to cooperate closely in this task with other interested parties, notably the Parliamentary Assembly of the Council of Europe; |
| --- | --- |

20.

Believes that monitoring of the WSSD commitments and timetables must be carried out as systematically as possible; undertakes, in this context, to do this on an annual basis — together with a broader interim assessment, evaluating the progress of global and EU activities and the need for new initiatives to be taken and support given for implementation — and to cooperate closely in this task with other interested parties, notably the Parliamentary Assembly of the Council of Europe;

*

- *

| 21. | Instructs its President to forward this resolution to the Council, the Commission, the governments and parliaments of the Member States and accession countries, the social partners and the UN. |
| --- | --- |

21.

Instructs its President to forward this resolution to the Council, the Commission, the governments and parliaments of the Member States and accession countries, the social partners and the UN.

---

(1)  P5_TA(2002)0448.

(2)  OJ C 180 E, 31.7.2003, p. 507.

(3)  OJ C 180 E, 31.7.2003, p. 517.

P5_TA(2003)0415

Activities of the European Ombudsman in 2002

European Parliament resolution on the annual report on the activities of the European Ombudsman for the year 2002 (C5-0271/2003 — 2003/2068 (INI))

The European Parliament,

| — | having regard to the Annual Report of the European Ombudsman for the year 2002 (C5-0271/2003), |
| --- | --- |

—

having regard to the Annual Report of the European Ombudsman for the year 2002 (C5-0271/2003),

| — | having regard to Article 43 of the Charter of Fundamental Rights of the European Union, |
| --- | --- |

—

having regard to Article 43 of the Charter of Fundamental Rights of the European Union,

| — | having regard to the Treaty establishing the European Community and, in particular, Articles 21 and 195 thereof, |
| --- | --- |

—

having regard to the Treaty establishing the European Community and, in particular, Articles 21 and 195 thereof,

| — | having regard to its resolution of 17 November 1993 on democracy, transparency and subsidiarity and the Interinstitutional Agreement on procedures for implementing the principle of subsidiarity; the regulations and general conditions governing the performance of the Ombudsman' s duties; the arrangements for the proceedings of the Conciliation Committee under Article 189(b) of the EC Treaty (1) and, in particular, the part thereof concerning the regulations and general conditions governing the performance of the European Ombudsman's duties, |
| --- | --- |

—

having regard to its resolution of 17 November 1993 on democracy, transparency and subsidiarity and the Interinstitutional Agreement on procedures for implementing the principle of subsidiarity; the regulations and general conditions governing the performance of the Ombudsman' s duties; the arrangements for the proceedings of the Conciliation Committee under Article 189(b) of the EC Treaty (1) and, in particular, the part thereof concerning the regulations and general conditions governing the performance of the European Ombudsman's duties,

| — | having regard to its decision 9 March 1994 on the regulations and general conditions governing the performance of the European Ombudsman's duties (2) and, in particular, Article 3(8) thereof, |
| --- | --- |

—

having regard to its decision 9 March 1994 on the regulations and general conditions governing the performance of the European Ombudsman's duties (2) and, in particular, Article 3(8) thereof,

| — | having regard to its resolution of 14 July 1995 on the role of the European Ombudsman appointed to the European Parliament  (3), |
| --- | --- |

—

having regard to its resolution of 14 July 1995 on the role of the European Ombudsman appointed to the European Parliament  (3),

| — | having regard to Rule 47(1) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 47(1) of its Rules of Procedure,

| — | having regard to the report of the Committee on Petitions (A5-0229/2003), |
| --- | --- |

—

having regard to the report of the Committee on Petitions (A5-0229/2003),

| A. | whereas the Charter of Fundamental Rights was solemnly proclaimed in Nice on 7 December 2000 by the Presidents of the European Parliament, Council and Commission, |
| --- | --- |

A.

whereas the Charter of Fundamental Rights was solemnly proclaimed in Nice on 7 December 2000 by the Presidents of the European Parliament, Council and Commission,

| B. | whereas Article 41 (Right to good administration), Chapter V (Citizens' Rights) of the Charter stipulates that ‘every person has the right to have his or her affairs handled impartially, fairly and within a reasonable time by the institutions and bodies of the Union’, |
| --- | --- |

B.

whereas Article 41 (Right to good administration), Chapter V (Citizens' Rights) of the Charter stipulates that ‘every person has the right to have his or her affairs handled impartially, fairly and within a reasonable time by the institutions and bodies of the Union’,

| C. | whereas Article 42 (Right of access to documents) of the Charter stipulates that ‘every citizen of the Union and every natural and legal person residing or having its registered office in a Member State has a right of access to European Parliament, Council and Commission documents’, |
| --- | --- |

C.

whereas Article 42 (Right of access to documents) of the Charter stipulates that ‘every citizen of the Union and every natural and legal person residing or having its registered office in a Member State has a right of access to European Parliament, Council and Commission documents’,

| D. | whereas Article 43 (Ombudsman) of the Charter stipulates that ‘Any citizen of the Union and any natural or legal person residing or having its registered office in a Member State has the right to refer to the Ombudsman of the Union cases of maladministration in the activities of the Community institutions or bodies, with the exception of the Court of Justice and the Court of First Instance acting in their judicial role’, |
| --- | --- |

D.

whereas Article 43 (Ombudsman) of the Charter stipulates that ‘Any citizen of the Union and any natural or legal person residing or having its registered office in a Member State has the right to refer to the Ombudsman of the Union cases of maladministration in the activities of the Community institutions or bodies, with the exception of the Court of Justice and the Court of First Instance acting in their judicial role’,

| E. | whereas the Ombudsman's Annual Report was formally presented to the President of the European Parliament on 10 February 2003 and the Ombudsman, Mr Jacob Söderman, presented the report to the Committee on Petitions on 24 March 2003; whereas the Ombudsman addressed, in his speech, several areas in which the existing cooperation between the Ombudsman's office and the Committee on Petitions and its secretariat could be further developed, including the preliminary examination of the admissibility of petitions when these allege a violation of Community law, |
| --- | --- |

E.

whereas the Ombudsman's Annual Report was formally presented to the President of the European Parliament on 10 February 2003 and the Ombudsman, Mr Jacob Söderman, presented the report to the Committee on Petitions on 24 March 2003; whereas the Ombudsman addressed, in his speech, several areas in which the existing cooperation between the Ombudsman's office and the Committee on Petitions and its secretariat could be further developed, including the preliminary examination of the admissibility of petitions when these allege a violation of Community law,

| F. | whereas the Annual Report, as in earlier years, shows the efforts by the Ombudsman to continue developing the network of national and regional Ombudsmen, with a particular emphasis on helping the offices in the applicant countries; whereas the Ombudsman, when presenting his report to the Committee on Petitions, brought up the possibility for joint activities with the Committee on Petitions regarding networking with national and regional Ombudsmen and Committees on Petitions, |
| --- | --- |

F.

whereas the Annual Report, as in earlier years, shows the efforts by the Ombudsman to continue developing the network of national and regional Ombudsmen, with a particular emphasis on helping the offices in the applicant countries; whereas the Ombudsman, when presenting his report to the Committee on Petitions, brought up the possibility for joint activities with the Committee on Petitions regarding networking with national and regional Ombudsmen and Committees on Petitions,

| G. | whereas the statistics submitted by the European Ombudsman highlight the success achieved by his office in making all those who are in contact with the European Union administration increasingly aware of their right to make complaints to the Ombudsman; whereas there has been a steady increase in the number of complaints addressed to the Ombudsman, |
| --- | --- |

G.

whereas the statistics submitted by the European Ombudsman highlight the success achieved by his office in making all those who are in contact with the European Union administration increasingly aware of their right to make complaints to the Ombudsman; whereas there has been a steady increase in the number of complaints addressed to the Ombudsman,

| H. | whereas the results of a survey commissioned by DG Justice and Home Affairs of the Commission between 30 September 2002 and 2 October 2002 show that the second most familiar right conferred by Union citizenship is the right to complain to the European Ombudsman, |
| --- | --- |

H.

whereas the results of a survey commissioned by DG Justice and Home Affairs of the Commission between 30 September 2002 and 2 October 2002 show that the second most familiar right conferred by Union citizenship is the right to complain to the European Ombudsman,

| I. | whereas the aforementioned statistics also show a considerable decrease of both the time necessary for the Ombudsman to complete an inquiry and the number of inquiries remaining open for over a year, |
| --- | --- |

I.

whereas the aforementioned statistics also show a considerable decrease of both the time necessary for the Ombudsman to complete an inquiry and the number of inquiries remaining open for over a year,

| J. | whereas the Annual Report shows the cases where no maladministration was found, where European authorities have complied with the Ombudsman's recommendations once they have been made aware of the complaint and the problem concerned or a friendly solution has been achieved, but also the number of complaints that the Ombudsman has had to close with a critical remark, |
| --- | --- |

J.

whereas the Annual Report shows the cases where no maladministration was found, where European authorities have complied with the Ombudsman's recommendations once they have been made aware of the complaint and the problem concerned or a friendly solution has been achieved, but also the number of complaints that the Ombudsman has had to close with a critical remark,

| K. | whereas the Ombudsman submitted two Special Reports to the European Parliament during the year 2002, whereas Parliament last year adopted resolutions on two Special Reports from previous years, |
| --- | --- |

K.

whereas the Ombudsman submitted two Special Reports to the European Parliament during the year 2002, whereas Parliament last year adopted resolutions on two Special Reports from previous years,

| L. | whereas in its resolution of 6 September 2001 (4) the European Parliament unanimously adopted the European Union Code of Good Administrative Behaviour, recommended in a Special Report by the Ombudsman in April 2000; whereas Parliament called on the Commission to submit a legislative proposal on the basis of Article 308 of the EC Treaty in order to bring the code into force as a common administrative law for all EU institutions and bodies; whereas the Commission has not yet presented such a proposal, |
| --- | --- |

L.

whereas in its resolution of 6 September 2001 (4) the European Parliament unanimously adopted the European Union Code of Good Administrative Behaviour, recommended in a Special Report by the Ombudsman in April 2000; whereas Parliament called on the Commission to submit a legislative proposal on the basis of Article 308 of the EC Treaty in order to bring the code into force as a common administrative law for all EU institutions and bodies; whereas the Commission has not yet presented such a proposal,

| M. | whereas the Ombudsman has declared in his annual report for the year 2001, that he will apply the principles of the code in his activities, as called for by the European Parliament in its resolution of 6 September 2001 on the annual report on the activities of the European Ombudsman for the year 2000 (5), |
| --- | --- |

M.

whereas the Ombudsman has declared in his annual report for the year 2001, that he will apply the principles of the code in his activities, as called for by the European Parliament in its resolution of 6 September 2001 on the annual report on the activities of the European Ombudsman for the year 2000 (5),

| N. | whereas the number of complaints to the Ombudsman where citizens have had justified reasons to seek remedy to the lack of openness and transparency in the functioning of the European institutions and administration is a matter of continuous concern in respect of the democratic legitimacy and accountability of the Union, |
| --- | --- |

N.

whereas the number of complaints to the Ombudsman where citizens have had justified reasons to seek remedy to the lack of openness and transparency in the functioning of the European institutions and administration is a matter of continuous concern in respect of the democratic legitimacy and accountability of the Union,

| O. | whereas the European Parliament in its resolution of 14 March 2002 on the implementation of Regulation (EC) No 1049/2001 on public access to European Parliament, Council and Commission documents (6), supports the opinion of the Ombudsman that the Commission's policy to withhold the investigation of violations of Community law by Member States and the infringement procedure under Article 226 EC from public scrutiny works to the detriment of the effectiveness of Community law, |
| --- | --- |

O.

whereas the European Parliament in its resolution of 14 March 2002 on the implementation of Regulation (EC) No 1049/2001 on public access to European Parliament, Council and Commission documents (6), supports the opinion of the Ombudsman that the Commission's policy to withhold the investigation of violations of Community law by Member States and the infringement procedure under Article 226 EC from public scrutiny works to the detriment of the effectiveness of Community law,

| P. | whereas in December 1999, the European Parliament received a request from the European Ombudsman aimed at amending the provisions concerning the Ombudsman's access to documents and the hearing of witnesses; whereas Parliament expressed its support for the Ombudsman's proposals in a resolution of 6 September 2001 amending Article 3 of the Regulations and general conditions governing the performance of the Ombudsman's duties (7); whereas the Commission presented its Opinion on amendments to the regulations and general conditions governing the performance of the Ombudsman's duties on 6 March 2002, |
| --- | --- |

P.

whereas in December 1999, the European Parliament received a request from the European Ombudsman aimed at amending the provisions concerning the Ombudsman's access to documents and the hearing of witnesses; whereas Parliament expressed its support for the Ombudsman's proposals in a resolution of 6 September 2001 amending Article 3 of the Regulations and general conditions governing the performance of the Ombudsman's duties (7); whereas the Commission presented its Opinion on amendments to the regulations and general conditions governing the performance of the Ombudsman's duties on 6 March 2002,

| Q. | whereas the Ombudsman, replying to the Commission's opinion on 27 June 2002, regretted the negative views on the proposal suggested in a letter dated 17 December 2002 to the President of the European Parliament that, due to the length of time this topic has been under discussion and the important legal developments that have taken place in the EU, that the European Parliament withdraw the amendments submitted for Council's approval under Article 195 of EC Treaty, and that the services of the Ombudsman and the European Parliament jointly examine the question of the revision of the Ombudsman's Statute when a new European Ombudsman has taken office on 1 April 2003, |
| --- | --- |

Q.

whereas the Ombudsman, replying to the Commission's opinion on 27 June 2002, regretted the negative views on the proposal suggested in a letter dated 17 December 2002 to the President of the European Parliament that, due to the length of time this topic has been under discussion and the important legal developments that have taken place in the EU, that the European Parliament withdraw the amendments submitted for Council's approval under Article 195 of EC Treaty, and that the services of the Ombudsman and the European Parliament jointly examine the question of the revision of the Ombudsman's Statute when a new European Ombudsman has taken office on 1 April 2003,

| R. | whereas the European Ombudsman, Jacob Söderman, was awarded the rank of Chevalier in the Legion of Honour by French President Jacques Chirac on 31 December 2001, presented to the Ombudsman by Mrs Noelle Lenoir, French Minister for European Affairs on 3 September 2002, |
| --- | --- |

R.

whereas the European Ombudsman, Jacob Söderman, was awarded the rank of Chevalier in the Legion of Honour by French President Jacques Chirac on 31 December 2001, presented to the Ombudsman by Mrs Noelle Lenoir, French Minister for European Affairs on 3 September 2002,

| 1. | Endorses the Annual Report for 2002 submitted by the Ombudsman, which is comprehensive and detailed in its overview of the activities conducted during the year and, in particular, of the various cases processed; |
| --- | --- |

1.

Endorses the Annual Report for 2002 submitted by the Ombudsman, which is comprehensive and detailed in its overview of the activities conducted during the year and, in particular, of the various cases processed;

| 2. | Considers the role of the Ombudsman in enhancing openness and democratic accountability in the decision-making and administration of the European Union as an essential contribution towards a Union in which decisions truly are taken ‘as openly as possible and as closely as possible to the citizen’, as provided in Article 1(2) of the EU Treaty; takes the view that the first European Ombudsman has established good practices in the exercise of his office, which form a solid base for further developing the role of the Ombudsman in the service of European citizens; |
| --- | --- |

2.

Considers the role of the Ombudsman in enhancing openness and democratic accountability in the decision-making and administration of the European Union as an essential contribution towards a Union in which decisions truly are taken ‘as openly as possible and as closely as possible to the citizen’, as provided in Article 1(2) of the EU Treaty; takes the view that the first European Ombudsman has established good practices in the exercise of his office, which form a solid base for further developing the role of the Ombudsman in the service of European citizens;

| 3. | Congratulates the first Ombudsman, Jacob Söderman, on the completion of a successful and challeging term of office on 31 March 2003, in which he has fully consolidated the foundations of the institution; |
| --- | --- |

3.

Congratulates the first Ombudsman, Jacob Söderman, on the completion of a successful and challeging term of office on 31 March 2003, in which he has fully consolidated the foundations of the institution;

| 4. | Commends the efforts and activities of the Ombudsman, including the continuous updating of his website, with a view to making his role known to an ever wider public and to establishing networks of links with regional ombudsmen, in both the Member States and the applicant countries; welcomes the offer by the Ombudsman to develop common activities with the Committee on Petitions in respect to reinforcing the contacts and exchange of experience with national and regional Ombudsmen and Committees on Petitions; recognises the effort made by the Ombudsman during his time in office to develop the office of Ombudsman in those countries wishing to join the Union; considers it essential to continue to strengthen the network of national and regional Ombudsmen in the applicant countries, including by means of conferences and seminars to be attended by both Member State and applicant representatives; |
| --- | --- |

4.

Commends the efforts and activities of the Ombudsman, including the continuous updating of his website, with a view to making his role known to an ever wider public and to establishing networks of links with regional ombudsmen, in both the Member States and the applicant countries; welcomes the offer by the Ombudsman to develop common activities with the Committee on Petitions in respect to reinforcing the contacts and exchange of experience with national and regional Ombudsmen and Committees on Petitions; recognises the effort made by the Ombudsman during his time in office to develop the office of Ombudsman in those countries wishing to join the Union; considers it essential to continue to strengthen the network of national and regional Ombudsmen in the applicant countries, including by means of conferences and seminars to be attended by both Member State and applicant representatives;

| 5. | Commends the success of the Ombudsman over the past year in reducing further the time needed for processing complaints; encourages the Ombudsman to continue to gradually reduce the time needed to respond to citizens' complaints, where this depends on the Ombudsman's office; calls on all institutions and bodies to facilitate, on their part, rapid replies to citizens when the Ombudsman has been called upon to investigate an alleged instance of maladministration in their activities; |
| --- | --- |

5.

Commends the success of the Ombudsman over the past year in reducing further the time needed for processing complaints; encourages the Ombudsman to continue to gradually reduce the time needed to respond to citizens' complaints, where this depends on the Ombudsman's office; calls on all institutions and bodies to facilitate, on their part, rapid replies to citizens when the Ombudsman has been called upon to investigate an alleged instance of maladministration in their activities;

| 6. | Notes that the majority of inquiries conducted by the Ombudsman, as in previous years, have concerned the Commission; |
| --- | --- |

6.

Notes that the majority of inquiries conducted by the Ombudsman, as in previous years, have concerned the Commission;

| 7. | Notes with satisfaction that in many cases European authorities have taken action to settle a complaint once they are made aware of the problem concerned and that in other cases a friendly solution has been achieved; continues to urge the relevant Community authorities to comply with the Ombudsman's draft recommendations to remedy cases of maladministration following an inquiry and to follow up the Ombudsman's further critical remarks in order to prevent similar cases of maladministration arising in the future; |
| --- | --- |

7.

Notes with satisfaction that in many cases European authorities have taken action to settle a complaint once they are made aware of the problem concerned and that in other cases a friendly solution has been achieved; continues to urge the relevant Community authorities to comply with the Ombudsman's draft recommendations to remedy cases of maladministration following an inquiry and to follow up the Ombudsman's further critical remarks in order to prevent similar cases of maladministration arising in the future;

| 8. | Congratulates the Ombudsman on the two Special Reports to the European Parliament; |
| --- | --- |

8.

Congratulates the Ombudsman on the two Special Reports to the European Parliament;

| 9. | Considers that, in examining cases of maladministration and in enforcing citizens' rights to good administration, pursuant to Article 41 of the Charter of Fundamental Rights of the European Union, the principles enshrined in the European Union Code of Good Administrative Behaviour should always be applied, and regrets the failure by the Commission and other istitutions so far to adopt and apply the Code of Good Administrative Behaviour as approved by Parliament; |
| --- | --- |

9.

Considers that, in examining cases of maladministration and in enforcing citizens' rights to good administration, pursuant to Article 41 of the Charter of Fundamental Rights of the European Union, the principles enshrined in the European Union Code of Good Administrative Behaviour should always be applied, and regrets the failure by the Commission and other istitutions so far to adopt and apply the Code of Good Administrative Behaviour as approved by Parliament;

| 10. | Reminds the Commission that Parliament has called for a proposal for a general legal act on administrative procedure on the basis of Article 308 of the EC Treaty, which would be binding on all EU institutions and bodies; undertakes, in the absence of such a proposal, to make use of its right under Article 192(2) to take a legislative initiative pursuant to Rule 59 of Parliament's Rules of Procedure based on the Code of Good Administrative Behaviour; |
| --- | --- |

10.

Reminds the Commission that Parliament has called for a proposal for a general legal act on administrative procedure on the basis of Article 308 of the EC Treaty, which would be binding on all EU institutions and bodies; undertakes, in the absence of such a proposal, to make use of its right under Article 192(2) to take a legislative initiative pursuant to Rule 59 of Parliament's Rules of Procedure based on the Code of Good Administrative Behaviour;

| 11. | Calls on all EU institutions and bodies to implement Regulation (EC) No1049/2001 in the spirit of recognising that access to documents held by the European institutions is a fundamental right pursuant to Article 42 of the Charter of Fundamental Rights and with the sincere objective to take decisions ‘as openly as possible and as closely as possible to the citizen’, as required by Article 1(2) of the Treaty on the European Union; |
| --- | --- |

11.

Calls on all EU institutions and bodies to implement Regulation (EC) No1049/2001 in the spirit of recognising that access to documents held by the European institutions is a fundamental right pursuant to Article 42 of the Charter of Fundamental Rights and with the sincere objective to take decisions ‘as openly as possible and as closely as possible to the citizen’, as required by Article 1(2) of the Treaty on the European Union;

| 12. | Reconfirms, once again, its position that data protection rules are primarily concerned with the protection of private and family life, in accordance with the case law on the relationship between Article 8 of the European Convention on Human Rights and the Council of Europe's Data Protection Convention: emphasises that it is not the purpose of data protection to restrict the information available to citizens in relation to public activities; |
| --- | --- |

12.

Reconfirms, once again, its position that data protection rules are primarily concerned with the protection of private and family life, in accordance with the case law on the relationship between Article 8 of the European Convention on Human Rights and the Council of Europe's Data Protection Convention: emphasises that it is not the purpose of data protection to restrict the information available to citizens in relation to public activities;

| 13. | Reiterates the demand made in its resolution of 11 December 2001 on the Special Report to the European Parliament following the draft recommendation to the European Commission in complaint 713/98/IJH (8) that the Commission should inform the complainant in the said complaint of the names of the delegates of the ‘Confederation des brasseurs du marché commun’ who attended a meeting organised by the Commission on 11 October 1996 and the names of companies and persons in the 14 categories identified in the complainant's original request for access to documents who made submissions to the Commission under file reference P/93/4490/UK; |
| --- | --- |

13.

Reiterates the demand made in its resolution of 11 December 2001 on the Special Report to the European Parliament following the draft recommendation to the European Commission in complaint 713/98/IJH (8) that the Commission should inform the complainant in the said complaint of the names of the delegates of the ‘Confederation des brasseurs du marché commun’ who attended a meeting organised by the Commission on 11 October 1996 and the names of companies and persons in the 14 categories identified in the complainant's original request for access to documents who made submissions to the Commission under file reference P/93/4490/UK;

| 14. | Welcomes the Communication from the Commission on relations with the complainant in respect of infringements of Community law (9) as an improvement in the administration of the infringement procedure; notes, nevertheless, that the Communication does not address, in substance, the questions of individual redress, nor of access to documents; reiterates, therefore, its call on the Commission to reconsider, when applying Regulation (EC) No 1049/2001, its interpretation of the ‘purpose of the infringement procedure’; |
| --- | --- |

14.

Welcomes the Communication from the Commission on relations with the complainant in respect of infringements of Community law (9) as an improvement in the administration of the infringement procedure; notes, nevertheless, that the Communication does not address, in substance, the questions of individual redress, nor of access to documents; reiterates, therefore, its call on the Commission to reconsider, when applying Regulation (EC) No 1049/2001, its interpretation of the ‘purpose of the infringement procedure’;

| 15. | Welcomes the contribution by the Ombudsman to the Convention on the Future of Europe, including his address and replies to the plenary of 24 and 25 June 2002, his evidence to working group II under the chairmanship of Commissioner Antonio Vitorino on 4 October 2002, his submission of a draft of new or amended Treaty provisions (CONV 221/02) on 26 July 2002, and his remarks to the Convention on 8 November 2002 commenting on the preliminary draft Constitutional Treaty; |
| --- | --- |

15.

Welcomes the contribution by the Ombudsman to the Convention on the Future of Europe, including his address and replies to the plenary of 24 and 25 June 2002, his evidence to working group II under the chairmanship of Commissioner Antonio Vitorino on 4 October 2002, his submission of a draft of new or amended Treaty provisions (CONV 221/02) on 26 July 2002, and his remarks to the Convention on 8 November 2002 commenting on the preliminary draft Constitutional Treaty;

| 16. | Calls on the Commission to reconsider its position on the proposed amendments to Article 3(2) of the Ombudsman's Statute, in particular regarding Member States' and third parties' right to deny the Ombudsman and Parliament access to information and in relation to the restrictions supported by the Commission in respect to the right and duty of officials and other servants to give truthful testimony to the Ombudsman in the course of his inquiries; |
| --- | --- |

16.

Calls on the Commission to reconsider its position on the proposed amendments to Article 3(2) of the Ombudsman's Statute, in particular regarding Member States' and third parties' right to deny the Ombudsman and Parliament access to information and in relation to the restrictions supported by the Commission in respect to the right and duty of officials and other servants to give truthful testimony to the Ombudsman in the course of his inquiries;

| 17. | Considers that it would be appropriate to reinforce the necessary cooperation between the Committee responsible and the Ombudsman, with due regard for their respective powers, and undertakes to initiate a review, without delay and at the most appropriate level, of Parliament's Rules of Procedure and the Ombudsman's Statute in order to be able to make any changes therein which may be needed by the end of the present legislature; |
| --- | --- |

17.

Considers that it would be appropriate to reinforce the necessary cooperation between the Committee responsible and the Ombudsman, with due regard for their respective powers, and undertakes to initiate a review, without delay and at the most appropriate level, of Parliament's Rules of Procedure and the Ombudsman's Statute in order to be able to make any changes therein which may be needed by the end of the present legislature;

| 18. | Instructs its President to forward this resolution and the report by the Committee on Petitions to the Commission, the Council, the European Ombudsman, the governments and parliaments of the Member States and to the ombudsmen or equivalent bodies in the Member States. |
| --- | --- |

18.

Instructs its President to forward this resolution and the report by the Committee on Petitions to the Commission, the Council, the European Ombudsman, the governments and parliaments of the Member States and to the ombudsmen or equivalent bodies in the Member States.

---

(1)  OJ C 329, 6.12.1993, p. 132.

(2)  OJ L 113, 4.5.1994, p. 15.

(3)  OJ C 249, 25.9.1995, p. 226.

(4)  OJ C 72 E, 21.3.2002, p. 331.

(5)  OJ C 72 E, 21.3.2002, p. 329.

(6)  OJ C 47 E, 27.2.2003, p. 483.

(7)  OJ C 72 E, 21.3.2002, p. 336.

(8)  OJ C 177 E, 25.7.2002, p. 61.

(9)  OJ C 244, 10.10.2002, p. 5.

P5_TA(2003)0416

Deliberations of the Committee on Petitions 2002-2003

European Parliament resolution on the deliberations of the Committee on Petitions during the parliamentary year 2002-2003 (2003/2069(INI))

The European Parliament,

| — | having regard to its previous resolutions on petitions, |
| --- | --- |

—

having regard to its previous resolutions on petitions,

| — | having regard to the annual report (2002-2003) of the European Ombudsman (C5-0271/2003), |
| --- | --- |

—

having regard to the annual report (2002-2003) of the European Ombudsman (C5-0271/2003),

| — | having regard to the Interinstitutional Agreement of 12 April 1989 on strengthening the right of petition (1), |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 12 April 1989 on strengthening the right of petition (1),

| — | having regard to Articles 21 and 194 of the EC Treaty, |
| --- | --- |

—

having regard to Articles 21 and 194 of the EC Treaty,

| — | having regard to Rules 47(1) and 175(6) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 47(1) and 175(6) of its Rules of Procedure,

| — | having regard to the report of the Committee on Petitions (A5-0239/2003), |
| --- | --- |

—

having regard to the report of the Committee on Petitions (A5-0239/2003),

| A. | whereas the right to petition is a fundamental right inextricably linked with European Union citizenship, as set out ten years ago in the Treaty on European Union as well as in Article 8 of the draft constitution drawn up by the European Convention, |
| --- | --- |

A.

whereas the right to petition is a fundamental right inextricably linked with European Union citizenship, as set out ten years ago in the Treaty on European Union as well as in Article 8 of the draft constitution drawn up by the European Convention,

| B. | whereas the right of petition and address complaints to the Ombudsman are the only means available to European citizens for exercising what are accordingly termed their ‘direct’ democratic rights, in the absence of a referendum and laws enacted by popular initiative in the context of European Union constitutional law, |
| --- | --- |

B.

whereas the right of petition and address complaints to the Ombudsman are the only means available to European citizens for exercising what are accordingly termed their ‘direct’ democratic rights, in the absence of a referendum and laws enacted by popular initiative in the context of European Union constitutional law,

| C. | given the increase for the third consecutive period in the formal number of petitions; whereas the new parliamentary year occupies a pivotal position between two electoral terms, of which the next will coincide with the achievement of finally enlarged European citizenship, |
| --- | --- |

C.

given the increase for the third consecutive period in the formal number of petitions; whereas the new parliamentary year occupies a pivotal position between two electoral terms, of which the next will coincide with the achievement of finally enlarged European citizenship,

| D. | whereas it has always made use of petitions as a means of securing a privileged observatory from which to exercise its political monitoring powers, particularly regarding serious infringements of Community law, while at the same time giving citizens a chance to express their day-to-day expectations or fears regarding Europe, |
| --- | --- |

D.

whereas it has always made use of petitions as a means of securing a privileged observatory from which to exercise its political monitoring powers, particularly regarding serious infringements of Community law, while at the same time giving citizens a chance to express their day-to-day expectations or fears regarding Europe,

| E. | whereas greater synergy and transparency in relations between the European institutions, in particular the European Ombudsman, the specialised agencies, the Member State administrations, including petitions committees and ombudsmen now established within national and regional parliaments, are essential to provide European citizens with the necessary assistance in the legitimate exercise of their rights, |
| --- | --- |

E.

whereas greater synergy and transparency in relations between the European institutions, in particular the European Ombudsman, the specialised agencies, the Member State administrations, including petitions committees and ombudsmen now established within national and regional parliaments, are essential to provide European citizens with the necessary assistance in the legitimate exercise of their rights,

| 1. | Recalls that exercise of the right of petition embodied in the Treaties provides a very comprehensive and consistent set of indicators for gauging public interest in Europe and, at the same time, helps to stimulate, through calls for action or even simple expressions of interest, a direct and open dialogue with European Parliament representatives; |
| --- | --- |

1.

Recalls that exercise of the right of petition embodied in the Treaties provides a very comprehensive and consistent set of indicators for gauging public interest in Europe and, at the same time, helps to stimulate, through calls for action or even simple expressions of interest, a direct and open dialogue with European Parliament representatives;

| 2. | Calls for measures to ensure that on the basis of petitions forwarded by citizens to the relevant committee, the European Union is able to assess the way in which Community legislation is being implemented at national and European level; |
| --- | --- |

2.

Calls for measures to ensure that on the basis of petitions forwarded by citizens to the relevant committee, the European Union is able to assess the way in which Community legislation is being implemented at national and European level;

| 3. | Stresses that, through petitions, it is able to assess and, if necessary, publicly reveal loopholes in European legislation or infringements by the Member States; |
| --- | --- |

3.

Stresses that, through petitions, it is able to assess and, if necessary, publicly reveal loopholes in European legislation or infringements by the Member States;

| 4. | Calls for the annual debate and vote in plenary on the work of the relevant committee and on the annual report by the European Ombudsman to encompass also the Commission's annual report on the implementation of Community law; |
| --- | --- |

4.

Calls for the annual debate and vote in plenary on the work of the relevant committee and on the annual report by the European Ombudsman to encompass also the Commission's annual report on the implementation of Community law;

| 5. | Recalls that the 2002 initiative to send delegations to various Member States or regions of the Union to investigate on the spot, listen to the views of the communities concerned and arouse greater awareness on the part of the competent authorities, helped to resolve problems rapidly and proved to be of benefit to the petitioners; |
| --- | --- |

5.

Recalls that the 2002 initiative to send delegations to various Member States or regions of the Union to investigate on the spot, listen to the views of the communities concerned and arouse greater awareness on the part of the competent authorities, helped to resolve problems rapidly and proved to be of benefit to the petitioners;

| 6. | Envisages also regular recourse by the European Parliament to non-legislative resolutions under Rule 175 of its Rules of Procedure, for example regarding the petition submitted by the Reverend Owen (2) and on petitions submitted by several Lloyd's of London Names (3) thereby reflecting the European Parliament's role in monitoring the implementation of Community law in the Member States; |
| --- | --- |

6.

Envisages also regular recourse by the European Parliament to non-legislative resolutions under Rule 175 of its Rules of Procedure, for example regarding the petition submitted by the Reverend Owen (2) and on petitions submitted by several Lloyd's of London Names (3) thereby reflecting the European Parliament's role in monitoring the implementation of Community law in the Member States;

| 7. | Notes that the success achieved through petitions regarding the effect of Europe on the life of individual citizens makes it essential to consider carefully the best way of improving the effectiveness and transparency of all procedures for the examination and processing of petitions received; |
| --- | --- |

7.

Notes that the success achieved through petitions regarding the effect of Europe on the life of individual citizens makes it essential to consider carefully the best way of improving the effectiveness and transparency of all procedures for the examination and processing of petitions received;

| 8. | To this end, calls for more flexible and rapid procedures adapted to the substance of replies to petitioners, so as to make them swifter and more effective, even at the expense of other factors such as multilingualism; |
| --- | --- |

8.

To this end, calls for more flexible and rapid procedures adapted to the substance of replies to petitioners, so as to make them swifter and more effective, even at the expense of other factors such as multilingualism;

| 9. | Stresses the need to strengthen the secretariat of the relevant committee as a matter of urgency so as to reply to petitions from citizens of the new Member States, given that efficiency and transparency are of the essence; |
| --- | --- |

9.

Stresses the need to strengthen the secretariat of the relevant committee as a matter of urgency so as to reply to petitions from citizens of the new Member States, given that efficiency and transparency are of the essence;

| 10. | Indicates that in the immediate term enlargement of the Union to encompass ten new Member States necessitates quantitative development in the work of the Committee on Petitions so as to meet the new legal, political and linguistic requirements; |
| --- | --- |

10.

Indicates that in the immediate term enlargement of the Union to encompass ten new Member States necessitates quantitative development in the work of the Committee on Petitions so as to meet the new legal, political and linguistic requirements;

| 11. | Stresses the need to lay down new rules for the treatment of petitions so as to establish clear areas of responsibility with regard to other Community institutions (Commission and Council) and the national authorities, as indicated in the working document submitted by this committee to the President of the European Convention (4); |
| --- | --- |

11.

Stresses the need to lay down new rules for the treatment of petitions so as to establish clear areas of responsibility with regard to other Community institutions (Commission and Council) and the national authorities, as indicated in the working document submitted by this committee to the President of the European Convention (4);

| 12. | Stresses that, with the redefinition of the right of petition under the new Constitution common rules of conduct for all Community institutions and Member States must be established along the lines of the Code of Good Administrative Conduct drawn up by the European Ombudsman and endorsed by the European Parliament (5); |
| --- | --- |

12.

Stresses that, with the redefinition of the right of petition under the new Constitution common rules of conduct for all Community institutions and Member States must be established along the lines of the Code of Good Administrative Conduct drawn up by the European Ombudsman and endorsed by the European Parliament (5);

| 13. | Proposes that the future constitutional Treaty make provision for significant groups of citizens to promote reforms of Community legislation on the basis of well-founded arguments verified during consideration of their petitions by this committee; |
| --- | --- |

13.

Proposes that the future constitutional Treaty make provision for significant groups of citizens to promote reforms of Community legislation on the basis of well-founded arguments verified during consideration of their petitions by this committee;

| 14. | Recalls its repeated requests to the Council and Commission to review the abovementioned Interinstitutional Agreement of 1989 and complaints forwarded to the Community institutions, so as to shorten the deadlines for processing petitions and reply to petitions as specifically as possible, laying down a clear, coherent and binding framework to facilitate cooperation between all Community institutions and national authorities with the European Parliament; |
| --- | --- |

14.

Recalls its repeated requests to the Council and Commission to review the abovementioned Interinstitutional Agreement of 1989 and complaints forwarded to the Community institutions, so as to shorten the deadlines for processing petitions and reply to petitions as specifically as possible, laying down a clear, coherent and binding framework to facilitate cooperation between all Community institutions and national authorities with the European Parliament;

| 15. | Asks the Commission to pursue its efforts — which have already produced appreciable results — to rationalise and accelerate internal procedures in response to requests for information concerning petitions; |
| --- | --- |

15.

Asks the Commission to pursue its efforts — which have already produced appreciable results — to rationalise and accelerate internal procedures in response to requests for information concerning petitions;

| 16. | To this end, calls for a more rapid response regarding matters clearly outside the remit of the Union or, on the contrary, where infringement proceedings against a Member State have already been commenced; calls for the separate and specific treatment of petitions ruled admissible over three years previously; |
| --- | --- |

16.

To this end, calls for a more rapid response regarding matters clearly outside the remit of the Union or, on the contrary, where infringement proceedings against a Member State have already been commenced; calls for the separate and specific treatment of petitions ruled admissible over three years previously;

| 17. | Asks the relevant Commission services to provide promptly, independently of the annual report on the monitoring of Community law, information and/or replies which are indispensable to enable the committee to complete all legal proceedings initiated under Articles 226 and 228 of the Treaty and concerning the processing of petitions; |
| --- | --- |

17.

Asks the relevant Commission services to provide promptly, independently of the annual report on the monitoring of Community law, information and/or replies which are indispensable to enable the committee to complete all legal proceedings initiated under Articles 226 and 228 of the Treaty and concerning the processing of petitions;

| 18. | Supports the creation of the Solvit system as an informal means of assisting individuals and companies to resolve problems concerning the internal market and urges Member States to step up this integrated cooperation scheme to make Solvit operational on a large scale; |
| --- | --- |

18.

Supports the creation of the Solvit system as an informal means of assisting individuals and companies to resolve problems concerning the internal market and urges Member States to step up this integrated cooperation scheme to make Solvit operational on a large scale;

| 19. | Asks the Commission to take action at the most appropriate level to promote the legislative initiatives essential to fill Community the legal loop-holes clearly revealed during consideration of certain petitions or groups of petitions; |
| --- | --- |

19.

Asks the Commission to take action at the most appropriate level to promote the legislative initiatives essential to fill Community the legal loop-holes clearly revealed during consideration of certain petitions or groups of petitions;

| 20. | Expresses concern at the Council's great reluctance to cooperate with the relevant Committee and its persistent failure to send representatives to working meetings of the committee where the problems raised by the petition are being aggravated by the lack of information or explanation by the Member State authorities, thereby causing delays and undermining the committee's decision-making effectiveness; |
| --- | --- |

20.

Expresses concern at the Council's great reluctance to cooperate with the relevant Committee and its persistent failure to send representatives to working meetings of the committee where the problems raised by the petition are being aggravated by the lack of information or explanation by the Member State authorities, thereby causing delays and undermining the committee's decision-making effectiveness;

| 21. | Welcomes nevertheless the commitment by the Council Presidency in the draft interinstitutional agreement of 3 June 2003 on better law-making to ensure the presence of Council at an appropriate level in the committees of the European Parliament; |
| --- | --- |

21.

Welcomes nevertheless the commitment by the Council Presidency in the draft interinstitutional agreement of 3 June 2003 on better law-making to ensure the presence of Council at an appropriate level in the committees of the European Parliament;

| 22. | Considers it necessary to strengthen cooperation with the European Ombudsman and, to this end, calls for the introduction of the necessary amendments to its Rules of Procedure and the Statute of the European Ombudsman; |
| --- | --- |

22.

Considers it necessary to strengthen cooperation with the European Ombudsman and, to this end, calls for the introduction of the necessary amendments to its Rules of Procedure and the Statute of the European Ombudsman;

| 23. | With a view to the accession of new Member States to the EU calls for firmer measures to ensure that the new European citizens are aware of their right to petition Parliament, the Commission and the Ombudsman under Articles 21 and 194 of the Treaty; |
| --- | --- |

23.

With a view to the accession of new Member States to the EU calls for firmer measures to ensure that the new European citizens are aware of their right to petition Parliament, the Commission and the Ombudsman under Articles 21 and 194 of the Treaty;

| 24. | Calls on the Member States to demonstrate their adherence to Article 10 of the Treaty by developing an open and constructive attitude in relations with citizens regarding the protection of their fundamental rights; |
| --- | --- |

24.

Calls on the Member States to demonstrate their adherence to Article 10 of the Treaty by developing an open and constructive attitude in relations with citizens regarding the protection of their fundamental rights;

| 25. | Hopes for the creation throughout the Union of national petitions committees or other parliamentary committees to work together with this committee and at the same time provide a more homogeneous image of the level of protection of citizens' rights within the Union; |
| --- | --- |

25.

Hopes for the creation throughout the Union of national petitions committees or other parliamentary committees to work together with this committee and at the same time provide a more homogeneous image of the level of protection of citizens' rights within the Union;

| 26. | Instructs its President to forward this resolution and the report by its committee to the Council, the Commission, the European Ombudsman, the governments and parliaments of the Member States, their petitions committees and their national ombudsmen or similar bodies. |
| --- | --- |

26.

Instructs its President to forward this resolution and the report by its committee to the Council, the Commission, the European Ombudsman, the governments and parliaments of the Member States, their petitions committees and their national ombudsmen or similar bodies.

---

(1)  OJ C 120, 16.5.1989, p. 90.

(2)  P5_TA(2002)0525.

(3)  P5_TA(2002)0417.

(4)  Working document sent on 17 February 2003 to the President of the European Convention. Rapporteur: Proinsias De Rossa.

(5)  OJ C 72 E, 21.3.2002, p. 331.

P5_TA(2003)0417

Lloyd's Petitions

European Parliament resolution on Petitions declared admissible: the Lloyd's Petitions (Petitions 1273/1997, 71/1999, 207/2000, 318/2000, 709/2000, 127/2002) (2002/2208(INI))

The European Parliament,

| — | having regard to Petitions 1273/1997, 71/1999, 207/2000, 318/2000, 709/2000 and 127/2002, |
| --- | --- |

—

having regard to Petitions 1273/1997, 71/1999, 207/2000, 318/2000, 709/2000 and 127/2002,

| — | having regard to Rule 175 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 175 of its Rules of Procedure,

| — | having regard to the report of the Committee on Petitions (A5-0203/2003), |
| --- | --- |

—

having regard to the report of the Committee on Petitions (A5-0203/2003),

| A. | having regard to the provisions of First Council Directive 73/239/EEC (First Non-Life Insurance Directive) of 24 July 1973 on the coordination of laws, regulations and administrative provisions relating to the taking-up and pursuit of the business of direct insurance other than life insurance (1) and subsequent relevant Directives, notably 79/267/EEC (2) and 91/674/EEC (3), |
| --- | --- |

A.

having regard to the provisions of First Council Directive 73/239/EEC (First Non-Life Insurance Directive) of 24 July 1973 on the coordination of laws, regulations and administrative provisions relating to the taking-up and pursuit of the business of direct insurance other than life insurance (1) and subsequent relevant Directives, notably 79/267/EEC (2) and 91/674/EEC (3),

| B. | mindful of the obligations of the institutions of the European Union and of the EU Member States towards their citizens, as contained inter alia in Articles 211, 226, 232 and 288 of the EC Treaty, |
| --- | --- |

B.

mindful of the obligations of the institutions of the European Union and of the EU Member States towards their citizens, as contained inter alia in Articles 211, 226, 232 and 288 of the EC Treaty,

| C. | having regard to Article 194 of the Treaty, which gives the right to citizens to address ‘individually or in association with other citizens or persons, a petition to the European Parliament on a matter which comes within the Community's fields of activity and which affects him, her or it directly’, |
| --- | --- |

C.

having regard to Article 194 of the Treaty, which gives the right to citizens to address ‘individually or in association with other citizens or persons, a petition to the European Parliament on a matter which comes within the Community's fields of activity and which affects him, her or it directly’,

| D. | considering the substantial issues raised by the following petitions:






  — | 1273/1997 by Madame X, |
| --- | --- | --- |

D.

considering the substantial issues raised by the following petitions:

—

1273/1997 by Madame X,

| — | 71/1999 by Mr M. Anstey, |
| --- | --- |

—

71/1999 by Mr M. Anstey,

| — | 207/2000 by Mr R. Harrisson, |
| --- | --- |

—

207/2000 by Mr R. Harrisson,

| — | 318/2000 by Mrs C. Mackenzie-Smith, |
| --- | --- |

—

318/2000 by Mrs C. Mackenzie-Smith,

| — | 709/2000 by Mr G. Stamp, |
| --- | --- |

—

709/2000 by Mr G. Stamp,

| — | 127/2002 by Dr F. Schleicher, |
| --- | --- |

—

127/2002 by Dr F. Schleicher,

| E. | whereas on 20 December 2001 the Commission launched formal infringement proceedings under Article 226 of the EC Treaty with regard to the prudential regulation and supervision of the Lloyd's insurance market by the UK authorities — highlighting in particular, though not exclusively, their concerns with respect to auditing arrangements at Lloyd's and the verification of solvency, and whereas the Commission has stated to Parliament that there is evidence suggesting that the UK has failed to fulfil certain of its obligations under Directive 73/239/EEC as amended, |
| --- | --- |

E.

whereas on 20 December 2001 the Commission launched formal infringement proceedings under Article 226 of the EC Treaty with regard to the prudential regulation and supervision of the Lloyd's insurance market by the UK authorities — highlighting in particular, though not exclusively, their concerns with respect to auditing arrangements at Lloyd's and the verification of solvency, and whereas the Commission has stated to Parliament that there is evidence suggesting that the UK has failed to fulfil certain of its obligations under Directive 73/239/EEC as amended,

| F. | whereas on 30 April 2002, the UK authorities lodged their formal response to the letter of formal notice announcing the opening of infringement proceedings, having sought and obtained a two-month extension, |
| --- | --- |

F.

whereas on 30 April 2002, the UK authorities lodged their formal response to the letter of formal notice announcing the opening of infringement proceedings, having sought and obtained a two-month extension,

| G. | whereas on 21 January 2003, the Commission sent a second letter of formal notice under Article 226 of the EC Treaty, |
| --- | --- |

G.

whereas on 21 January 2003, the Commission sent a second letter of formal notice under Article 226 of the EC Treaty,

| H. | whereas on 30 January 2003, the Commission sent an administrative letter concerning any residual financial relationship between Lloyd's and Equitas, |
| --- | --- |

H.

whereas on 30 January 2003, the Commission sent an administrative letter concerning any residual financial relationship between Lloyd's and Equitas,

| I. | whereas the UK authorities sent their reply to the second letter of formal notice on 24 March 2003, |
| --- | --- |

I.

whereas the UK authorities sent their reply to the second letter of formal notice on 24 March 2003,

| J. | whereas the UK authorities have requested an extension to the time they have to reply to the administrative letter, |
| --- | --- |

J.

whereas the UK authorities have requested an extension to the time they have to reply to the administrative letter,

| K. | whereas the Commission informed Parliament that it intended to complete its analysis of the UK authorities' response to the second letter of formal notice by October 2003, |
| --- | --- |

K.

whereas the Commission informed Parliament that it intended to complete its analysis of the UK authorities' response to the second letter of formal notice by October 2003,

| L. | whereas the Parliament and its competent committee have so far been denied access by the Commission and the UK authorities to the relevant documents referred to above, even though they have been pertinent to the debates held in the committee responsible in the presence of the petitioners, notably in June and October 2002, |
| --- | --- |

L.

whereas the Parliament and its competent committee have so far been denied access by the Commission and the UK authorities to the relevant documents referred to above, even though they have been pertinent to the debates held in the committee responsible in the presence of the petitioners, notably in June and October 2002,

| M. | whereas the investigation currently being conducted by the Commission is concerned with two phases, according to the Commissioner responsible for the Internal Market: a first phase concerning the ‘past régime’ of regulatory and supervisory arrangements — Article 13(2) of Directive 73/239/EEC and Articles 15, 16 and 19, relating to Lloyd's prior to 1 December 2001; and a second phase relating to new arrangements, and in addition the situation as regards Equitas, |
| --- | --- |

M.

whereas the investigation currently being conducted by the Commission is concerned with two phases, according to the Commissioner responsible for the Internal Market: a first phase concerning the ‘past régime’ of regulatory and supervisory arrangements — Article 13(2) of Directive 73/239/EEC and Articles 15, 16 and 19, relating to Lloyd's prior to 1 December 2001; and a second phase relating to new arrangements, and in addition the situation as regards Equitas,

| N. | bearing in mind that the issues addressed by the petitioners, and by others who have lodged complaints directly with the Commission on the same issues, are more specifically concerned with the period extending from 1973 to 1995; it is in this period that specific and precise allegations have been made concerning the alleged failure of the UK authorities not only to correctly transpose into national legislation Directive 73/239/EEC, but also to correctly apply the Directive as regards the Lloyd's insurance market, |
| --- | --- |

N.

bearing in mind that the issues addressed by the petitioners, and by others who have lodged complaints directly with the Commission on the same issues, are more specifically concerned with the period extending from 1973 to 1995; it is in this period that specific and precise allegations have been made concerning the alleged failure of the UK authorities not only to correctly transpose into national legislation Directive 73/239/EEC, but also to correctly apply the Directive as regards the Lloyd's insurance market,

| O. | emphasising that the responsibilities for any failure in the correct application and implementation of Directive 73/239/EEC lie with the Commission and the UK authorities, and not with Lloyd's as a regulator, nor with individual members of Lloyd's, known as ‘Names’, who constitute the Lloyd's market which insures risk, |
| --- | --- |

O.

emphasising that the responsibilities for any failure in the correct application and implementation of Directive 73/239/EEC lie with the Commission and the UK authorities, and not with Lloyd's as a regulator, nor with individual members of Lloyd's, known as ‘Names’, who constitute the Lloyd's market which insures risk,

| P. | whereas the petitioners, and other Lloyd's names, accept and do not question their unlimited liability as insurers, but have a right to expect that the framework within which they act is a proper and legal regulatory framework as defined by the relevant EU Insurance Directives, and is properly applied, |
| --- | --- |

P.

whereas the petitioners, and other Lloyd's names, accept and do not question their unlimited liability as insurers, but have a right to expect that the framework within which they act is a proper and legal regulatory framework as defined by the relevant EU Insurance Directives, and is properly applied,

| Q. | recognising the fact that asbestos liabilities developed in a way which was unanticipated by anyone in the insurance industry, in large part as a consequence of the development of such claims in the US and as a result of US court decisions in favour of policyholders; aware of the impact this had on the worldwide insurance market from the 1980s onwards, including underwriters at Lloyd's, |
| --- | --- |

Q.

recognising the fact that asbestos liabilities developed in a way which was unanticipated by anyone in the insurance industry, in large part as a consequence of the development of such claims in the US and as a result of US court decisions in favour of policyholders; aware of the impact this had on the worldwide insurance market from the 1980s onwards, including underwriters at Lloyd's,

| R. | whereas, in the opinion of the Parliament, certain aspects of previous legal proceedings in the UK concerning Lloyd's are relevant to this case, including the Judgment of 26 July 2002 by the Court of Appeal in the ‘Jaffray Case’ (which concerned questions of fraudulent misrepresentation), where the Court noted, inter alia, that claims that a ‘rigorous, or otherwise, system of auditing existed, which involved the making of a reasonable estimate of outstanding liabilities including unknown and unnoted losses during the relevant period (ie 1978-1988), were untrue’ (Point 584), and whereas the Court found that there had been misrepresentation, |
| --- | --- |

R.

whereas, in the opinion of the Parliament, certain aspects of previous legal proceedings in the UK concerning Lloyd's are relevant to this case, including the Judgment of 26 July 2002 by the Court of Appeal in the ‘Jaffray Case’ (which concerned questions of fraudulent misrepresentation), where the Court noted, inter alia, that claims that a ‘rigorous, or otherwise, system of auditing existed, which involved the making of a reasonable estimate of outstanding liabilities including unknown and unnoted losses during the relevant period (ie 1978-1988), were untrue’ (Point 584), and whereas the Court found that there had been misrepresentation,

| S. | whereas Lloyd's of London, although criticised in legal rulings brought in the UK, has not been found guilty of fraud or any other crime or tort, |
| --- | --- |

S.

whereas Lloyd's of London, although criticised in legal rulings brought in the UK, has not been found guilty of fraud or any other crime or tort,

| T. | bearing in mind that Lloyd's of London launched a Reconstruction & Renewal Plan in 1996, to which a vast majority of Names subscribed, in order to ensure the viability of the Lloyd's market and limit the liability to a certain extent of Lloyd's Names for such claims, in return for a commitment not to enter into litigation, a fact which does not remove the fundamental democratic right to petition the European Parliament, |
| --- | --- |

T.

bearing in mind that Lloyd's of London launched a Reconstruction & Renewal Plan in 1996, to which a vast majority of Names subscribed, in order to ensure the viability of the Lloyd's market and limit the liability to a certain extent of Lloyd's Names for such claims, in return for a commitment not to enter into litigation, a fact which does not remove the fundamental democratic right to petition the European Parliament,

| U. | whereas some of the petitioners testify to the fact that acceptance of this scheme was made frequently under duress, and that non-acceptance could lead to crippling financial penalties and/or personal bankruptcy, which some petitioners and complainants have since experienced, |
| --- | --- |

U.

whereas some of the petitioners testify to the fact that acceptance of this scheme was made frequently under duress, and that non-acceptance could lead to crippling financial penalties and/or personal bankruptcy, which some petitioners and complainants have since experienced,

| V. | whereas many questions raised by the petitioners have yet to receive an adequate response from the Commission or the UK authorities, including the following:






  — | the nature of audit certificates provided from 1981 onwards in the light of the letter of the Chairman of the Panel of Auditors to the Department of Trade and Industry (DTI) of 24 February 1982 which contained a request for guidance resulting from difficulties in the determination of liabilities, believing them to be ‘unquantifiable’, |
| --- | --- | --- |

V.

whereas many questions raised by the petitioners have yet to receive an adequate response from the Commission or the UK authorities, including the following:

—

the nature of audit certificates provided from 1981 onwards in the light of the letter of the Chairman of the Panel of Auditors to the Department of Trade and Industry (DTI) of 24 February 1982 which contained a request for guidance resulting from difficulties in the determination of liabilities, believing them to be ‘unquantifiable’,

| — | the extent to which the Lloyd's Act 1982 was compatible with Directive 73/239/EEC; |
| --- | --- |

—

the extent to which the Lloyd's Act 1982 was compatible with Directive 73/239/EEC;

| — | the degree to which the Names recruited into Lloyd's syndicates from 1973 onwards were properly informed about the extent of losses and liabilities as well as solvency margins, given the provisions of Directive 73/239/EEC; |
| --- | --- |

—

the degree to which the Names recruited into Lloyd's syndicates from 1973 onwards were properly informed about the extent of losses and liabilities as well as solvency margins, given the provisions of Directive 73/239/EEC;

| — | how it was possible, under the terms of Directive 73/239/EEC, to sign off an audit certificate after 1982 given that the UK authorities were aware of the impossibility of determining liabilities in respect of asbestosis claims in particular, bearing in mind that many new Names, including some of the petitioners, were still signing up and unaware of such facts; |
| --- | --- |

—

how it was possible, under the terms of Directive 73/239/EEC, to sign off an audit certificate after 1982 given that the UK authorities were aware of the impossibility of determining liabilities in respect of asbestosis claims in particular, bearing in mind that many new Names, including some of the petitioners, were still signing up and unaware of such facts;

| — | the way in which ‘incurred but not reported’ reserves were calculated and whether such reserves gave a true and fair opinion; |
| --- | --- |

—

the way in which ‘incurred but not reported’ reserves were calculated and whether such reserves gave a true and fair opinion;

| — | whether undisclosed liabilities carried forward were ever in fact tested during the period in question by the auditors and whether adequate solvency margins were established in line with the requirements of Article 16 of Directive 73/239/EEC; |
| --- | --- |

—

whether undisclosed liabilities carried forward were ever in fact tested during the period in question by the auditors and whether adequate solvency margins were established in line with the requirements of Article 16 of Directive 73/239/EEC;

| — | the effect of the assessment made in New York in 1993 of an USD 18 billion solvency deficit of Lloyd's syndicates; |
| --- | --- |

—

the effect of the assessment made in New York in 1993 of an USD 18 billion solvency deficit of Lloyd's syndicates;

| — | the follow-up given to allegations made to the Treasury and Civil Service Committee enquiry in February 1995, referring to the absorption rate of minimum reserves, especially for non-marine business, |
| --- | --- |

—

the follow-up given to allegations made to the Treasury and Civil Service Committee enquiry in February 1995, referring to the absorption rate of minimum reserves, especially for non-marine business,

| W. | whereas, already in 1977, the Commission was not entirely satisfied with the transposition of the Directive and a draft letter of formal notice had been prepared at that time; whereas instead of transposing the Directive in 1978 as should have been the case, the UK only transposed it — correctly or not — in the 1982 Insurance Companies Act, |
| --- | --- |

W.

whereas, already in 1977, the Commission was not entirely satisfied with the transposition of the Directive and a draft letter of formal notice had been prepared at that time; whereas instead of transposing the Directive in 1978 as should have been the case, the UK only transposed it — correctly or not — in the 1982 Insurance Companies Act,

| X. | bearing in mind the fact that the first petition on this subject reached the European Parliament in 1997 and that a resolution of the issue is long overdue, |
| --- | --- |

X.

bearing in mind the fact that the first petition on this subject reached the European Parliament in 1997 and that a resolution of the issue is long overdue,

| 1. | Calls upon the Commission to inform the European Parliament of its considered opinion on the responses of the UK authorities to the letters of formal notice and administrative letter without delay; |
| --- | --- |

1.

Calls upon the Commission to inform the European Parliament of its considered opinion on the responses of the UK authorities to the letters of formal notice and administrative letter without delay;

| 2. | Requests access to all documents retained by the Commission in the conduct of their investigation of this issue as far as is compatible with Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (4); |
| --- | --- |

2.

Requests access to all documents retained by the Commission in the conduct of their investigation of this issue as far as is compatible with Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (4);

| 3. | Insists that a specific response be provided in writing by the Commission to the European Parliament and its competent committee regarding any shortcomings and omissions the Commission believe to have occurred in the proper transposition and application of the Directives referred to in this resolution, for the period 1978-2001; |
| --- | --- |

3.

Insists that a specific response be provided in writing by the Commission to the European Parliament and its competent committee regarding any shortcomings and omissions the Commission believe to have occurred in the proper transposition and application of the Directives referred to in this resolution, for the period 1978-2001;

| 4. | Reserves its right to instigate further enquiries and investigations, if the Commission fails to provide it with the necessary information and documentation by 15 November 2003; |
| --- | --- |

4.

Reserves its right to instigate further enquiries and investigations, if the Commission fails to provide it with the necessary information and documentation by 15 November 2003;

| 5. | Instructs its President to forward this resolution to the Council and the Commission, to the petitioners, to the Speaker of the House of Commons and to the United Kingdom Financial Services Authority. |
| --- | --- |

5.

Instructs its President to forward this resolution to the Council and the Commission, to the petitioners, to the Speaker of the House of Commons and to the United Kingdom Financial Services Authority.

---

(1)  OJ L 228, 16.8.1973, p. 3. Directive as amended by European Parliament and Council Directive 2002/87/EC (OJ L 35, 11.2.2003, p. 1).

(2)  First Council Directive 79/267/EEC of 5 March 1979 on the coordination of laws, regulations and adminstrative provisions relating to the taking-up and pursuit of the business of direct life assurance (OJ L 63, 13.3.1979, p. 1), as amended by Directive 2002/87/EC.

(3)  Council Directive 91/674/EEC of 19 December 1991 on the annual accounts and consolidated accounts of insurance undertakings (OJ L 374, 31.12.1991, p. 7), as amended by Directive 2003/51/EC of the European Parliament and the Council (OJ L 178, 17.7.2003, p. 16).

(4)  OJ L 145, 31.5.2001, p. 43.

P5_TA(2003)0418

Arms exports

European Parliament resolution on the Council's Fourth Annual Report according to Operative Provision 8 of the European Union Code of Conduct on Arms Exports (2003/2010(INI))

The European Parliament,

| — | having regard to the Council's Fourth Annual Report according to Operative Provision 8 of the European Union Code of Conduct on Arms Exports (1), |
| --- | --- |

—

having regard to the Council's Fourth Annual Report according to Operative Provision 8 of the European Union Code of Conduct on Arms Exports (1),

| — | having regard to the Commission's communication on European defence (COM(2003) 113), |
| --- | --- |

—

having regard to the Commission's communication on European defence (COM(2003) 113),

| — | having regard to Article 17 of the EU Treaty and Article 296 of the EC Treaty, |
| --- | --- |

—

having regard to Article 17 of the EU Treaty and Article 296 of the EC Treaty,

| — | having regard to its resolution of 26 September 2002 (2) on the Council's Third Annual Report according to Operative Provision 8 of the European Union Code of Conduct on Arms Exports (3), |
| --- | --- |

—

having regard to its resolution of 26 September 2002 (2) on the Council's Third Annual Report according to Operative Provision 8 of the European Union Code of Conduct on Arms Exports (3),

| — | having regard to its resolution of 10 April 2003 on the new European security and defence architecture — priorities and deficiencies (4), |
| --- | --- |

—

having regard to its resolution of 10 April 2003 on the new European security and defence architecture — priorities and deficiencies (4),

| — | having regard to the OSCE Document on Small Arms and Light Weapons (adopted at the 308th plenary meeting of the OSCE Forum for Security Co-operation on 24 November 2000), |
| --- | --- |

—

having regard to the OSCE Document on Small Arms and Light Weapons (adopted at the 308th plenary meeting of the OSCE Forum for Security Co-operation on 24 November 2000),

| — | having regard to Rule 163 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 163 of its Rules of Procedure,

| — | having regard to the report of the Committee on Foreign Affairs, Human Rights, Common Security and Defence Policy (A5-0244/2003), |
| --- | --- |

—

having regard to the report of the Committee on Foreign Affairs, Human Rights, Common Security and Defence Policy (A5-0244/2003),

| A. | whereas, specifically against the background of a changed security climate characterised by a high level of regional instability, failing States, terrorist networks and organised crime, observance of stringent controls on arms exports is of the highest importance, |
| --- | --- |

A.

whereas, specifically against the background of a changed security climate characterised by a high level of regional instability, failing States, terrorist networks and organised crime, observance of stringent controls on arms exports is of the highest importance,

| B. | whereas the EU should fulfil its increased responsibility with regard to peace and security in Europe and throughout the world by means of further arms limitation and disarmament initiatives, |
| --- | --- |

B.

whereas the EU should fulfil its increased responsibility with regard to peace and security in Europe and throughout the world by means of further arms limitation and disarmament initiatives,

| C. | whereas organised crime and international arms smugglers have expanded their illegal activities in the area of small arms and are trafficking weapons along routes which pass through the territory of the enlarged EU, and also through the new neighbouring countries of the enlarged EU and countries in the western Balkan region, |
| --- | --- |

C.

whereas organised crime and international arms smugglers have expanded their illegal activities in the area of small arms and are trafficking weapons along routes which pass through the territory of the enlarged EU, and also through the new neighbouring countries of the enlarged EU and countries in the western Balkan region,

| D. | whereas maximum transparency in this field is an essential prerequisite for democratic accountability as the best guarantee of peace and stability, |
| --- | --- |

D.

whereas maximum transparency in this field is an essential prerequisite for democratic accountability as the best guarantee of peace and stability,

| E. | whereas the EU Code of Conduct on Arms Exports is the most comprehensive international arms export control regime and represents a step forward in the direction of ensuring a consistent and coherent EU arms export policy, and whereas the notification and consultation procedures laid down in the Code and the continuous exchange of views between the Member States are increasingly helping to strengthen transparency, dialogue and convergence in the area of the export of conventional arms, |
| --- | --- |

E.

whereas the EU Code of Conduct on Arms Exports is the most comprehensive international arms export control regime and represents a step forward in the direction of ensuring a consistent and coherent EU arms export policy, and whereas the notification and consultation procedures laid down in the Code and the continuous exchange of views between the Member States are increasingly helping to strengthen transparency, dialogue and convergence in the area of the export of conventional arms,

| F. | whereas despite the progress made in respect of reporting and practices, it appears that EU weapons (and their components) continue to be supplied to regions of the world in which the standards laid down by the EU Code of Conduct are undoutedly being flouted, |
| --- | --- |

F.

whereas despite the progress made in respect of reporting and practices, it appears that EU weapons (and their components) continue to be supplied to regions of the world in which the standards laid down by the EU Code of Conduct are undoutedly being flouted,

| G. | whereas, in order to combat illegal arms trading and effectively prevent the supply of arms to inappropriate end-users, it is essential that end-users of arms exports, licensed production and arms brokering should be subject to more effective controls, |
| --- | --- |

G.

whereas, in order to combat illegal arms trading and effectively prevent the supply of arms to inappropriate end-users, it is essential that end-users of arms exports, licensed production and arms brokering should be subject to more effective controls,

| H. | whereas, specifically in the context of the development of a European armaments industry and a common security and defence policy, there needs to be greater harmonisation of EU arms export policy, |
| --- | --- |

H.

whereas, specifically in the context of the development of a European armaments industry and a common security and defence policy, there needs to be greater harmonisation of EU arms export policy,

| I. | whereas its abovementioned resolution of 10 April 2003 on the new European security and defence architecture asks for the creation in the future of an Armaments and Research Agency that could be in charge of coordinating EU arms export policy, |
| --- | --- |

I.

whereas its abovementioned resolution of 10 April 2003 on the new European security and defence architecture asks for the creation in the future of an Armaments and Research Agency that could be in charge of coordinating EU arms export policy,

| J. | whereas, in the context of the forthcoming enlargement of the EU, it is particularly important that the acceding countries also prepare annual reports on their arms export policy, improve controls on their arms exports and ensure that fundamental standards relating thereto are observed; convinced that the Member States should not only actively support this process, but should also set a positive example with regard to strict observance of the Code of Conduct, |
| --- | --- |

J.

whereas, in the context of the forthcoming enlargement of the EU, it is particularly important that the acceding countries also prepare annual reports on their arms export policy, improve controls on their arms exports and ensure that fundamental standards relating thereto are observed; convinced that the Member States should not only actively support this process, but should also set a positive example with regard to strict observance of the Code of Conduct,

| K. | convinced that further harmonisation of Member States' arms export policy would represent an important contribution to the development of the ESDP and would also contribute to a strengthened common foreign policy approach by the Member States, |
| --- | --- |

K.

convinced that further harmonisation of Member States' arms export policy would represent an important contribution to the development of the ESDP and would also contribute to a strengthened common foreign policy approach by the Member States,

| L. | convinced that the EU's arms export policy must be such as to ensure coherence in terms of the Community's external policy action, including its goals in the areas of crisis prevention, combating of poverty and promotion of human rights, |
| --- | --- |

L.

convinced that the EU's arms export policy must be such as to ensure coherence in terms of the Community's external policy action, including its goals in the areas of crisis prevention, combating of poverty and promotion of human rights,

| 1. | Considers that, in the fight against international terrorism and in the interest of conflict prevention and regional stabilisation and the respect of human rights, a clear and efficient common arms export policy is very important; |
| --- | --- |

1.

Considers that, in the fight against international terrorism and in the interest of conflict prevention and regional stabilisation and the respect of human rights, a clear and efficient common arms export policy is very important;

| 2. | Welcomes, therefore, the progress referred to in the Fourth Annual Report on the implementation of the Code of Conduct, and in particular the compendium of Member States' agreed practices published in Annex I and the table in Annex II containing data on the number and value of export licences issued and the value of arms exports; |
| --- | --- |

2.

Welcomes, therefore, the progress referred to in the Fourth Annual Report on the implementation of the Code of Conduct, and in particular the compendium of Member States' agreed practices published in Annex I and the table in Annex II containing data on the number and value of export licences issued and the value of arms exports;

| 3. | Wishes, despite the progress made in achieving greater harmonisation of statistical data, to see more data provided on the type and quantity of arms supplied and on the total value of exports and the number of licences refused, stating the reasons for refusal, and more precise information on the country of destination and classification of end-users, in order, on the basis of such fuller and more harmonised data, to improve transparency; |
| --- | --- |

3.

Wishes, despite the progress made in achieving greater harmonisation of statistical data, to see more data provided on the type and quantity of arms supplied and on the total value of exports and the number of licences refused, stating the reasons for refusal, and more precise information on the country of destination and classification of end-users, in order, on the basis of such fuller and more harmonised data, to improve transparency;

| 4. | Considers uniform EU rules on controls on arms brokering activities to be essential, and therefore welcomes the recent decision of Member States to adopt a common position in that regard and calls on those who have not yet done so to transpose into national law the guidelines already adopted; |
| --- | --- |

4.

Considers uniform EU rules on controls on arms brokering activities to be essential, and therefore welcomes the recent decision of Member States to adopt a common position in that regard and calls on those who have not yet done so to transpose into national law the guidelines already adopted;

| 5. | Reiterates its view that a register and authorisation system should be introduced for the brokering of arms transactions, which should also apply to EU citizens and companies outside the territory of the EU; |
| --- | --- |

5.

Reiterates its view that a register and authorisation system should be introduced for the brokering of arms transactions, which should also apply to EU citizens and companies outside the territory of the EU;

| 6. | Welcomes the fact that the Member States have reached agreement on the minimum data to be included in an end-user certificate; also considers it necessary, however, to set up a verification and post-export monitoring system, with the possibility of imposing penalties; |
| --- | --- |

6.

Welcomes the fact that the Member States have reached agreement on the minimum data to be included in an end-user certificate; also considers it necessary, however, to set up a verification and post-export monitoring system, with the possibility of imposing penalties;

| 7. | Calls, therefore, on the Member States to examine the possibility of setting up a common monitoring system at EU level, and recommends that consideration be given to a European arms export control agency model; |
| --- | --- |

7.

Calls, therefore, on the Member States to examine the possibility of setting up a common monitoring system at EU level, and recommends that consideration be given to a European arms export control agency model;

| 8. | Calls on the candidate countries, and in particular the countries included in the forthcoming accession, to tighten their national legislation and above all their practices in the areas of arms exports on the basis of the Code, to report on this practice in accordance with Annexes I and II to the Fourth Report, and calls on all current Member States and accession countries to compile and publish national annual reports for the calendar year 2003, and for each year thereafter; |
| --- | --- |

8.

Calls on the candidate countries, and in particular the countries included in the forthcoming accession, to tighten their national legislation and above all their practices in the areas of arms exports on the basis of the Code, to report on this practice in accordance with Annexes I and II to the Fourth Report, and calls on all current Member States and accession countries to compile and publish national annual reports for the calendar year 2003, and for each year thereafter;

| 9. | Considers that the new neighbours of the enlarged EU and countries with which the EU has concluded, or intends to conclude, a stabilisation and association agreement should also be asked to observe the EU Code of Conduct; |
| --- | --- |

9.

Considers that the new neighbours of the enlarged EU and countries with which the EU has concluded, or intends to conclude, a stabilisation and association agreement should also be asked to observe the EU Code of Conduct;

| 10. | Welcomes the French initiative concerning the submission of a proposal for an ‘International Code on Transparency and Responsibilities for Arms Transfers’, based on the model of the EU Code
  ,
  and regrets that no progress could be reached at the G8 summit in Evian in June 2003 because of a lack of American and Russian support; |
| --- | --- |

10.

Welcomes the French initiative concerning the submission of a proposal for an ‘International Code on Transparency and Responsibilities for Arms Transfers’, based on the model of the EU Code
  ,
  and regrets that no progress could be reached at the G8 summit in Evian in June 2003 because of a lack of American and Russian support;

| 11. | Considers that there is an urgent need for such an international initiative, not least in the light of the latest findings concerning the arming of Iraq; |
| --- | --- |

11.

Considers that there is an urgent need for such an international initiative, not least in the light of the latest findings concerning the arming of Iraq;

| 12. | Strongly supports the submission by the Commission of a proposal for a Community regulation imposing an export ban on all equipment for torture and laying down strict controls for equipment that might be used for internal repression; |
| --- | --- |

12.

Strongly supports the submission by the Commission of a proposal for a Community regulation imposing an export ban on all equipment for torture and laying down strict controls for equipment that might be used for internal repression;

| 13. | Reiterates its call for legally binding provisions and full harmonisation of Member States' arms export policy as a medium-term goal, and encourages Member States to make progress in this direction; |
| --- | --- |

13.

Reiterates its call for legally binding provisions and full harmonisation of Member States' arms export policy as a medium-term goal, and encourages Member States to make progress in this direction;

| 14. | Considers that arms exports to countries involved in armed conflicts should be banned in principle; |
| --- | --- |

14.

Considers that arms exports to countries involved in armed conflicts should be banned in principle;

| 15. | Recommends that, in the interim period, the following steps be taken:






  (a) | full pre-consultation between the Member States with regard to transfers to regions susceptible to crises; |
| --- | --- | --- |

15.

Recommends that, in the interim period, the following steps be taken:

(a)

full pre-consultation between the Member States with regard to transfers to regions susceptible to crises;

| (b) | a full multilateral approach to the consultation process in connection with decisions to grant or refuse licenses, with, as a first step, a commitment by Member States to circulate to all other Member States the substance and result of any consultation to which they are party; |
| --- | --- |

(b)

a full multilateral approach to the consultation process in connection with decisions to grant or refuse licenses, with, as a first step, a commitment by Member States to circulate to all other Member States the substance and result of any consultation to which they are party;

| (c) | a common definition of criterion 8 (compatibility of arms exports with the technical and economic capacity of the recipient country), representing a significant contribution to crisis prevention and sustainable development in socially less developed countries; |
| --- | --- |

(c)

a common definition of criterion 8 (compatibility of arms exports with the technical and economic capacity of the recipient country), representing a significant contribution to crisis prevention and sustainable development in socially less developed countries;

| (d) | incorporation into national law of all the principles, criteria and operative provisions of the Code of Conduct, with the understanding that this does not affect the right of Member States to operate more restrictive national policies; |
| --- | --- |

(d)

incorporation into national law of all the principles, criteria and operative provisions of the Code of Conduct, with the understanding that this does not affect the right of Member States to operate more restrictive national policies;

| 16. | Calls, with regard to the establishment of a common European armaments market, for controls on the movement of armaments within the European Union to be removed step by step, given that the Member States are democratic countries which respect the rule of law and which are joined together in an ever closer union; |
| --- | --- |

16.

Calls, with regard to the establishment of a common European armaments market, for controls on the movement of armaments within the European Union to be removed step by step, given that the Member States are democratic countries which respect the rule of law and which are joined together in an ever closer union;

| 17. | Calls, with regard to export controls in relation to third countries, for particular attention to be paid to products which may be used for both civilian and military purposes and similarly to spare parts and products suitable for use in cyber warfare; |
| --- | --- |

17.

Calls, with regard to export controls in relation to third countries, for particular attention to be paid to products which may be used for both civilian and military purposes and similarly to spare parts and products suitable for use in cyber warfare;

| 18. | Calls upon Member States to acknowledge that the EU Code also applies to the licensing of items destined for incorporation by the importing country into a sub-assembly or finished weapons system for subsequent export to a third country; |
| --- | --- |

18.

Calls upon Member States to acknowledge that the EU Code also applies to the licensing of items destined for incorporation by the importing country into a sub-assembly or finished weapons system for subsequent export to a third country;

| 19. | Instructs its President to forward this resolution to the Council and the Commission and to the parliaments and governments of the Member States and of third countries which have agreed to observe the principles of the EU Code of Conduct. |
| --- | --- |

19.

Instructs its President to forward this resolution to the Council and the Commission and to the parliaments and governments of the Member States and of third countries which have agreed to observe the principles of the EU Code of Conduct.

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(1)  OJ C 319, 19.12.2002, p. 1.

(2)  P5_TA(2002)0452.

(3)  OJ C 351, 11.12.2001, p. 1.

(4)  P5_TA(2003)0188.

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